[Federal Register Volume 71, Number 207 (Thursday, October 26, 2006)]
[Proposed Rules]
[Pages 62664-62874]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-8678]



[[Page 62663]]

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Part II





Nuclear Regulatory Commission





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10 CFR Parts 50, 72, and 73



Power Reactor Security Requirements; Proposed Rule

Federal Register / Vol. 71, No. 207 / Thursday, October 26, 2006 / 
Proposed Rules

[[Page 62664]]


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NUCLEAR REGULATORY COMMISSION

10 CFR Parts 50, 72, and 73

RIN 3150-AG63


Power Reactor Security Requirements

AGENCY: Nuclear Regulatory Commission.

ACTION: Proposed rule.

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SUMMARY: The Nuclear Regulatory Commission (NRC) is proposing to amend 
the current security regulations and add new security requirements 
pertaining to nuclear power reactors. Additionally, this rulemaking 
includes new security requirements for Category I strategic special 
nuclear material (SSNM) facilities for access to enhanced weapons and 
firearms background checks. The proposed rulemaking would: Make 
generically applicable security requirements imposed by Commission 
orders issued after the terrorist attacks of September 11, 2001, based 
upon experience and insights gained by the Commission during 
implementation; fulfill certain provisions of the Energy Policy Act of 
2005; add several new requirements that resulted from insights from 
implementation of the security orders, review of site security plans, 
and implementation of the enhanced baseline inspection program and 
force-on-force exercises; update the regulatory framework in 
preparation for receiving license applications for new reactors; and 
impose requirements to assess and manage site activities that can 
adversely affect safety and security. The proposed safety and security 
requirements would address, in part, a petition for rulemaking (PRM 50-
80) that requests the establishment of regulations governing proposed 
changes to facilities which could adversely affect the protection 
against radiological sabotage.

DATES: Submit comments by January 9, 2007. Submit comments specific to 
the information collection aspects of this rule by November 27, 2006. 
Comments received after the above dates will be considered if it is 
practical to do so, but assurance of consideration cannot be given to 
comments received after these dates.

ADDRESSES: You may submit comments by any one of the following methods. 
Please include the following number ``RIN 3150-AG63'' in the subject 
line of your comments. Comments on rulemakings submitted in writing or 
in electronic form will be made available for public inspection. 
Because your comments will not be edited to remove any identifying or 
contact information, the NRC cautions you against including any 
information in your submission that you do not want to be publicly 
disclosed.
    Mail comments to: Secretary, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555-0001, Attn: Rulemakings and Adjudications Staff.
    E-mail comments to: <a href="/cdn-cgi/l/email-protection#035046405a436d71602d646c75"><span class="__cf_email__" data-cfemail="96c5d3d5cfd6f8e4f5b8f1f9e0">[email protected]</span></a>. If you do not receive a reply e-
mail confirming that we have received your comments, contact us 
directly at (301) 415-1966. You may also submit comments via the NRC's 
rulemaking Web site at http://ruleforum.llnl.gov. Address questions 
about our rulemaking Web site to Carol Gallagher (301) 415-5905; E-mail 
<a href="/cdn-cgi/l/email-protection#f0b3b1b7b09e8293de979f86"><span class="__cf_email__" data-cfemail="d596949295bba7b6fbb2baa3">[email protected]</span></a>. Comments can also be submitted via the Federal e-
Rulemaking Portal http://www.regulations.gov.
    Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland 
20852, between 7:30 a.m. and 4:15 p.m. Federal workdays (telephone 
(301) 415-1966).
    Fax comments to: Secretary, U.S. Nuclear Regulatory Commission at 
(301) 415-1101.
    You may submit comments on the information collections by the 
methods indicated in the Paperwork Reduction Act Statement.
    Publicly available documents related to this rulemaking may be 
viewed electronically on the public computers located at the NRC's 
Public Document Room (PDR), O1-F21, One White Flint North, 11555 
Rockville Pike, Rockville, MD 20852-2738. The PDR reproduction 
contractor will copy documents for a fee. Selected documents, including 
comments, may be viewed and downloaded electronically via the NRC 
rulemaking Web site at http://ruleforum.llnl.gov.
    Publicly available documents created or received at the NRC after 
November 1, 1999, are available electronically at the NRC's Electronic 
Reading Room at http://www.nrc.gov/reading-rm/adams.html. From this 
site, the public can gain entry into the NRC's Agencywide Document 
Access and Management System (ADAMS), which provides text and image 
files of NRC's public documents. If you do not have access to ADAMS or 
if there are problems in accessing the documents located in ADAMS, 
contact the NRC PDR Reference staff at 1-800-397-4209, 301-415-4737, or 
by e-mail to <a href="/cdn-cgi/l/email-protection#60302432200e12034e070f16"><span class="__cf_email__" data-cfemail="267662746648544508414950">[email protected]</span></a>.

FOR FURTHER INFORMATION CONTACT: Mr. Richard Rasmussen, Office of 
Nuclear Security and Incident Response, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001; telephone (301) 415-0610; e-
mail: <a href="/cdn-cgi/l/email-protection#1e4c5f4c5e706c7d30797168"><span class="__cf_email__" data-cfemail="dc8e9d8e9cb2aebff2bbb3aa">[email protected]</span></a> or Mr. Timothy Reed, Office of Nuclear Reactor 
Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001; telephone (301) 415-1462; e-mail: <a href="/cdn-cgi/l/email-protection#396d786b79574b5a175e564f"><span class="__cf_email__" data-cfemail="96c2d7c4d6f8e4f5b8f1f9e0">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background
II. Rulemaking Initiation
III. Proposed Regulations
IV. Section-by-Section Analysis
V. Guidance
VI. Criminal Penalties
VII. Compatibility of Agreement State Regulations
VIII. Availability of Documents
IX. Plain Language
X. Voluntary Consensus Standards
XI. Finding of No Significant Environmental Impact
XII. Paperwork Reduction Act Statement
XIII. Public Protection Notification
XIV. Regulatory Analysis
XV. Regulatory Flexibility Certification
XVI. Backfit Analysis

I. Background

    Following the terrorist attacks on September 11, 2001, the NRC 
conducted a thorough review of security to ensure that nuclear power 
plants and other licensed facilities continued to have effective 
security measures in place given the changing threat environment. 
Through a series of orders, the Commission specified a supplement to 
the Design Basis Threat (DBT), as well as requirements for specific 
training enhancements, access authorization enhancements, security 
officer work hours, and enhancements to defensive strategies, 
mitigative measures, and integrated response. Additionally, in generic 
communications, the Commission specified expectations for enhanced 
notifications to the NRC for certain security events or suspicious 
activities.
    Most of the requirements in this proposed rulemaking are derived 
directly from, or through implementation of, the following four 
security orders:
    <bullet> EA-02-026, ``Interim Compensatory Measures (ICM) Order,'' 
dated February 25, 2002 (March 4, 2002; 67 FR 9792).
    <bullet> EA-02-261, ``Access Authorization Order,'' dated January 
7, 2003 (January 13, 2003; 68 FR 1643).
    <bullet> EA-03-039, ``Security Personnel Training and Qualification 
Requirements (Training) Order,'' dated April 29, 2003 (May 7, 2003; 68 
FR 24514), and
    <bullet> EA-03-086, ``Revised Design Basis Threat Order,'' dated 
April 29, 2003 (May 7, 2003; 68 FR 24517).

[[Page 62665]]

    Nuclear power plant licensees revised their security plans, 
training and qualification plans, and safeguards contingency plans in 
response to these orders. The NRC completed its review and approval of 
all of the revised security plans, training and qualification plans, 
and safeguards contingency plans on October 29, 2004. These plans 
incorporated the enhancements instituted through the orders. While the 
specifics of these changes are Safeguards Information, in general, the 
changes resulted in enhancements such as increased patrols, augmented 
security forces and capabilities, additional security posts, additional 
physical barriers, vehicle checks at greater standoff distances, 
enhanced coordination with law enforcement and military authorities, 
augmented security and emergency response training, equipment, and 
communication, and more restrictive site access controls for personnel, 
including expanded, expedited, and more thorough employee background 
checks.
    The Energy Policy Act of 2005 (EPAct 2005), signed into law on 
August 8, 2005, is another source of some of the proposed requirements 
reflected in this rulemaking. Section 653, for instance, allows the NRC 
to authorize licensees to use, as part of their protective strategies, 
an expanded arsenal of weapons, including machine guns and semi-
automatic assault weapons. Section 653 also requires that all security 
personnel with access to any weapons undergo a background check that 
would include fingerprinting and a check against the Federal Bureau of 
Investigation's (FBI) National Instant Criminal Background Check System 
(NICS) database. These provisions of EPAct 2005 would be reflected in 
the newly proposed Sec. Sec.  73.18 and 73.19, and the proposed NRC 
Form 754. Though this rulemaking primarily affects power reactor 
security requirements, to implement the EPAct 2005 provisions 
efficiently, the NRC expanded the rulemaking's scope in newly proposed 
Sec. Sec.  73.18 and 73.19 to include facilities authorized to possess 
formula quantities or greater of strategic special nuclear material, 
i.e., Category I SSNM facilities. Such facilities would include 
production facilities, spent fuel reprocessing facilities, fuel 
processing facilities, and uranium enrichment facilities. Additionally, 
Section 651 of the EPAct 2005 requires the NRC to conduct security 
evaluations at selected licensed facilities, including periodic force-
on-force exercises. That provision also requires the NRC to mitigate 
any potential conflict of interest that could influence the results of 
force-on-force exercises. These provisions would be reflected in 
proposed Sec.  73.55.
    Through implementing the security orders, reviewing the revised 
site security plans across the fleet of reactors, conducting the 
enhanced baseline inspection program, and evaluating force-on-force 
exercises, the NRC has identified some additional security measures 
that would provide additional assurance of a licensee's capability to 
protect against the DBT.
    Finally, a petition for rulemaking submitted by the Union of 
Concerned Scientists and San Luis Obispo Mothers for Peace (PRM 50-80), 
requested the establishment of regulations governing proposed changes 
to facilities which could adversely affect their protection against 
radiological sabotage. This petition was partially granted on November 
17, 2005 (70 FR 69690). The proposed new Sec.  73.58 contains 
requirements to address the remaining issues.
    The proposed amendments to the security requirements for power 
reactors, and for enhanced weapons requirements for power reactor and 
Category I SSNM facilities, would result in changes to the following 
existing sections and appendices in 10 CFR part 73:
    <bullet> 10 CFR 73.2, Definitions.
    <bullet> 10 CFR 73.55, Requirements for physical protection of 
licensed activities in nuclear power reactors against radiological 
sabotage.
    <bullet> 10 CFR 73.56, Personnel access authorization requirements 
for nuclear power plants.
    <bullet> 10 CFR 73.71, Reporting of safeguards events.
    <bullet> 10 CFR 73, Appendix B, General criteria for security 
personnel.
    <bullet> 10 CFR 73, Appendix C, Licensee safeguards contingency 
plans.
    <bullet> 10 CFR 73, Appendix G, Reportable safeguards events.
    The proposed amendments would also add three new sections to part 
73:
    <bullet> Proposed Sec.  73.18, Firearms background checks for armed 
security personnel.
    <bullet> Proposed Sec.  73.19, Authorization for use of enhanced 
weapons.
    <bullet> Proposed Sec.  73.58, Safety/security interface 
requirements for nuclear power reactors.
    The proposed rule would also add a new NRC Form 754 under the newly 
proposed Sec.  73.18.

EPAct 2005 Weapons Guidelines

    In order to accomplish Sec. 161A. of the Atomic Energy Act of 1954, 
as amended (AEA), concerning the transfer, receipt, possession, 
transport, import, and use of enhanced weapons and the requirements for 
firearms background checks, the NRC has engaged with representatives 
from the U.S. Department of Justice (DOJ), the FBI, and the U.S. Bureau 
of Alcohol, Tobacco, Firearms, and Explosives (ATF), to develop 
guidelines required by Sec. 161A.d of the AEA. The provisions of 
Sec.161A. of the AEA take effect upon the issuance of these guidelines 
by the Commission, with the approval of the Attorney General. The 
Commission will publish a separate Federal Register notice on the 
issuance of these guidelines. This proposed rule would not rescind the 
authority of certain NRC licensees, currently possessing automatic 
weapons through alternate processes, to possess such enhanced weapons; 
however, these licensees would be subject to the new firearms 
background check requirements of Sec. 161A. of the AEA. Information on 
new provisions (Sec. Sec.  73.18 and 73.19) that would implement Sec. 
161A. may be found in Section III.

Conforming and Corrective Changes

    Conforming changes to the requirements listed below are proposed in 
order to ensure that cross-referencing between the various security 
regulations in part 73 is preserved, and to avoid revising requirements 
for licensees who are not within the scope of this proposed rule. The 
following requirements contain conforming changes:
    <bullet> Section 50.34, ``Contents of applications; technical 
information'' would be revised to align the application requirements 
with the proposed revisions to appendix C to 10 CFR part 73.
    <bullet> Section 50.54, ``Conditions of licenses'' would be revised 
to conform with the proposed revisions to sections in appendix C to 10 
CFR part 73.
    <bullet> Section 50.72, ``Immediate notification requirements for 
operating nuclear power reactors'' would be revised to state (in 
footnote 1) that immediate notification to the NRC may be required (per 
the proposed Sec.  73.71 requirements) prior to the notification 
requirements under the current Sec.  50.72.
    <bullet> Section 72.212, ``Conditions of general license issued 
under Sec.  72.210'' would be revised to reference the appropriate 
revised paragraph designations in proposed Sec.  73.55.
    <bullet> Section 73.8, ``Information collection requirements: OMB 
approval'' would be revised to add the newly proposed requirements 
(Sec. Sec.  73.18, 73.19, 73.58, and NRC Form 754) to the list of 
sections and forms with Office of Management and Budget (OMB)

[[Page 62666]]

information collection requirements. A corrective revision to Sec.  
73.8 would also be made to reflect OMB approval of existing information 
collection requirements for NRC Form 366 under existing Sec.  73.71.
    <bullet> Section 73.70, ``Records'' would be revised to reference 
the appropriate revised paragraph designations in proposed Sec.  73.55 
regarding the need to retain a record of the registry of visitors.
    Additionally, Sec.  73.81, ``Criminal penalties'' which sets forth 
the sections within part 73 that are not subject to criminal sanctions 
under the AEA, would remain unchanged since willful violations of the 
newly proposed Sec. Sec.  73.18, 73.19, and 73.58 may be subject to 
criminal sanctions.
    Appendix B and appendix C to part 73 require special treatment in 
this rulemaking to preserve, with a minimum of conforming changes, the 
current requirements for licensees and applicants to whom this proposed 
rule would not apply. Accordingly, sections I through V of appendix B 
would remain unchanged, and the proposed new language for power 
reactors would be added as section VI. Appendix C would be divided into 
two sections, with Section I maintaining all current requirements, and 
Section II containing all proposed requirements related to power 
reactors.

II. Rulemaking Initiation

    On July 19, 2004, NRC staff issued a memorandum entitled ``Status 
of Security-Related Rulemaking'' (accession number ML041180532) to 
inform the Commission of plans to close former security-related actions 
and replace them with a comprehensive rulemaking plan to modify 
physical protection requirements for power reactors. This memorandum 
described rulemaking efforts that were suspended by the terrorist 
activities of September 11, 2001, and summarized the security-related 
actions taken following the attack. In response to this memorandum, the 
Commission directed the staff in an August 23, 2004, Staff Requirements 
Memorandum (SRM) (COMSECY-04-0047, accession number ML042360548) to 
forego the development of a rulemaking plan, and provide a schedule for 
the completion of security-related rulemakings. The staff provided this 
schedule to the Commission by memorandum dated November 16, 2004 
(accession number ML043060572). Subsequently, the staff revised its 
plans to amend the part 73 security requirements to include a 
requirement for licensees to assess and manage site activities that 
could compromise either safety or security (i.e., the safety/security 
interface requirements). This revision is discussed in a memorandum 
dated July 29, 2005 (accession number ML051800350). Finally, by 
memorandum dated September 29, 2005 (COMSECY-05-0046, accession number 
ML052710167), the staff discussed its plans to incorporate select 
provisions of the EPAct 2005 into the power reactor security 
requirements rulemaking. In COMSECY-05-0046, dated November 1, 2005 
(accession number ML053050439), the Commission approved the staff's 
approach in incorporating the select provisions of EPAct 2005.

III. Proposed Regulations

    This section describes significant provisions of this rulemaking:
    1. EPAct 2005 weapons requirements. The new Sec. Sec.  73.18 and 
73.19 would contain requirements to implement provisions of section 
161A of the Atomic Energy Act of 1954, as amended (AEA). Section 653 of 
the EPAct amended the AEA by adding section 161A, ``Use of Firearms by 
Security Personnel.'' Section 161A provides new authority to the 
Commission to enhance security at certain NRC licensee and certificate 
holder facilities by authorizing the security personnel of those 
licensees or certificate holders to transfer, receive, possess, 
transport, import, and use an expanded arsenal of weapons, to include: 
Short-barreled shotguns, short-barreled rifles, and machine guns. In 
addition, section 161A also provides that NRC-designated licensees and 
certificate holders may apply to the NRC for authority to preempt 
local, State, or certain Federal firearms laws (including regulations) 
that prohibits the transfer, receipt, possession, transportation, 
importation, or use of handguns, rifles, shotguns, short-barreled 
shotguns, short-barreled rifles, machine guns, semiautomatic assault 
weapons, ammunition for such guns or weapons, and large capacity 
ammunition feeding devices. Prior to granting either authority, 
however, the Commission must determine that the proposed use of this 
authority is necessary in the discharge of official duties by security 
personnel engaged in protecting: (1) Facilities owned or operated by an 
NRC licensee or certificate holder and designated by the Commission, or 
(2) radioactive material or other property that is owned or possessed 
by an NRC licensee or certificate holder, or that is being transported 
to or from an NRC-regulated facility, if the Commission has determined 
the radioactive material or other property to be of significance to the 
common defense and security or public health and safety. Licensees and 
certificate holders must receive preemption authority before receiving 
NRC approval for enhanced weapons authority. Finally, the NRC may 
consider making preemption authority or enhanced-weapons authority 
available to other types of licensees or certificate holders in future 
rulemakings.
    Under the provisions of section 161A.d, section 161A takes effect 
on the date that implementing guidelines are issued by the Commission 
after being approved by the U.S. Attorney General. Following enactment 
of the EPAct 2005, NRC staff began discussions with staffs from the 
U.S. Department of Justice (DOJ) and its subordinate agencies the 
Federal Bureau of Investigation (FBI) and the U.S. Bureau of Alcohol, 
Tobacco, Firearms, and Explosives (ATF) to develop these guidelines. 
Issuance of these guidelines is a prerequisite for the issuance of a 
final rule on Sec. Sec.  73.18 and 73.19, and the conforming changes in 
Sec.  73.2. The proposed language for Sec. Sec.  73.18 and 73.19, and 
the conforming changes in Sec.  73.2, set forth in this proposed rule 
is consistent, to the extent possible, with the discussions between NRC 
and DOJ. However, because NRC and DOJ staffs continue to work to 
resolve the remaining issues, the guidelines have not been finalized as 
of the issuance of this notice. Once the final guidelines are issued, 
the Commission will, if necessary, take the appropriate actions to 
ensure that the language of proposed Sec. Sec.  73.18, 73.19, and 73.2, 
conforms with the guidelines. The Commission is utilizing this parallel 
approach to provide the most expeditious process for promulgating the 
necessary regulations implementing section 161A; thereby enhancing the 
security (i.e., weapons) capabilities of NRC-licensed facilities, while 
being mindful of our obligations to provide stakeholders an opportunity 
to comment on proposed regulations.
    2. Safety/Security interface requirements. These requirements are 
located in proposed Sec.  73.58. The safety/security requirements are 
intended to explicitly require licensee coordination of potential 
adverse interactions between security activities and other plant 
activities that could compromise either plant security or plant safety. 
The proposed requirements would direct licensees to assess and manage 
these interactions so that neither safety nor security is compromised. 
These proposed requirements address, in part, a Petition for Rulemaking 
(PRM 50-80) that requested the establishment of regulations governing 
proposed changes

[[Page 62667]]

to the facilities which could adversely affect the protection against 
radiological sabotage.
    3. EPAct 2005 additional requirements. The EPAct 2005 requirements 
that would be implemented by this proposed rulemaking, in addition to 
the weapons-related additions described previously, consist of new 
requirements to perform force-on-force exercises, and to mitigate 
potential conflicts of interest that could influence the results of 
NRC-conducted force-on-force exercises. These proposed new requirements 
would be included in proposed Sec.  73.55 and appendix C to part 73.
    4. Accelerated notification and revised four-hour reporting 
requirements. This proposed rule contains accelerated security 
notification requirements (i.e., within 15 minutes) in proposed Sec.  
73.71 and appendix G to part 73 for attacks and imminent threats to 
power reactors. The proposed accelerated notification requirements are 
similar to what was provided to the industry in NRC Bulletin 2005-02, 
``Emergency Preparedness and Response Actions for Security-Based 
Events,'' dated July 18, 2005. The proposed rule also contains two new 
four-hour reporting requirements. The proposed rule would direct 
licensees to report to the NRC information pertaining to suspicious 
activities as described in the proposed requirement. The proposed rule 
would also include a new four-hour reporting requirement for tampering 
events that do not meet the current threshold for one-hour reporting.
    5. Mixed-oxide (MOX) fuel requirements. These requirements would be 
incorporated into proposed Sec.  73.55 for licensees who propose to use 
MOX fuel in their reactor(s). These proposed requirements are in lieu 
of unnecessarily rigorous part 73 requirements (e.g., Sec. Sec.  73.45 
and 73.46), which would otherwise apply because of the MOX fuel's low 
plutonium content and the weight and size of the MOX fuel assemblies. 
The proposed MOX fuel security requirements are intended to be 
consistent with the approach implemented at Catawba Nuclear Station 
through the MOX lead test assembly effort.
    6. Cyber-security requirements. This proposed rule would contain 
more detailed programmatic requirements for addressing cyber security 
at power reactors, which build on the requirements imposed by the 
February 2002 order. The proposed cyber-security requirements are 
designed to be consistent with ongoing industry cyber-security efforts.
    7. Mitigating strategies. The proposed rule would require licensees 
to develop specific 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 
the loss of large areas of the plant due to explosions or fire. These 
proposed requirements would be incorporated into the proposed appendix 
C to part 73.
    8. Access authorization enhancements. The proposed changes would 
improve the integration of the access authorization requirements, 
fitness-for-duty requirements, and security program requirements. The 
proposed rule would include an increase in the rigor for some elements 
of the access authorization program including requirements for the 
conduct of psychological assessments, requirements for individuals to 
report arrests to the reviewing official, and requirements to clarify 
the responsibility for the acceptance of shared information. The 
proposed rule would also add requirements to allow NRC inspection of 
licensee information sharing records and requirements that subject 
additional individuals, such as those who have electronic access via 
computer systems or those who administer the access authorization 
program, to the access authorization requirements.
    9. Training and qualification enhancements. The proposed rule 
includes modifications to the training and qualification requirements 
that are based on insights from implementation of the security orders, 
review of site security plans, and implementation of the enhanced 
baseline inspection program and force-on-force exercises. These new 
requirements would include additional physical requirements for unarmed 
security personnel to assure that personnel performing these functions 
meet physical requirements commensurate with their duties. Proposed new 
requirements also include a minimum age requirement of 18 years for 
unarmed responders, qualification scores for testing required by the 
training and qualification plan, qualification requirements for 
security trainers, qualification requirements of personnel assessing 
psychological qualifications, armorer certification requirements, and 
program requirements for on-the-job training.
    10. Security Program Implementation insights. The proposed rule 
would impose new enhancements identified from implementation of the 
security orders, review of site security plans, and implementation of 
the enhanced baseline inspection program and force-on-force exercises. 
These new requirements would include changes to specifically require 
that the central alarm station (CAS) and secondary alarm station (SAS) 
have functionally equivalent capabilities such that no single act can 
disable the key functions of both CAS and SAS. The proposed additions 
would also include requirements for new reactor licensees to position 
the SAS within the protected area, add bullet resistance and limit the 
visibility into SAS. Proposed additions also require uninterruptible 
backup power supplies for detection and assessment equipment, ``video-
capture'' capability, and qualification requirements for drill and 
exercise controllers.
    11. Miscellaneous. The proposed rule would eliminate some 
requirements that the staff found to be unnecessary, while still 
providing high assurance that activities involving special nuclear 
material are not inimical to the common defense and security and do not 
constitute an unreasonable risk to the public health and safety. One 
such requirement to be eliminated provides for guards to escort 
operators of motor vehicles within the protected area if the operators 
are cleared for unescorted access. The proposed rule would also add new 
requirements, including predefined provisions for the suspension of 
safeguards measures for severe weather conditions that could result in 
life-threatening situations for security personnel (e.g., tornadoes, 
floods, and hurricanes), and reduced overly-prescriptive requirements 
through the inclusion of performance-based language to allow 
flexibility in the methods used to accomplish requirements.

IV. Section-by-Section Analysis

IV.1. New Weapons Requirements

    This proposed rulemaking would implement new weapons requirements 
that stem from the EPAct 2005. This is the only portion of this 
proposed rulemaking that involves facilities other than nuclear power 
reactors. The newly proposed weapons requirements would apply to power 
reactors and facilities authorized to possess a formula quantity or 
greater of strategic special nuclear material whose security plans are 
governed by Sec. Sec.  73.20, 73.45, and 73.46. The new requirements 
would be in three different sections and would include the utilization 
of an NRC Form:
    <bullet> Revised proposed Sec.  73.2, ``Definitions''.

[[Page 62668]]

    <bullet> Proposed Sec.  73.18, ``Firearms background checks for 
armed security personnel''.
    <bullet> Proposed Sec.  73.19, ``Authorization for use of enhanced 
weapons''.
    <bullet> Proposed NRC Form 754, ``Armed Security Personnel 
Background Check''.
    Under proposed Sec.  73.18, after the NRC approves the licensee's 
or certificate holder's application, all security personnel must have a 
satisfactorily completed firearms background check to have access to 
covered weapons. Licensees and certificate holders would be required 
under proposed Sec.  73.19 to notify the NRC that they have 
satisfactorily completed a sufficient number of firearms background 
checks to staff their security organization. The firearms background 
checks required by proposed Sec.  73.18 would be intended to verify 
that armed security personnel are not prohibited from receiving, 
possessing, transporting, or using firearms under Federal or State law. 
A firearms background check would consist of two parts, a check of an 
individual's fingerprints against the FBI's fingerprint system and a 
check of the individual's identity against the FBI's National Instant 
Criminal Background Check System (NICS). The NRC would propose a new 
NRC Form 754 for licensee or certificate holder security personnel to 
submit the necessary information to the NRC for forwarding to the FBI 
to perform the NICS portion of the firearms background check. The 
requirement to satisfactorily complete a firearms background check 
would apply to security personnel either directly employed by the 
licensee or certificate holder or employed by a security contractor to 
the licensee or certificate holder and whose official duties require 
access to covered weapons (i.e., armed security personnel) [see also 
new definitions for covered weapons, enhanced weapons, and standard 
weapons in Sec.  73.2]. Additionally, the requirement for licensees or 
certificate holders to ensure that their security personnel have 
satisfactorily completed a firearms background check would apply to 
licensees and certificate holders who have applied for and received NRC 
approval of preemption authority or enhanced-weapons authority. In 
order to simplify the rule language, Sec.  73.18 would only refer to 
applications for preemption authority because preemption authority 
would always be a necessary prerequisite for the receipt of enhanced 
weapons authority.
    The NRC would propose that a licensee or certificate holder may 
begin firearms background checks on armed security personnel after the 
licensee or certificate holder has applied to the NRC for the 
preemption authority section 161A of the AEA. Because the NRC has not 
previously had the authority to require its licensees or certificate 
holders to complete firearms background checks on security personnel, 
in most instances these requirements would be new to licensees and 
uncertainties exist over the amount of time to complete these checks. 
Thus delays in completing the checks (e.g., the time necessary to 
resolve any errors of fact in the FBI's NICS databases) could reduce 
the number of available security officers and create fatigue or minimum 
staffing level issues. Therefore, the NRC envisions working with 
licensees and certificate holders on a case-by-case basis to establish 
the date for NRC approval of an application for preemption authority; 
and thereby ensure that the licensee's or certificate holder's security 
organizations can continue to adequately protect the facility when the 
approval is issued.
    The Commission has not yet determined whether licensees and 
certificate holders may apply for preemption authority alone or 
combined preemption and enhanced-weapons authority prior to issuance of 
a final rule. In anticipation that the Commission does permit 
applications for section 161A authority prior to promulgation of a 
final rule, the proposed rule would include language to support a 
transition to these regulations from requirements imposed by Commission 
orders granting section 161A authority. The proposed rule would not, 
however, require a licensee or certificate holder to repeat a firearms 
background check for security personnel who previously satisfactorily 
completed a firearms background check that was required under 
Commission order. Consequently, this approach would provide both the 
Commission and industry with the maximum flexibility to expeditiously 
implement the security enhancements authorized by section 161A. The 
exception to this requirement would be for security personnel who have 
had a break in employment with the licensee or certificate holder or 
their security contractor, or who have transferred from another 
licensee or certificate holder (who previously completed a firearms 
background check on them). In either case these security personnel 
would be treated as new security personnel and they would be subject to 
a new firearms background check.
    The proposed rule would also provide direction on how security 
personnel who have received an adverse firearms background check (i.e., 
a ``denied'' or ``delayed'' NICS response) may: (1) Obtain further 
information from the FBI on the reason for the adverse response, (2) 
appeal a ``denied'' response, or (3) provide additional information to 
resolve a ``delayed'' response. Security personnel would be required to 
apply directly to the FBI for these actions (i.e., the licensee or 
certificate holder may not appeal to the FBI on behalf of the security 
personnel). Only after such personnel have successfully appealed their 
``denied'' response, and have subsequently received a ``proceed'' NICS 
response, would they be permitted access to covered weapons.
    Security personnel who receive a ``denied'' NICS response are 
presumed by ATF to be prohibited from possessing or receiving a firearm 
under federal law (see 18 U.S.C. 922) and may not have access to 
covered weapons unless they have successfully appealed the ``denied'' 
NICS response and received a ``proceed'' NICS response. Because of the 
structure of section 161A, the proposed rule would not require 
licensees or certificate holders to remove personnel with a ``denied'' 
response until after the NRC has approved the licensee's or certificate 
holder's application for preemption authority (i.e., licensee's and 
certificate holders would not be subject to the requirements of Sec.  
73.18 until after the NRC's approval of their application for 
preemption authority is issued). However, the NRC's expectation is that 
current licensees or certificate holders who receive a ``denied'' 
response for current security personnel would remove those personnel 
from any security duties requiring possession of firearms to comport 
with applicable Federal law and ATF regulations.
    The NRC would propose to charge the same fee for fingerprints 
submitted for a firearms background check as is currently imposed for 
fingerprints submitted for other NRC-required criminal history checks 
including fingerprints (i.e., an NRC administrative fee plus the FBI's 
processing fee). In addition, the NRC would charge an administrative 
fee for processing the NICS check information; however, no FBI fee 
would be charged for the NICS check.
    The proposed Sec.  73.19 would only apply to power reactor 
licensees and Category I special nuclear material licensees; therefore, 
only these two classes of licensees would be subject to the firearms 
background check provisions of Sec.  73.18. The NRC may, however, 
consider making stand-alone preemption authority or combined enhanced-
weapons authority and preemption authority available to other

[[Page 62669]]

types of licensees or certificate holders in future rulemakings.
    In Sec.  73.19, the NRC would propose requirements for a licensee 
or certificate holder to apply for stand-alone preemption authority or 
to apply for combined enhanced-weapons authority and preemption 
authority. Licensees and certificate holders who apply for enhanced-
weapons authority, must also apply for and receive NRC approval of 
preemption authority as a necessary prerequisite to receiving enhanced-
weapons authority. The NRC would propose limiting either authority to 
power reactor licensees and Category I SSNM licensees at this time. The 
NRC may consider applying this authority to other types of licensees, 
certificate holders, radioactive material, or other property (as 
authorized under section 161A) in future rulemakings. Obtaining 
enhanced-weapons authority from the NRC would be a necessary 
prerequisite for a licensee or certificate holder to apply under ATF's 
regulations for a Federal firearms license for these weapons. The NRC 
would propose that licensees and certificate holders who want to apply 
for enhanced-weapons authority must provide the NRC, for prior review 
and approval, a new or revised security plan, training and 
qualification plan, and safeguards contingency plan to reflect the use 
of these specific new weapons the licensee or certificate holder 
intends to employ and to provide a safety assessment of the onsite and 
offsite impact of these specific enhanced weapons.
    The proposed rule would also provide direction on acceptable 
training standards for training and qualification on enhanced weapons. 
The NRC would require licensees and certificate holders to complete 
training and qualification of security personnel on any enhanced 
weapons, before these personnel employ those weapons to protect the 
facility. The NRC would also require Commission licensees and 
certificate holders to notify the NRC of any adverse ATF findings 
associated with ATF's inspections, audits, or reviews of their Federal 
firearms license (FFL) (i.e., an FFL held by an NRC licensee or 
certificate holder).
    Finally, the NRC would propose to treat enhanced weapons the same 
as existing weapons for the purpose of ``use'' of these weapons; and 
therefore Sec.  73.19 would cross reference to existing regulation in 
Sec. Sec.  73.55 and 73.46 on the use of weapons by reactor licensees 
and by Category I SSNM licensees ( i.e., the NRC is not proposing 
separate requirements on enhanced weapons versus standard weapons; 
rather, requirements on the use of any weaponry possessed by the 
licensee or certificate holder should be appropriate for the facility).
    To implement the new weapons provisions, three new terms would be 
added to Sec.  73.2: covered weapon, enhanced weapon, and standard 
weapon.
    The proposed new weapons requirements and supporting discussion for 
the proposed language are set forth in more detail (including the 
proposed new definitions) in Table 1.

IV.2. Section 73.55, ``Requirements for Physical Protection of Licensed 
Activities in Nuclear Power Reactors Against Radiological Sabotage''

    Proposed Sec.  73.55 contains security program requirements for 
power reactor licensees. The security program requirements in Sec.  
73.55 would apply to all nuclear power plant licensees that hold a 10 
CFR part 50 license and to applicants who are applying for either a 
part 50 license or a part 52 combined license. Paragraph (a) of Sec.  
73.55 would identify the licensees and applicants for which the 
requirements apply, and the need for submitting to NRC (for review and 
approval) a ``Physical Security Plan,'' a ``Training and Qualification 
Plan,'' and a ``Safeguards Contingency Plan.'' Paragraph (b) of Sec.  
73.55 would set forth the performance objectives that govern power 
reactor security programs. The remaining paragraphs of Sec.  73.55 
would implement the detailed requirements for each of the security 
plans, as well as for the various features of physical security.
    This section would be extensively revised in an effort to make 
generically applicable security requirements imposed by Commission 
orders issued after the terrorist attacks of September 11, 2001, based 
upon experience and insights gained by the Commission during 
implementation, fulfill certain provisions of the EPAct of 2005, and 
add several new requirements that resulted from evaluation insights 
from implementation of the security orders, review of site security 
plans, and implementation of the enhanced baseline inspection program 
and force-on-force exercises. The proposed regulations would require an 
integrated security plan that begins at the owner controlled area 
boundary and would implement defense-in-depth concepts and protective 
strategies based on protecting target sets from the various attributes 
of the design basis threat. Notable additions to the proposed Sec.  
73.55 are summarized below.
Cyber Security Requirements
    The current security regulations do not contain requirements 
related to cyber security. Subsequent to the events of September 11, 
2001, the NRC issued orders to require power reactor licensees to 
implement measures to enhance cyber security. These security measures 
required an assessment of cyber systems and the implementation of 
corrective measures sufficient to provide protection against the cyber 
threats at the time the orders were issued.
    The proposed requirements maintain the intent of the security 
orders by establishing the requirement for a cyber security program to 
protect any system that, if compromised, can adversely impact safety, 
security, or emergency preparedness.
Requirements for CAS and SAS To Have Functionally Equivalent 
Capabilities Such That No Single Act Can Disable the Function of CAS 
and SAS
    Current regulatory requirements ensure that both CAS and SAS have 
equivalent alarm annunciation and communication capabilities, but do 
not explicitly require equivalent assessment, monitoring, observation, 
and surveillance capabilities. Further, the current requirement of 
Sec.  73.55(e)(1) states ``All alarms required pursuant to this part 
must annunciate in a continuously manned central alarm station located 
within the protected area and in at least one other continuously manned 
station not necessarily onsite, so that a single act cannot remove the 
capability of calling for assistance or otherwise responding to an 
alarm.'' The Commission orders added enhanced detection and assessment 
capabilities, but did not require equivalent capabilities for both CAS 
and SAS. The security plans approved by the Commission on October 29, 
2004, varied, due to the performance-based nature of the requirements, 
with respect to how the individual licensees implemented these 
requirements, but all sites were required to provide a CAS and SAS with 
functionally equivalent capabilities to support the implementation of 
the site protective strategy.
    The proposed rule would extend the requirement for no single act to 
remove capabilities to the key functions of the alarm stations and 
would require licensees to implement protective measures such that a 
single act would not disable the intrusion detection, assessment, and 
communications capabilities of both the CAS and SAS. This proposed 
requirement would ensure continuity of response

[[Page 62670]]

operations during a security event by ensuring that the detection, 
assessment, and communications functions required to effectively 
implement the licensee's protective strategy are maintained despite the 
loss of one or the other alarm station. For the purposes of assessing 
the regulatory burden of this proposed rule, the NRC assumed that all 
licensees would require assessments and approximately one third of the 
licensees would choose to implement hardware modifications.
    The NRC has concluded that protecting the alarm stations such that 
a single act does not disable the key functions would provide an 
enhanced level of assurance that a licensee can maintain detection, 
assessment and communications capabilities required to protect the 
facility against the design basis threat of radiological sabotage. For 
new reactor licensees, licensed after the publication of this rule, the 
Commission would require CAS and SAS to be designed, constructed, and 
equipped with equivalent standards.
Uninterruptible Power for Intrusion Detection and Assessment Systems
    Current regulatory requirements require back-up power for alarm 
annunciation and non-portable communication equipment, but do not 
require this back-up power to be uninterruptible. Although not 
specifically required, many licensees have installed uninterruptible 
power to their security systems for added reliability of these 
electronic systems. However, the Commission had not required 
uninterruptible power for assessment systems. For the purposes of 
assessing the regulatory burden of this proposed rule, the NRC assumed 
that only a small number of licensees would require hardware 
modifications to meet this proposed requirement.
    Through implementation of the Commission-approved security plans, 
baseline inspections, and force-on-force testing, the NRC has concluded 
that uninterruptible back-up power would provide an enhanced level of 
assurance that a licensee can maintain detection, assessment and 
communication capabilities required to protect the facility against the 
design basis threat of radiological sabotage. This new requirement 
would reduce the risk of losing detection, assessment, and 
communication capabilities during a loss of the normal power supply.
``Video-Capture'' Capability
    Current regulatory requirements address the use of closed circuit 
television systems, but do not explicitly require them. Although not 
specifically required, all licensees have adopted the use of video 
surveillance in their site security plans. Many of the licensees have 
adopted advanced video surveillance technology to provide real-time and 
play-back/recorded video images to assist security personnel in 
determining the cause of an alarm annunciation. For the purposes of 
assessing the regulatory burden of this proposed rule, the NRC assumed 
that a small percentage of licensees would require hardware 
modifications to comply with this proposed requirement for advanced 
video surveillance technology.
    Through implementation of the Commission-approved security plans, 
baseline inspections, and force-on-force testing, the NRC has concluded 
that advanced video technology would provide an enhanced level of 
assurance that a licensee can assess the cause of an alarm annunciation 
and initiate a timely response capable of defending the facility 
against the threat up to and including the design basis threat of 
radiological sabotage. Therefore the proposed rule would require 
advanced video surveillance technology.
    Implementation of Sec.  73.55 is linked principally to the 
application of appendix B to part 73, ``General criteria for security 
personnel,'' and appendix C to part 73, ``Licensee safeguards 
contingency plans,'' both of which would be revised in this proposed 
rulemaking. Proposed changes to these appendices are discussed in 
Sections IV.6 and IV.7 of this document.
    Table 2 sets forth the proposed Sec.  73.55 language as compared to 
the current language, and provides the supporting discussion for the 
proposed language including new definitions for security officer and 
target set that would be added to Sec.  73.2. Because Sec.  73.55 would 
be restructured extensively, Table 9 (See Section VIII) provides a 
cross reference to locate individual requirements of the current 
regulation within the proposed regulation.
    The Commission is interested in obtaining specific stakeholder 
input on the impacts and burdens for certain areas of proposed changes 
to Sec.  73.55. Due to the accelerated rulemaking schedule, the NRC 
staff's assessments of impacts to individual licensees as a result of 
the proposed new requirements have not been informed by stakeholder 
insights on potential implementation issues. Consequently, the 
Commission recognizes that its views on the feasability, costs, and 
time necessary to fully implement certain portions of this proposed 
rule (e.g., alarm station, supporting systems, video systems, and cyber 
security issues) by selected licensees may not be fully informed. 
Accordingly, the Commission is requesting persons commenting on this 
proposed rule to address the following questions:
    1. What insights and estimates can stakeholders provide on the 
feasability, costs, and time necessary to implement the proposed rule's 
changes to existing alarm stations, supporting systems, video systems, 
and cyber security?
    2. Are there any actions that should be considered, such as 
authorizing alternative measures, exemptions, extended implementation 
schedules, etc., that would allow the NRC to mitigate any unnecessary 
regulatory burden created by these requirements?

IV.3. Section 73.56, ``Personnel Access Authorization Requirements for 
Nuclear Power Plants''

    This section would continue to apply to all current part 50 
licensees and to all applicants who are applying for a new reactor 
license under parts 50 or 52, but would be extensively revised. 
Proposed Sec.  73.56 would retain the requirement for a licensee to 
determine that an individual is trustworthy and reliable before 
permitting the individual to have unescorted access to nuclear power 
plant protected areas and vital areas. The majority of the revisions in 
proposed Sec.  73.56 reflect several fundamental changes to the NRC's 
approach to access authorization requirements since the terrorist 
attacks of September 11, 2001, and the NRC's concern with the threat of 
an active or passive insider who may collude with adversaries to commit 
radiological sabotage. These changes would include: (1) An increase in 
the rigor of some elements of the access authorization program to 
provide increased assurance that individuals who have unescorted access 
authorization are trustworthy and reliable; (2) an elimination of 
temporary unescorted access provisions [prior to the completion of the 
full background check]; (3) an elimination of the provisions that 
permit relaxation of the program when a reactor is in cold shutdown; 
and (4) the addition of a new category of individuals who would be 
subject to Sec.  73.56.
    Proposed Sec.  73.56(b)(ii) would require licensees' access 
authorization programs to cover individuals whose job duties and 
responsibilities permit them to access or use digital computer systems 
that may affect licensees' operational safety and security systems, and 
emergency response capabilities. Historically digital computer systems 
have played a limited role in the operation of nuclear power plants. 
However, the role of computer systems

[[Page 62671]]

at nuclear power plants is increasing, as licensees take advantage of 
computer technology to maximize plant productivity. In general, 
licensees currently exclude from their access authorization programs, 
individuals who may electronically access equipment in the protected 
areas of nuclear power plants to perform their job functions, if their 
duties and responsibilities do not require physical unescorted access 
to the equipment located within protected or vital areas. However, 
because these individuals manage and maintain the networks that connect 
to equipment located within protected or vital areas and are 
responsible for permitting authorized and/or trusted personnel to gain 
electronic access to equipment and systems, they are often granted 
greater electronic privileges than the trusted and authorized 
personnel. With advancements in electronic technology and 
telecommunications, differences in the potential adverse impacts of a 
saboteur's actions through physical access and electronic access are 
lessening. Thus, the proposed rule would require those individuals who 
have authority to electronically access equipment that, if compromised, 
can adversely impact operational safety, security or emergency 
preparedness of the nuclear power plants, to be determined to be 
trustworthy and reliable.
    The proposed revisions to Sec.  73.56 would also address changes in 
the nuclear industry's structure and business practices since this rule 
was originally promulgated. At the time the current Sec.  73.56 was 
developed, personnel transfers between licensees (i.e., leaving the 
employment of one licensee to work for another licensee) with 
interruptions in unescorted access authorization were less common. Most 
licensees operated plants at a single site and maintained an access 
authorization program that applied only to that site. When an 
individual left employment at one site and began working for another 
licensee, the individual was subject to a different access 
authorization program that often had different requirements. Because 
some licensees were reluctant to share information about previous 
employees with the new employer, licensees often did not have access to 
the information the previous licensee had gathered about the individual 
and so were required to gather the necessary information again. The 
additional effort to collect information that another licensee held 
created a burden on both licensees and applicants for unescorted access 
authorization. But, because few individuals transferred, the burden was 
not excessive.
    However, since 1991, the industry has undergone significant 
consolidation and developed new business practices to use its workforce 
more efficiently. Industry efforts to better use staffing resources 
have resulted in the development of a transient workforce that travels 
from site to site as needed, such as roving outage crews. Although the 
industry has always relied on contractors and vendors (C/V) for special 
expertise and staff for outages, the number of transient personnel who 
work solely in the nuclear industry has increased and the length of 
time they are on site has decreased. Because the current regulations 
were written on the basis that the majority of nuclear personnel would 
remain at one site for years, and that licensees would maintain 
independent, site-specific access authorization programs and share 
limited information, the current regulations do not adequately address 
the transfer of personnel between sites.
    In light of the NRC's increased concern with an insider threat 
since September 11, 2001, the increasingly mobile nuclear industry 
workforce has heightened the need for information sharing among 
licensee access authorization programs, including C/V authorization 
programs upon which licensees rely, to ensure that licensees have 
information that is as complete as possible about an individual when 
making an unescorted access authorization decision. To address this 
need, the access authorization orders issued by the NRC to nuclear 
power plant licensees on January 7, 2003, mandated increased sharing of 
information. In addition, proposed Sec.  73.56 would require licensees 
and C/V to collect and share greater amounts of information than under 
the current rule, subject to the protections of individuals' privacy 
that would be specified in proposed Sec.  73.56(m) [Protection of 
information]. As a result, individuals who are subject to this section 
would establish a detailed ``track record'' within the industry that 
would potentially cover their activities over long periods of time and 
would follow them if they change jobs and move to a new position that 
requires them to be granted unescorted access authorization by another 
licensee. The proposed requirement acknowledges the industry initiative 
to develop and utilize a database to ensure accurate information 
sharing between sites. This increased information sharing is necessary 
to provide high assurance that individuals who are granted and maintain 
unescorted access authorization are trustworthy and reliable when 
individuals move between access authorization programs. In addition, 
the increased information sharing would reduce regulatory burden on 
licensees when processing individuals who have had only short breaks 
between periods of unescorted access authorization.
    Another change in the NRC's proposed approach to access 
authorization requirements is the result of a series of public meetings 
that were held with stakeholders during 2001-2004 to discuss potential 
revisions to 10 CFR part, 26, ``Fitness-for-Duty Programs.'' Part 26 
establishes additional steps that the licensees who are subject to 
Sec.  73.56 must take as part of the process of determining whether to 
grant unescorted access authorization to an individual or permit an 
individual to maintain unescorted access authorization. These 
additional requirements focus on aspects of an individual's behavior, 
character, and reputation related to substance abuse. They require the 
licensee and other entities who are subject to part 26 to conduct drug 
and alcohol testing of individuals and an inquiry into the individual's 
past behavior with respect to illegal drug use or consumption of 
alcohol to excess, as part of determining whether the individual may be 
granted unescorted access authorization. However, historically there 
have been some inconsistencies and redundancies between the Sec.  73.56 
access authorization requirements and the related requirements in part 
26. These inconsistencies have led to implementation questions from 
licensees, as well as inconsistencies in how licensees have implemented 
the requirements. The redundancies have, in other cases, imposed an 
unnecessary regulatory burden on licensees.
    During public meetings held to discuss potential changes to part 
26, the stakeholders pointed out ambiguities in the terms used in both 
part 26 and Sec.  73.56, apparent inconsistencies and redundancies in 
the related requirements, and reported many experiences in which the 
ambiguities and lack of specificity and clarity in current Sec.  73.56 
had resulted in unintended consequences. Although these meetings did 
not focus on Sec.  73.56, many of the stakeholders' comments directly 
resulted in some of the proposed changes to Sec.  73.56. (Summaries of 
these meetings, and any comments provided through the Web site, are 
available at http://ruleforum.llnl.gov/cgi-bin/rulemake?source=Part26_risk&st=risk.) In response to stakeholder requests, the

[[Page 62672]]

NRC has proposed language changes to improve the clarity and 
specificity of the requirements in proposed Sec.  73.56 and 
substantially reorganized the section to present the requirements 
generally in the order in which they would apply to licensees' access 
authorization processes. The proposed changes are expected to result in 
more uniform implementation of the requirements, and, consequently, 
greater consistency in achieving the goals of Sec.  73.56. Table 3 sets 
forth the proposed Sec.  73.56 language as compared to the current 
language, and discusses the proposed language.
    The Commission is interested in obtaining specific stakeholder 
input on the following two issues:
    1. The Commission requests public comment specific to the 
appropriateness of the framework for the Insider Mitigation Program as 
specified by the proposed 10 CFR 73.55(b)(7)(i) and 73.55(b)(7)(ii). 
The proposed rule specifies that the Insider Mitigation Program include 
elements of the access authorization program, fitness-for-duty program, 
behavioral observation program, and various physical security measures 
for the purpose of providing assurance that insider activities would be 
detected before adverse affects could be realized.
    2. The Commission requests public comment on the feasibility of 
adding a requirement to the proposed rule to require a modified 
escorted visitor access provision which would allow site visits by 
members of the public to limited areas of the facility for the purpose 
of enhancing public education and awareness through informational 
briefings and tours at the facility.

IV.4. Section 73.58 ``Safety/Security Interface Requirements for 
Nuclear Power Reactors''

    The NRC is proposing to add a new requirement to part 73 addressing 
the safety/security interface for nuclear power reactor licensees. The 
need for the proposed new requirement is based upon the NRC's 
experience in reviewing licensees' implementation of a significant 
number of new security requirements since the terrorist attacks of 
September 11, 2001. Licensees have always been required to ensure that 
any changes to safety functions, systems, programs, and activities do 
not have unintended consequences on other facility safety functions, 
systems, programs, and activities. Likewise, licensees have been 
required to ensure that any changes to security functions, systems, 
programs, and activities do not have unintended consequences on other 
facility security functions, systems, programs, and activities. 
However, the Commission has concluded that the pace, number, and 
complexity of these security changes warrant the establishment of a 
more formal program to ensure licensees properly assess the safety/
security interface in implementing these changes.
    On April 28, 2003, the Union of Concerned Scientists and the San 
Luis Obispo Mothers for Peace submitted a petition for rulemaking (PRM-
50-80) requesting that, in part, the NRC's regulations establishing 
conditions of licenses and requirements for evaluating proposed 
changes, tests, and experiments for nuclear power plants be amended to 
require licensee evaluation of whether the proposed changes, tests, and 
experiments cause protection against radiological sabotage to be 
decreased and, if so, that the changes, tests, and experiments only be 
conducted with prior NRC approval. In SECY-05-0048, dated March 28, 
2005, the NRC staff recommended that the Commission approve rulemaking 
for the requested action, but did not necessarily endorse the specific 
amendments suggested by the petition. In SECY-05-0048, dated June 28, 
2005, the Commission directed the staff to develop the technical basis 
for such a rule and to incorporate its provisions within the ongoing 
power reactor security requirements rulemaking. This proposed rule 
addresses, in part, the petitioner's request by incorporating proposed 
Sec.  73.58 within this rulemaking.
    The Commission has determined that the proposed safety/security 
interface rule requirements are necessary because the current 
regulations do not specifically require evaluation of the effects of 
plant changes on security or the effects of security changes on plant 
safety. Further, current regulations do not require communication about 
the implementation and timing of changes, which would promote awareness 
of the effects of changing facility conditions and result in 
appropriate assessment and response.
    The NRC is aware of a number of occurrences of adverse safety/
security interactions at nuclear power plants over the years to justify 
consideration of a new rule. Examples of adverse interactions include: 
(1) Inadvertent security barrier breaches while performing maintenance 
activities (e.g., cutting of pipes that provided uncontrolled access to 
vital areas, removing ventilation fans or other equipment from vital 
area boundary walls without taking compensatory measures to prevent 
uncontrolled access into vital areas); (2) Blockage of bullet resisting 
enclosure's (or other defensive firing position's) fields of fire; (3) 
Erection of scaffolding and other equipment without due consideration 
of its impact on the site's applicable physical protection strategy; 
and (4) Staging of temporary equipment within security isolation zones.
    Security could also adversely affect operations because of 
inadequate staffing of security force personnel on backshifts, 
weekends, and holidays, to support operations during emergencies (e.g., 
opening and securing vital area access doors to allow operations 
personnel timely access to safety-related equipment). Also, security 
structures, such as vehicle barriers, delay barriers, rerouted 
isolation zones, or defensive shields could adversely affect plant 
equipment such as valve pits, fire stations, other prepositioned 
emergency equipment, blowout panels, or otherwise interfere with 
operators responding to plant events.
    The NRC considered many factors in developing this proposed new 
requirement. One of the factors considered is that existing change 
processes are focused on specific areas of plant activities, and that 
implementation of these processes is generally well understood by 
licensees. An example is found in Sec.  50.54(p), which provides that a 
reactor licensee may make changes to its safeguards contingency plans 
without Commission approval provided that the changes do not decrease 
the safeguards effectiveness of the plan. Similarly, Sec.  50.65(a)(4) 
provides that a reactor licensee shall assess and manage the increase 
in risk that may result from proposed maintenance activities. However, 
neither Sec. Sec.  50.54(p) (security) nor 50.65(a)(4) (safety) require 
that an assessment for potential adverse impacts on safety/security 
interface be made before the proposed changes are implemented. The 
proposed Sec.  73.58 would address this gap by requiring that, before 
implementing allowed changes, licensees must assess the changes with 
respect to the safety/security interface and, if potential adverse 
interactions are identified, take appropriate compensatory and/or 
mitigative action before making the changes.
    The proposed rule reflects a performance-based approach and 
language which is sufficiently broad that, in addition to operating 
power reactors, it could be applied to other classes of licensees in 
separate rulemaking(s), if conditions warrant. In addition to the 
requirements in proposed Sec.  73.58, a new definition for

[[Page 62673]]

safety/security interface would be added to Sec.  73.2.
    Table 4 sets forth the proposed Sec.  73.58 language and provides 
the supporting discussion for the proposed language, including a new 
definition for safety/security interface that would be added to Sec.  
73.2.

IV.5. Section 73.71 ``Reporting of Safeguards Events''

    The events of September 11, 2001, emphasized the need for the 
capability to respond to coordinated attacks that could pose an 
imminent threat to national infrastructure such as nuclear power 
reactor sites. Prompt licensee notification to the NRC of a security 
event involving an actual or imminent threat would initiate the NRC's 
alerting mechanism for other nuclear facilities in recognition that an 
attack or threat against a single facility may be the prelude to 
attacks or threats against multiple facilities. In either case, timely 
communication of this event to the NRC, and the NRC's communication of 
the threat or attack to other licensees could reduce the adversaries' 
ability to engage in coordinated attacks and would strengthen the 
licensees' response posture. NRC would also initiate notifications to 
the Homeland Security/Federal response networks for an ``Incident of 
National Significance,'' as defined by the National Response Plan 
(NRP).
    Currently, Sec.  73.71(b)(1) requires power reactor licensees to 
notify the NRC within one hour of discovery, as described in Paragraph 
I of appendix G to 10 CFR part 73, ``Reportable safeguards events.'' In 
addition, Sec.  50.72 establishes reporting requirements for events 
requiring an emergency declaration in accordance with a licensee's 
emergency plan. Licensee notification under Sec.  50.72(a)(3) is 
required only after the threat is assessed, an ``Emergency Class'' is 
declared, and initial notification of appropriate State and local 
agencies are completed first (i.e., not upon discovery). The current 
timing of requirements of this notification would not allow the NRC to 
warn other licensees of a potential threat to their facilities in a 
prompt manner to allow other licensees to change their security posture 
in advance of a threat or potential attack. The Commission has 
previously advised licensees of the need to expedite their initial 
notification to the NRC. The proposed accelerated notification 
requirements are similar to those provided to licensees in NRC Bulletin 
2005-02, ``Emergency Preparedness and Response Actions for Security-
Based Events,'' dated July 18, 2005.
    The proposed amendments to Sec.  73.71 would add a new expedited 
notification requirement for licensees subject to the provisions of 
Sec.  73.55 to notify the NRC Operations Center as soon as possible 
after the discovery of an imminent or actual threat against the 
facility as described in appendix G to part 73, but not later than 15 
minutes after discovery. The proposed amendments to Sec.  73.71 and 
appendix G to part 73 would also add two additional four-hour 
notification requirements for suspicious events and tampering events 
not otherwise covered under appendix G to part 73. The proposed Sec.  
73.71 would retain the requirement for the licensee to maintain a 
continuous communications channel for one-hour notifications upon 
request of the NRC. The proposed rule would not require a continuous 
communications channel for four-hour notifications, because of the 
lesser degree of urgency of these events. For 15-minute notifications, 
the NRC may request the licensee establish a continuous communications 
channel after the licensee has made any emergency notifications to 
State officials or local law enforcement and if the licensee has taken 
action to stabilize the plant following any transient [associated with 
the 15-minute notification]. In NRC Bulletin 2005-02, ``Emergency 
Preparedness and Response Actions for Security-Based Events,'' dated 
July 18, 2005, the NRC had indicated a continuous communications 
channel was not necessary for the new 15-minute notifications. However, 
in developing this proposed rule the Commission has evaluated the need 
to promptly obtain information of an unfolding event versus imposing an 
unreasonable burden on licensees in the midst of a rapidly unfolding 
event and possible plant transient. The Commission considers that the 
proposed regulation would provide a reasonable balance between these 
two objectives. Table 5 sets forth the proposed amendments to Sec.  
73.71 language as compared to the current language, and provides the 
supporting discussion for the proposed language. Table 8 sets forth the 
proposed amendments to the appendix G to part 73 language as compared 
to the current language, and provides the supporting discussion for the 
proposed language.
    The Commission is interested in obtaining specific stakeholder 
input on the proposed changes to Sec.  73.71 and appendix G to part 73 
. Accordingly, the Commission is requesting persons commenting on this 
proposed rule to address the following question:
    1. For the types of events covered by the proposed four-hour 
notification requirements in Sec.  73.71 and appendix G to part 73, 
should the notification time interval of all or some of these 
notifications be different (e.g., a 1-hour, 2-hour, 8-hour, 24-hour 
notification)? If so, what notification time interval is appropriate? 
``Notification time interval'' is meant to be the time from when a 
licensee recognizes that an event has occurred or is occurring to the 
time that the licensee reports the event to the NRC.

IV.6. Appendix B to Part 73, ``General Criteria for Security 
Personnel''

    Appendix B to part 73 provides requirements for the training and 
qualification of security personnel to ensure that security personnel 
can execute their duties. Following the events of September 11, 2001, 
the Commission determined that tactical proficiency and physical 
fitness requirements governing licensees' armed security force 
personnel needed to be enhanced. The proposed amendments to appendix B 
to part 73 make generically applicable security requirements imposed by 
Commission orders issued after the terrorist attacks of September 11, 
2001, based upon experience and insights gained by the Commission 
during implementation and add several new requirements that resulted 
from evaluation insights from force-on-force exercises.
    Notable additions to the proposed appendix B to part 73 
requirements are summarized as follows:
Additional Physical Requirements and Minimum Age Requirements for 
Unarmed Members of the Security Organization
    Unarmed security personnel perform duties similar to armed security 
personnel, such as detection, assessment, vehicle and personnel escort, 
and vital area controls. The current requirements for unarmed members 
of the security organization state, in part, that these individuals 
shall have no physical weaknesses or abnormalities that would affect 
their performance of assigned duties. However, the current rule does 
not require unarmed personnel to pass a physical examination to verify 
that they meet standards for vision, hearing, or some portions of 
psychological qualifications. The proposed rule would include a 
requirement to assure that unarmed security personnel are physically 
capable of performing their assigned duties.
    Additionally, the current rule specifies a minimum age of 21 years 
old

[[Page 62674]]

for armed security personnel, but does not specify a minimum age 
requirement for unarmed security personnel. The proposed rule would 
require that unarmed members attain the age of 18 prior to assignment 
to establish a minimum age requirement for unarmed members of the 
security organization at a power reactor facility.
    These proposed additional requirements would assure that personnel 
performing security functions, whether armed or unarmed, meet 
appropriate age, vision, hearing and psychological requirements 
commensurate with their assigned security duties.
Qualification Scores for Program Elements Required by the Training and 
Qualification Plan
    The current rule includes daylight qualification scores of 70 
percent for handguns, 80 percent for semiautomatic rifles, 50 percent 
for shotguns and a requirement for night fire familiarization with 
assigned weapons. The April 29, 2003, Training Order imposed new 
requirements for the firearms training and qualification programs at 
power reactor licensees. The Training Order retained the current 
daylight qualification scores of 70 percent for handguns, 80 percent 
for semiautomatic rifles and superceded the daylight qualification 
score of 50 percent for the shotgun. The order did not specify a 
qualification score for the daylight course of fire for the shotgun, 
only an acceptable level of proficiency. The order superceded the 
current rule for night fire familiarization and added courses of fire 
for night fire and tactical training with assigned weapons.
    The proposed rule would retain the qualification scores of the 
existing regulations and add specific qualification scores for the 
daylight course of fire for the shotgun and/or enhanced weapons, the 
night fire qualification for shotguns, handguns, semiautomatic rifles 
and/or enhanced weapons and the tactical course of fire for all 
assigned weapons to remain consistent with the qualification scoring 
methodology contained in the current rule. The scoring methodology for 
the current rule and the proposed rule is consistent with the scoring 
methodology used for firearms programs at the local, State and Federal 
levels and is consistent with approved courses of fire from the law 
enforcement community and recognized national entities.
    The proposed rule would also include a requirement for a 
qualification score of 80 percent for the annual written exam. The 
current rule does not provide a requirement for an annual written exam 
score. Likewise, the April 29, 2003, Training Order that required 
licensees to develop and implement an annual written exam also did not 
specify a qualification score. The Commission has determined that a 
score of 80 percent demonstrates a minimum level of understanding and 
familiarity of the material necessary to adequately perform security-
related tasks. The 80-percent score would be consistent with minimum 
scores commonly utilized throughout the nuclear industry.
Qualification Requirements for Security Trainers, Personnel Assessing 
Psychological Qualifications and Armorer Certifications
    The current rule and the security orders do not specifically 
address the qualification or certification of instructors, or other 
personnel that have assigned duties and responsibilities for 
implementation of training and qualification programs of power reactor 
licensees.
    The proposed rule includes specific references to personnel that 
have assigned duties and responsibilities for implementation of 
training and qualification programs to ensure these persons are 
qualified and/or certified to make determinations of security personnel 
suitability, working condition of security equipment, and overall 
determinations that security personnel are trained and qualified to 
execute their assigned duties.
On-the-Job Training
    The current rule states in part that each individual who requires 
training to perform assigned security duties shall, prior to 
assignment, be trained to perform these tasks and duties. Each 
individual shall demonstrate the required knowledge, skill and ability 
in accordance with specific standards of each task.
    The proposed rule would specify the new requirement that the 
licensee include on-the-job training as part of the training and 
qualification program prior to assigning an individual to an 
unsupervised security position. This requirement is in addition to 
formal and informal classroom training. The on-the-job training program 
would provide the licensee the ability to assess an individual's 
knowledge, skill and ability to effectively carry-out assigned duties, 
in a supervised manner, within the actual work environment, before 
assignment, to an unsupervised position.
    The proposed revision to appendix B of part 73 required special 
treatment in this rulemaking to preserve, with a minimum of conforming 
changes, the current requirements for licensees and applicants to whom 
this proposed rule would not apply. Accordingly, Section I through V of 
appendix B to part 73 would remain unchanged, and the proposed new 
language for power reactors would be added as Section VI.
    Table 6 sets forth the proposed amendments to appendix B to part 73 
and provides the supporting discussion for the proposed language. 
Because this section would be extensively restructured, Table 10 (See 
Section VIII) provides a cross-reference to locate individual 
requirements of the current regulation within the proposed regulation.

IV.7. Appendix C to Part 73, ``Licensee Safeguards Contingency Plans''

    Appendix C to part 73 provides requirements that govern the 
development of safeguards contingency plans. Following the terrorist 
attacks of September 11, 2001, the NRC conducted a thorough review of 
security to continue to ensure that nuclear power plants had effective 
security measures in place given the changing threat environment. The 
proposed appendix C would increase the information required in the 
safeguards contingency plans for responses to threats, up to and 
including, design basis threats, as described in Sec.  73.1. Notable 
additions to the proposed appendix C to part 73 requirements are 
summarized below:
Mitigating Strategies
    Current regulations do not include requirements to develop 
mitigating strategies for events beyond the scope of the design basis 
threat. The orders issued after September 11, 2001, included a 
requirement to preplan strategies for coping with such events. The 
proposed appendix C to part 73 would contain this element of the orders 
to require that licensees preplan strategies to respond to and mitigate 
the consequences of potential events, including those that may result 
in the loss of large areas of the plant due to explosions or fire.
Qualification Requirements for Drill and Exercise Controllers
    The current rule and the security orders do not specifically 
address the qualification of personnel that are assigned duties and 
responsibilities for implementation of training and qualification 
drills and exercises at power reactor licensees.
    The proposed rule includes specific references to personnel who 
function as drill and exercise controllers to ensure these persons are 
trained and qualified to execute their assigned duties. Drills

[[Page 62675]]

and exercises are key elements to assuring the preparedness of the 
licensee security force and must be conducted in a manner that 
demonstrates the licensee's ability to execute the protective strategy 
as described in the site security plans. Additionally, drills and 
exercises must be performed properly to assure they do not negatively 
impact personnel or plant safety.
    The proposed revision to appendix C of part 73 required special 
treatment in this rulemaking to preserve, with a minimum of conforming 
changes, the current requirements for licensees and applicants to whom 
this proposed rule would not apply. Accordingly, appendix C to part 73 
would be divided into two sections, with Section I maintaining all 
current requirements, and Section II containing all proposed 
requirements related to nuclear power reactors.
    Table 7 sets forth the proposed amendments to appendix C to part 73 
and provides the supporting discussion for the proposed language. 
Because this section would be extensively restructured, Table 11 (See 
Section VIII) is a cross-reference showing where individual 
requirements of the current regulation would be in the proposed 
regulation.

IV.8. Appendix G to Part 73, ``Reportable Safeguards Events''

    Proposed appendix G to part 73 provides requirements regarding the 
reporting of safeguards events. Proposed appendix G would contain 
changes to support the revised and accelerated reporting requirements 
which would be incorporated into this rulemaking. Proposed appendix G 
to part 73 would also contain revised four-hour reporting requirements 
that would require licensees to report to the NRC information of 
suspicious surveillance activities, attempts at access, or other 
similar information as addressed in Appendix G, section III (a)(1) and 
(2). Following September 11, 2001, the NRC issued guidance requesting 
that licensees report suspicious activities near their facilities to 
allow assessment by the NRC and other appropriate agencies. The 
proposed new reporting requirement would clarify this expectation to 
assure consistent reporting of this important information. 
Additionally, the proposed rule would contain an additional four-hour 
reporting requirement for tampering events that do not meet the 
threshold for reporting under the current one-hour requirements. The 
proposed reporting requirements for tampering events would allow NRC 
assessment of these events. Table 8 sets forth the proposed amendments 
to appendix G to part 73 and provides the supporting discussion for the 
proposed language.
    The Commission is interested in obtaining specific stakeholder 
input on the following issue:
    1. The Commission requests public comment on the need to establish 
an additional requirement for licensees to establish and maintain 
predetermined communication protocols, such as passwords, with the 
Nuclear Regulatory Commission in order to verify the authenticity of 
communications during a security event, to include requirements for 
uniform protocols to verify the authenticity of reports required under 
this proposed rule.

IV.9. Conforming and Corrective Changes

    The following conforming changes would also be made: Sec. Sec.  
50.34 and 50.54 (references to the correct paragraphs of revised 
appendix C of part 73), Sec.  50.72 (changes to Sec.  73.71 reports), 
Sec. Sec.  72.212 and 73.70 (references to the correct paragraphs due 
to renumbering of Sec.  73.55), and Sec.  73.8 (adding Sec.  73.18, 
Sec.  73.19, and revised to reflect new NRC form 754 to reflect 
recordkeeping or reporting burden). A corrective change would also be 
made to Sec.  73.8 to reflect an existing recordkeeping or reporting 
burden for NRC Form 366 under Sec.  73.71. However, no changes would be 
made to Sec.  73.81(b) (due to the new Sec. Sec.  73.18, 73.19, and 
73.58), because willful violations of Sec. Sec.  73.18, 73.19, and 
73.58 may be subject to criminal penalties.

 Table 1.--Proposed Part 73.18 and 73.19 and Conforming Changes to Part
                                  73.2
      [Firearms background checks for armed security personnel and
    authorization for preemption of firearms laws and use of enhanced
                                weapons]
------------------------------------------------------------------------
           Proposed language                      Considerations
------------------------------------------------------------------------
Sec.   73.18 Firearms background checks  This new section would
 for armed security personnel.            implement the firearms
(a) Purpose. This section sets forth      background check requirements
 the requirements for completion of       of new section 161A of the
 firearms background checks on armed      Atomic Energy Act of 1954, as
 security personnel at selected NRC-      amended. Section 161A was
 regulated facilities. Firearms           added by section 653 of the
 background checks are intended to        Energy Policy Act of 2005.
 verify that security personnel whose    The proposed rule language in
 duties require access to covered         Sec.  Sec.   73.18 and 73.19,
 weapons are not prohibited from          and conforming changes to Sec.
 receiving, possessing, transporting,       73.2 would be consistent
 importing, or using such weapons under   with the guidelines required
 applicable Federal or State law.         by section 161A.d to implement
 Licensees and certificate holders        the provisions of section
 listed under paragraph (c) of this       161A. Section 161A.d requires
 section who have applied for             the Commission to issue
 preemption authority under Sec.          guidelines, with the approval
 73.19 (i.e., Sec.   73.19 authority),    of the Attorney General, for
 or who have been granted preemption      section 161A to take effect.
 authority by Commission order, are       In parallel and separate from
 subject to the requirements of this      this rulemaking effort,
 section.                                 guidelines are being developed
                                          by staffs from the NRC and the
                                          Department of Justice (DOJ),
                                          [including staffs from the FBI
                                          and ATF].
                                         During development of these
                                          guidelines, the DOJ indicated
                                          that the firearms background
                                          check provisions of section
                                          161A only take effect if a
                                          triggering event occurs. A
                                          triggering event would occur
                                          when a licensee or certificate
                                          holder applies to the NRC to
                                          use the stand-alone preemption
                                          authority or the combined
                                          enhanced-weapons and
                                          preemption authority of
                                          section 161A. Therefore, armed
                                          security personnel of both
                                          current and future licensees
                                          and certificate holders would
                                          not be subject to the firearms
                                          background check provisions of
                                          the proposed Sec.   73.18,
                                          unless their employing
                                          licensee or certificate holder
                                          applies for and receives Sec.
                                           73.19 authority from the NRC.

[[Page 62676]]

 
Sec.   73.18(b) General Requirements.    Paragraph (b)(1) would require
 (1) Licensees and certificate holders    current and future licensees
 listed in paragraph (c) of this          and certificate holders who
 section who have received NRC approval   have received NRC approval of
 of their application for preemption      their application for
 authority shall ensure that a firearms   preemption authority to ensure
 background check has been                that all security personnel
 satisfactorily completed for all         whose official duties require
 security personnel requiring access to   access to covered weapons
 covered weapons as part of their         satisfactorily complete a
 official security duties prior to        firearms background check. The
 granting access to any covered weapons   firearms background check must
 to those personnel. Security personnel   be satisfactorily completed to
 who have satisfactorily completed a      permit access to covered
 firearms background check, but who       weapons. The Commission
 have had a break in employment with      intends for duties ``requiring
 the licensee, certificate holder, or     access to a covered weapon''
 their security contractor of greater     to include such duties as:
 than one (1) week subsequent to their    Security operations
 most recent firearms background check,   activities; training and
 or who have transferred from a           qualification activities; and
 different licensee or certificate        weapons' maintenance,
 holder (even though the other licensee   handling, accountability,
 or certificate holder satisfactorily     transport, and use activities.
 completed a firearms background check    [See also new definitions for
 on such individuals), are not excepted   covered weapons, enhanced
 from the requirements of this section.   weapons, and standard weapons
                                          in Sec.   73.2 at the end of
                                          Table 1]. A new firearms
                                          background check would be
                                          required for security
                                          personnel who have a break in
                                          employment or who have
                                          transferred from another
                                          licensee or certificate holder
                                          irrespective of whether the
                                          individual previously
                                          satisfactorily completed a
                                          firearms background check
                                          (i.e., such individuals would
                                          be treated as new security
                                          personnel and subject to a new
                                          firearms background check).
Sec.   73.18(b)(2) Security personnel    The NRC staff recognizes that
 who have satisfactorily completed a      the Commission has not yet
 firearms background check pursuant to    made a final decision on
 Commission orders are not subject to a   whether licensees and
 further firearms background check        certificate holders may apply
 under this section, unless these         for preemption authority alone
 personnel have a break in service or     or combined preemption and
 transfer as set forth in paragraph       enhanced-weapons authority
 (b)(1) of this section.                  prior to issuance of a final
                                          rule; however, the proposed
                                          rule would include language to
                                          support a transfer from any
                                          orders associated with such
                                          applications for section 161A
                                          authority to regulations and
                                          thereby provide both the
                                          Commission and industry with
                                          the maximum flexibility to
                                          expeditiously implement the
                                          security enhancements of
                                          section 161A.
                                         Paragraph (b)(2) would exempt
                                          previously checked personnel
                                          from a recheck, except in the
                                          case of a break in service or
                                          transfer [as in paragraph
                                          (b)(1)].
Sec.   73.18(b)(3) A change in the       Paragraph (b)(3) would indicate
 licensee, certificate holder, or         that changes in the security
 ownership of a facility, radioactive     contractor or ownership of the
 material, or other property designated   licensee or certificate holder
 under Sec.   73.19, or a change in the   are not triggering events that
 security contractor that provides        require a new firearms
 security personnel responsible for       background check.
 protecting such facilities,             Paragraph (b)(4) would indicate
 radioactive material, or other           that Licensee and certificate
 property, shall not constitute `a        holders may begin submitting
 break in service' or `transfer,' as      their security personnel for
 those terms are used in paragraph        firearms background checks
 (b)(2) of this section.                  after the licensee or
(4) Licensees and certificate holders     certificate holder has applied
 listed in paragraph (c) of this          to the NRC for preemption
 section may begin the application        authority alone or combined
 process for firearms background checks   preemption and enhanced
 under this section for security          weapons authority (i.e., Sec.
 personnel whose duties require access     73.19 authority).
 to covered weapons immediately on       Paragraph (b)(5) would indicate
 application to the NRC for preemption    that firearms background
 authority.                               checks are in addition to
(5) Firearms background checks do not     access authorization or
 replace any other background checks or   security clearance checks that
 criminal history checks required for     security personnel currently
 the licensee's or certificate holder's   undergo under other NRC
 security personnel under this chapter.   regulations (e.g., Sec.  Sec.
                                           11.15, 25.17 or 73.57). The
                                          NRC expects licensees and
                                          certificate holders who become
                                          aware of any new potentially
                                          derogatory information on
                                          current security personnel
                                          (through the completion of a
                                          firearms background check), to
                                          evaluate any such information
                                          for applicability as required
                                          by the licensee's or
                                          certificate holder's access
                                          authorization or security
                                          clearance programs.
Sec.   73.18(c) Applicability. This      Paragraph (c) would define the
 section applies to licensees or          applicability of Sec.   73.18
 certificate holders who have applied     to licensees or certificate
 for or received NRC approval of their    holders who have applied for
 application for Sec.   73.19 authority   or received Commission
 or were issued Commission orders         approval of stand-alone
 requiring firearms background checks.    preemption authority or
                                          combined enhanced-weapons and
                                          preemption authority [see
                                          considerations below for Sec.
                                           73.19(c) on the applicability
                                          of licensee and certificate
                                          holder under this proposed
                                          rule].
                                         Note: portions of this section
                                          would apply to licensee or
                                          certificate holder who has
                                          applied for, but not yet
                                          received preemption authority
                                          (e.g., requirements for
                                          submission of fingerprints) or
                                          those portions that would only
                                          apply to licensees or
                                          certificate holders who have
                                          received NRC approval of their
                                          application (e.g.,
                                          requirements for removal of
                                          security personnel who have
                                          not yet satisfactorily
                                          completed a firearms
                                          background check). This
                                          section would also apply to
                                          power reactor and Category I
                                          SSNM licensees or certificate
                                          holders issued Commission
                                          orders requiring completion of
                                          firearms background checks
                                          [see consideration for
                                          paragraph (b)(2) above].
Sec.   73.18(d) Firearms background      Paragraph (d) would identify
 check requirements. A firearms           the two components of a
 background check for security            firearms background check that
 personnel must include--                 are required by section 161A
(1) A check of the individual's           (i.e., a fingerprint check and
 fingerprints against the Federal         a NICS check).
 Bureau of Investigation's (FBI's)       The NICS was established
 fingerprint system; and                  pursuant to section 103.(b) of
(2) A check of the individual's           the Brady Handgun Violence
 identifying information against the      Prevention Act (Pub. L. 103-
 FBI's National Instant Criminal          159) and is maintained by the
 Background Check System (NICS).          FBI.

[[Page 62677]]

 
Sec.   73.18(e) Firearms background      Paragraph (e) would indicate
 check submittals.                        the process for submitting to
(1) Licensees and certificate holders     the NRC the two components of
 shall submit to the NRC, in accordance   the firearms background check.
 with Sec.   73.4, for all security       Accomplishment of the NICS
 personnel requiring a firearms           check would be based upon
 background check under this section--    information submitted by the
(i) A set of fingerprints, in             licensee or certificate holder
 accordance with paragraph (n) of this    to the NRC under new NRC Form
 section, and                             754 (see Section VIII of this
(ii) A completed NRC Form 754.            notice for further information
                                          on this NRC Form).
Sec.   73.18(e)(2) Licensees and         Paragraph (e)(2) would
 certificate holders shall retain a       establish the records
 copy of all NRC Forms 754 submitted to   retention requirements for
 the NRC for a period of one (1) year     submitted NRC Forms 754.
 subsequent to the termination of an
 individual's access to covered weapons
 or to the denial of an individual's
 access to covered weapons.
Sec.   73.18(f) NICS portion of a        Paragraph (f) would indicate
 firearms background check. The NRC       that the NRC is forwarding the
 will forward the information contained   information from submitted NRC
 in the submitted NRC Forms 754 to the    Forms 754 to the FBI for
 FBI for evaluation against the NICS.     evaluation against the NICS.
 Upon completion of the NICS check, the   The FBI will return one of the
 FBI will inform the NRC of the results   three results from the NICS
 with one of three responses under 28     check (per the FBI's
 CFR part 25; ``proceed,'' ``denied,''    regulations) and a NICS
 or ``delayed,'' and the associated       transaction number. The NRC
 NICS transaction number. The NRC will    will forward this returned
 forward these results and the            information to the submitting
 associated NICS transaction number to    licensee or certificate holder
 the submitting licensee or certificate   for forwarding to the
 holder. The licensee or certificate      individual security officer.
 holder shall provide these results to    The NICS transaction number is
 the individual who completed the NRC     necessary for any future
 Form 754.                                communications with the FBI on
                                          the NICS check (e.g., an
                                          individual's appeal of a
                                          ``denied'' NICS response).
Sec.   73.18(g) Satisfactory and         Paragraph (g) would set forth
 adverse firearms background checks.      the criteria for a
(1) A satisfactorily completed firearms   satisfactory firearms
 background check means a ``proceed''     background check based upon
 response for the individual from the     the specific NICS response.
 NICS.                                    The fingerprint checks
(2) An adversely completed firearms       mandated by section 161A
 background check means a ``denied'' or   support the accomplishment of
 ``delayed'' response from the NICS.      the NICS check and resolution
                                          of any adverse NICS records;
                                          therefore, the NRC would not
                                          specify a [satisfactory or
                                          adverse] completion criteria
                                          for the fingerprint portion of
                                          the firearms background check.
Sec.   73.18(h) Removal from access to   Paragraph (h) would require the
 covered weapons. Licensees or            licensee or certificate holder
 certificate holders who have received    to remove personnel who are
 NRC approval of their application for    prohibited from possessing or
 Sec.   73.19 authority shall ensure      receiving firearms from duties
 security personnel are removed from      requiring access to covered
 duties requiring access to covered       weapons. Disqualifying status
 weapons upon the licensee's or           or occurrences are found under
 certificate holder's knowledge of any    the United States Code, Title
 disqualifying status or the occurrence   18, Section 922 and ATF's
 of any disqualifying events under 18     implementing regulations (see
 U.S.C. 922(g) or (n), and the ATF's      27 CFR 478.32 and 478.11). See
 implementing regulations in 27 CFR       also considerations for Sec.
 part 478.                                73.18(b)(5).
Sec.   73.18(i) [Reserved].............  Paragraph (i) would not be used
                                          to avoid confusion with the
                                          use of sub-sub paragraph (i).
Sec.   73.18(j) Security personnel       Paragraph (j) would require
 responsibilities. Security personnel     security personnel who become
 assigned duties requiring access to      prohibited from possessing or
 covered weapons shall promptly [within   receiving firearms due to a
 three (3) working days] notify their     disqualifying status or
 employing licensee's or certificate      occurrence of a disqualifying
 holder's security management (whether    event to notify their licensee
 directly employed by the licensee or     or certificate holder within
 certificate holder or employed by a      three (3) days of this fact.
 security contractor to the licensee or  This paragraph would work in
 certificate holder) of the existence     conjunction with the
 of any disqualifying status or upon      requirements of paragraphs
 the occurrence of any disqualifying      (k), (m), and (n) and would
 events listed under 18 U.S.C. 922(g)     require security personnel to
 or (n), and the ATF's implementing       self report the occurrence of
 regulations in 27 CFR part 478 that      any disqualifying status or
 would prohibit them from possessing or   events.
 receiving a covered weapon.
Sec.   73.18(k) Awareness of             Paragraph (k) would require
 disqualifying events. Licensees and      licensees and certificate
 certificate holders who have received    holders to train security
 NRC approval of Sec.   73.19 authority   personnel on disqualifying
 shall include within their NRC-          status or events to facilitate
 approved security training and           self reporting of such status
 qualification plans instruction on--     or events by security
(1) Disqualifying status or events        personnel under paragraph (j).
 specified in 18 U.S.C. 922(g) and (n),   And to train security
 and ATF's implementing regulations in    personnel on their ongoing
 27 CFR part 478 (including any           responsibility to report
 applicable definitions) identifying      disqualifying status or events
 categories of persons who are            to their licensee or
 prohibited from possessing or            certificate holder.
 receiving any covered weapons; and
(2) The continuing responsibility of
 security personnel assigned duties
 requiring access to covered weapons to
 promptly notify their employing
 licensee or certificate holder of the
 occurrence of any disqualifying
 events.
Sec.   73.18(l) [Reserved].............  Paragraph (l) would not be used
                                          to avoid confusion with the
                                          use of sub-paragraph (1) [see
                                          also paragraph (i) above].

[[Page 62678]]

 
Sec.   73.18(m) Notification of          Paragraph (m) would require
 removal. Within 72 hours after taking    licensees or certificate
 action to remove security personnel      holders to report instances
 from duties requiring access to          where security personnel (with
 covered weapons, because of the          current access to weapons) are
 existence of any disqualifying status    removed from armed duties
 or the occurrence of any disqualifying   because of the occurrence of
 event--other than due to the prompt      any disqualifying status or
 notification by the security officer     event. The timeliness of this
 under paragraph (j) of this section--    notification would be based
 licensees and certificate holders who    upon the need for appropriate
 have received NRC approval of Sec.       NRC followup of a potential
 73.19 authority shall notify the NRC     criminal violation, rather
 Operations Center of such removal        than the followup necessary
 actions, in accordance with appendix A   for an ongoing security event
 of this part.                            (i.e., the individual no
                                          longer has access to covered
                                          weapons). Appendix A provides
                                          contact information for the
                                          NRC Operations Center.
Sec.   73.18(n) Reporting violations of  Paragraph (n) would indicate
 law. The NRC will promptly report        that if the NRC becomes aware
 suspected violations of Federal law to   of suspected violations of
 the appropriate Federal agency or        criminal law (e.g., a
 suspected violations of State law to     prohibited person actually
 the appropriate State agency.            possessing weapons as a
                                          security officer) it is
                                          obligated to report suspected
                                          violations of Federal or State
                                          law to the appropriate
                                          government agency or agencies.
Sec.   73.18(o) Procedures for           Paragraph (o) would prescribe
 processing of fingerprint checks. (1)    the location, method, and
 Licensees and certificate holders who    requirements for submission of
 have applied for Sec.   73.19            fingerprints to the NRC as
 authority, using an appropriate method   part of a firearms background
 listed in Sec.   73.4, shall submit to   check.
 the NRC's Division of Facilities and    The proposed language would be
 Security one (1) completed, legible      essentially identical to that
 standard fingerprint card (Form FD-      contained to the current
 258, ORIMDNRCOOOZ) or, where             fingerprint submission
 practicable, other fingerprint record    requirements under the current
 for each individual requiring a          access authorization
 firearms background check, to the        regulations in Sec.
 NRC's Director, Division of Facilities   73.57(d).
 and Security, Mail Stop T6-E46, ATTN:
 Criminal History Check. Copies of this
 form may be obtained by writing the
 Office of Information Services, U.S.
 Nuclear Regulatory Commission,
 Washington, DC 20555-0001, by calling
 (301) 415-5877, or by e-mail to
 <a href="/cdn-cgi/l/email-protection#094f465b445a49677b6a276e667f"><span class="__cf_email__" data-cfemail="074148554a544769756429606871">[email protected]</span></a>. Guidance on what
 alternative formats, including
 electronic submissions, may be
 practicable are referenced in Sec.
 73.4.
Sec.   73.18(o)(2) Licensees and         See considerations for Sec.
 certificate holders shall indicate on    73.18(o). This provision will
 the fingerprint card or other            permit proper internal routing
 fingerprint record that the purpose      of fingerprints within the
 for this fingerprint check is the        FBI's Criminal Justice
 accomplishment of a firearms             Information Services Division
 background check.                        to support the NICS checks.
Sec.   73.18(o)(3) Licensees and         See considerations for Sec.
 certificate holders shall establish      73.18(o).
 procedures to ensure that the quality
 of the fingerprints taken results in
 minimizing the rejection rate of
 fingerprint cards or records due to
 illegible or incomplete information.
Sec.   73.18(o)(4) The Commission will   See considerations for Sec.
 review fingerprints for firearms         73.18(o).
 background checks for completeness.
 Any Form FD-258 or other fingerprint
 record containing omissions or evident
 errors will be returned to the
 licensee or certificate holder for
 corrections. The fee for processing
 fingerprint checks includes one (1)
 free re-submission if the initial
 submission is returned by the FBI
 because the fingerprint impressions
 cannot be classified. The one (1) free
 re-submission must have the FBI
 Transaction Control Number reflected
 on the re-submission. If additional
 submissions are necessary, they will
 be treated as an initial submittal and
 require a second payment of the
 processing fee. The payment of a new
 processing fee entitles the submitter
 to an additional free re-submittal, if
 necessary. Previously rejected
 submissions may not be included with
 the third submission because the
 submittal will be rejected
 automatically. Licensees and
 certificate holders may wish to
 consider using different methods for
 recording fingerprints for
 resubmissions, if difficulty occurs
 with obtaining a legible set of
 impressions.
Sec.   73.18(o)(5)(i) Fees for the       See considerations for Sec.
 processing of fingerprint checks are     73.18(o).
 due upon application. Licensees and
 certificate holders shall submit
 payment with the application for the
 processing of fingerprints, and
 payment must be made by corporate
 check, certified check, cashier's
 check, money order, or electronic
 payment, made payable to ``U.S. NRC.''
 a Combined payment for multiple
 applications is acceptable.
(ii) The application fee is the sum of
 the user fee charged by the FBI for
 each fingerprint card or other
 fingerprint record submitted by the
 NRC on behalf of a licensee or
 certificate holder, and an
 administrative processing fee assessed
 by the NRC. The NRC processing fee
 covers administrative costs associated
 with NRC handling of licensee and
 certificate holder fingerprint
 submissions. The Commission publishes
 the amount of the fingerprint check
 application fee on the NRC's public
 Web site.b The Commission will
 directly notify licensees and
 certificate holders who are subject to
 this regulation of any fee changes.
 

[[Page 62679]]

 
Footnotes:
a For guidance on making electronic
 payments, contact the NRC's Security
 Branch, Division of Facilities and
 Security, Office of Administration at
 (301) 415-7404.
b For information on the current fee
 amount, refer to the Electronic
 Submittals page at http://www.nrc.gov/site-help/eie.html and select the link
 for the Criminal History Program.
Sec.   73.18(o)(6) The Commission will   See considerations for Sec.
 forward to the submitting licensee or    73.18(o).
 certificate holder all data received
 from the FBI as a result of the
 licensee's or certificate holder's
 application(s) for fingerprint
 background checks, including the FBI's
 fingerprint record.
Sec.   73.18(p) Appeals and correction   Paragraph (p)(1) would indicate
 of erroneous system information.         that individuals who have
(1) Individuals who require a firearms    received a ``denied'' response
 background check under this section      or a ``delayed'' response may
 and who receive a ``denied'' NICS        not be assigned duties
 response or a ``delayed'' NICS           requiring access to covered
 response may not be assigned duties      weapons during their appeal of
 requiring access to covered weapons      the denial or resolution of
 during the pendency of an appeal of      the delay.
 the results of the check or during the  Paragraph (p)(2) would indicate
 pendency of providing and evaluating     that the licensee or
 any necessary additional information     certificate holder will
 to the FBI to resolve the ``delayed''    provide information on the
 response, respectively.                  FBI's appeals process to the
(2) Licensees and certificate holders     denied individual. The NRC and
 shall provide information on the FBI's   FBI are considering creating a
 procedures for appealing a ``denied''    brochure describing the
 response to the denied individual or     appeals process or resolution
 on providing additional information to   process that would be similar
 the FBI to resolve a ``delayed''         to the FBI's current brochure
 response.                                [describing the NICS appeals
(3) An individual who receives a          process] provided by federal
 ``denied'' or ``delayed'' NICS           firearms licensees to
 response to a firearms background        individuals receiving a
 check under this section may request     ``denied'' NICS response (see
 the reason for the response from the     example at the FBI's NICS
 FBI. The licensee or certificate         information website at http://
 holder shall provide to the individual   www.fbi.gov/hq/cjisd/nics/
 who has received the ``denied'' or       index.htm).
 ``delayed'' response the unique NICS    Paragraph (p)(3) would indicate
 transaction number associated with the   that the individual who
 specific firearms background check.      receives a ``denied'' or
(4) These requests for the reason for a   ``delayed'' response must
 ``denied'' or ``delayed'' NICS           personally make any requests
 response must be made in writing, and    to the FBI on the reason for
 must include the NICS transaction        the NICS response; and the
 number. The request must be sent to      licensee or certificate holder
 the Federal Bureau of Investigation;     may not make such requests
 NICS Section; Appeals Service Team,      upon the individual's behalf.
 Module A-1; PO Box 4278; Clarksburg,    Paragraph (p)(4) would provide
 WV 26302-9922. The FBI will provide      the FBI's address for
 the individual with the reasons for      correspondence. Additionally,
 the ``denied'' response or ``delayed''   in response to the
 response. The FBI will also indicate     individual's request the FBI
 whether additional information or        would provide the person the
 documents are required to support an     reason for the denial or the
 appeal or resolution, for example,       delay to facilitate any
 where there is a claim that the record   appeals or to facilitate
 in question does not pertain to the      providing supplemental
 individual who was denied.               information to resolve a
                                          ``delayed'' response.
Sec.   73.18(p)(5) If the individual     Paragraph (p)(5) would set a
 wishes to challenge the accuracy of      time limit for filing an
 the record upon which the ``denied''     initial appeal of a ``denied''
 or ``delayed'' response is based, or     response or to request
 if the individual wishes to assert       resolution of a ``delayed''
 that his or her rights to possess or     response to encourage timely
 receive a firearm have been restored     resolution of such cases and
 by lawful process, he or she may make    facilitate FBI disposition of
 application first to the FBI. The        interim records. The
 individual shall file an appeal of a     individual filing the appeal
 ``denied'' response or file a request    would be required to set forth
 to resolve a ``delayed'' response        the basis for the appeal and
 within 45 calender days of the date      provide information supporting
 the NRC forwards the results of the      their claim. Copies of records
 firearms background check to the         would be required to be true
 licensee or certificate holder. The      copies (i.e., certified by a
 appeal or request must include           court or other government
 appropriate documentation or record(s)   entity). Because some
 establishing the legal and/or factual    supplemental information may
 basis for the challenge. Any record or   take longer than 45 days to
 document of a court or other             obtain, individuals filling an
 government entity or official            appeal or requesting
 furnished in support of an appeal must   resolution should not delay
 be certified by the court or other       their filing in order to
 government entity or official as a       gather all necessary
 true copy. The individual may            information, but would
 supplement their initial appeal or       indicate that additional
 request--subsequent to the 45 day        supporting information will be
 filing deadline--with additional         forthcoming.
 information as it becomes available,    Paragraph (p)(6) would indicate
 for example, where obtaining a true      that if an individual cannot
 copy of a court transcript may take      resolve a record with the FBI,
 longer than 45 days. The individual      the individual may apply to
 should note in their appeal or request   the originating agency to
 any information or records that are      correct the record and notify
 being obtained, but are not yet          the FBI of those results.
 available.                              The originating agency may
(6) If the individual is notified that    respond to the individual's
 the FBI is unable to resolve the         application by addressing the
 appeal, the individual may then apply    individual's specific reasons
 for correction of the record directly    for the challenge, and by
 to the agency from which the             indicating whether additional
 information forming the basis of the     information or documents are
 denial was originated. If the            required. If the record is
 individual is notified by the            corrected as a result of the
 originating agency, that additional      appeal to the originating
 information or documents are required    agency, the individual may so
 the individual may provide them to the   notify the FBI, which would,
 originating agency. If the record is     in turn, verify the record
 corrected as a result of the appeal to   correction with the
 the originating agency, the individual   originating agency (assuming
 may so notify the FBI and submit         the originating agency has not
 written proof of the correction.         already notified the FBI of
                                          the correction) and take all
                                          necessary steps to correct the
                                          record in the NICS system.

[[Page 62680]]

 
Sec.   73.18(p)(7) An individual who     Paragraph (p)(7) would indicate
 has satisfactorily appealed a            that an individual who has
 ``denied'' response or resolved a        successfully resolved a
 ``delayed'' response may provide         ``denied'' or ``delayed''
 written consent to the FBI to maintain   response may consent to the
 information about himself or herself     FBI maintaining information
 in a Voluntary Appeal File (VAF) to be   about himself or herself in
 established by the FBI and checked by    the FBI's VAF (i.e., the basis
 the NICS for the purpose of preventing   for the successful
 the erroneous denial or extended delay   resolution). The FBI will
 by the NICS of any future NICS checks.   issue such individuals a VAF
(8) Individuals appealing a ``denied''    number that can be entered on
 response or resolving a ``delayed''      an NRC Form 754 or ATF Form
 response are responsible for providing   4417 to prevent repetition of
 the FBI any additional information the   excessive delays in completing
 FBI requires to resolve the              any future NICS checks (both
 ``delayed'' response.                    for checks as security
                                          personnel and for checks of
                                          individuals engaging in a
                                          firearms transaction as a
                                          private person).
                                         A VAF file would be used only
                                          by the NICS for this purpose.
                                          The FBI would remove all
                                          information in the VAF
                                          pertaining to an individual
                                          upon receipt of a written
                                          request by that individual.
                                          However, the FBI may retain
                                          such information contained in
                                          the VAF as long as needed to
                                          pursue cases of identified
                                          misuse of the system. If the
                                          FBI finds a disqualifying
                                          record on the individual after
                                          his or her entry into the VAF,
                                          the FBI may remove the
                                          individual's information from
                                          the file. Paragraph (p)(8)
                                          would indicate that the
                                          responsibility for providing
                                          any necessary additional
                                          information to the FBI to
                                          appeal the ``denied'' response
                                          or resolve the ``delayed''
                                          rests with the individual, not
                                          with the FBI.
Sec.   73.19 Authorization for           This new section would
 preemption of firearms laws and use of   implement the provisions of
 enhanced weapons.                        new section 161A of the AEA
(a) Purpose. This section sets forth      with respect to preemption
 the requirements for licensees and       authority alone or combined
 certificate holders to obtain NRC        enhanced-weapons authority and
 approval to use the expanded             preemption authority. This
 authorities provided under section       section would permit, but not
 161A of the Atomic Energy Act of 1954,   require, selected classes of
 as amended (AEA), in protecting NRC-     licensees and certificate
 designated facilities, radioactive       holders to apply to the NRC
 material, or other property. These       for these authorities.
 authorities include ``preemption        Paragraph (a) would provide the
 authority'' and ``enhanced-weapons       overall purpose and indicate
 authority.''                             that this section applies to
                                          defending NRC-designated
                                          facilities, radioactive
                                          material, or other property.
Sec.   73.19(b) General Requirements.    Paragraph (b) would contain
 Licensees and certificate holders        general requirements and
 listed in paragraph (c) of this          overview of the advantages of
 section may apply to the NRC, in         these two authorities. The
 accordance with the provisions of this   ability of licensees and
 section, to receive stand-alone          certificate holders to apply
 preemption authority or combined         to the NRC for stand-alone
 enhanced weapons authority and           preemption authority or
 preemption authority.                    combined enhanced-weapons
(1) Preemption authority, as provided     authority and preemption
 in section 161A of the AEA, means the    authority would be limited to
 authority of the Commission to permit    the classes of licensees set
 licensees or certificate holders, or     forth in paragraph (c) of this
 the designated security personnel of     section.
 the licensee or certificate holder, to  Licensees and certificate
 transfer, receive, possess, transport,   holders may apply for
 import, or use one (1) or more           preemption authority alone.
 category of standard and enhanced        However, licensees and
 weapons, as defined in Sec.   73.2,      certificate holders who apply
 notwithstanding any local, State, or     for enhanced-weapons authority
 certain Federal firearms laws            would also be required to
 (including regulations).                 apply for preemption
(2) Enhanced weapons authority, as        authority, because of
 provided in section 161A of the AEA,     restrictions on the possession
 means the authority of the Commission    of enhanced weapons require
 to permit licensees or certificate       the preemption of certain
 holders, or the designated security      regulations. The NRC would
 personnel of the licensee or             create this separate, but
 certificate holder, to transfer,         parallel, structure to provide
 receive, possess, transport, import,     licensees with flexibility in
 and use one (1) or more category of      choosing security capabilities
 enhanced weapons, as defined in Sec.     versus security costs.
 73.2, notwithstanding any local,        Paragraphs (b)(1) and (b)(2)
 State, or certain Federal firearms       provide definitions of these
 laws (including regulations).            two authorities.
Sec.   73.19(b)(3) Prior to receiving    Paragraph (b)(3) would indicate
 NRC approval of enhanced-weapons         that to receive enhanced-
 authority, the licensee or certificate   weapons authority, a licensee
 holder must have applied for and         or certificate holder must
 received NRC approval for preemption     also have received preemption
 authority, in accordance with this       authority.
 section or under Commission orders.     Paragraph (b)(4) would describe
(4) Prior to granting either authority    the criteria of section 161A
 the NRC must determine that the          the Commission must determine
 proposed use of this authority is        are present for a licensee or
 necessary in the discharge of official   certificate holder to apply to
 duties by security personnel engaged     the NRC for stand-alone
 in protecting--.                         preemption authority or
(i) Facilities owned or operated by a     combined enhanced-weapons
 licensee or certificate holder and       authority and preemption
 designated by the Commission under       authority for other types of
 paragraph (c) of this section, or.       facilities, radioactive
(ii) Radioactive material or other        material, or other property.
 property that is owned or possessed by
 a licensee or certificate holder, or
 that is being transported to or from
 an NRC-regulated facility. Before
 granting such approval, the Commission
 must determined that the radioactive
 material or other property is of
 significance to the common defense and
 security or public health and safety
 and has designated such radioactive
 material or other property under
 paragraph (c) of this section.

[[Page 62681]]

 
Sec.   73.19(c) Applicability. (1) The   Paragraph (c)(1) would limit
 following classes of licensees or        the types of licensees who
 certificate holders may apply for        could apply for stand-alone
 stand-alone preemption authority--       preemption authority alone to
(i) Power reactor facilities; and         two classes of NRC-regulated
(ii) Facilities authorized to possess a   facilities--power reactor
 formula quantity or greater of           facilities and fuel cycle
 strategic special nuclear material       facilities authorized to
 with security plans subject to Sec.      possess Category I quantities
 Sec.   73.20, 73.45, and 73.46.          of SSNM. Such SSNM fuel cycle
(2) The following classes of licensees    facilities would include:
 or certificate holders may apply for     production facilities, spent
 combined enhanced-weapons authority      fuel reprocessing facilities,
 and preemption authority--               fuel fabrication facilities,
(i) Power reactor facilities; and         and uranium enrichment
(ii) Facilities authorized to possess a   facilities. However, they
 formula quantity or greater of           would not include hot cell
 strategic special nuclear material       facilities, independent spent
 with security plans subject to Sec.      fuel storage installations,
 Sec.   73.20, 73.45, and 73.46.          monitored retrievable storage
                                          installations, geologic
                                          repository operations areas,
                                          non-power reactors, byproduct
                                          material facilities, and the
                                          transportation of spent fuel,
                                          high level waste, and special
                                          nuclear material.
                                         Paragraph (c)(2) would also
                                          limit the types of licensees
                                          who could apply for combined
                                          enhanced-weapons authority and
                                          preemption authority to these
                                          same two classes of licensed
                                          facilities.
                                         The Commission is proposing
                                          under this rulemaking to limit
                                          the range of facilities,
                                          radioactive material, or other
                                          property [for which these
                                          authorities are appropriate]
                                          to power reactor facilities
                                          and fuel cycle facilities
                                          authorized to possess Category
                                          I quantities of strategic
                                          special nuclear material. The
                                          Commission would take this
                                          approach to be consistent with
                                          the scope of this rulemaking.
                                          The Commission may consider
                                          other types of facilities,
                                          radioactive material, or other
                                          property as appropriate for
                                          these authorities in future
                                          rulemakings. Additionally, the
                                          Commission would use the
                                          parallel structure in
                                          paragraph (c) to facilitate
                                          future rulemakings.
                                          Specifically, the Commission
                                          recognizes that enhanced-
                                          weapons authority may not be
                                          appropriate for all present
                                          and future classes of
                                          licensees with armed security
                                          programs; whereas the
                                          applicability of preemption
                                          authority to all present and
                                          future classes of licensees
                                          with armed security programs
                                          may be much broader.
Sec.   73.19(c)(3) With respect to the   Paragraph (b)(3) would indicate
 possession and use of firearms by all    that the provisions of this
 other NRC licensees or certificate       section do not supersede
 holders, the Commission's requirements   existing Commission
 in effect before [effective date of      regulations or orders for non-
 final rule] remain applicable, except    power reactor and non-Category
 to the extent those requirements are     I SSNM licensees, unless
 modified by Commission order or          specifically indicated.
 regulations applicable to such
 licensees and certificate holders.
Sec.   73.19(d) Authorization for stand- Paragraph (d)(1) would describe
 alone preemption of firearms laws. (1)   the process for a licensee or
 Licensees and certificate holders        certificate holder to apply
 listed in paragraph (c) of this          for preemption authority. This
 section may apply to the NRC for the     would be a voluntary action.
 preemption authority described in        Based upon the Commission's
 paragraph (b)(1) of this section.        conclusion that the classes of
 Licensees and certificate holders        facilities listed under
 seeking such authority shall submit an   paragraph (c) are appropriate
 application to the NRC in writing, in    for the use of such preemption
 accordance with Sec.   73.4, and         authority, no additional
 indicate that the licensee or            documentation or supporting
 certificate holder is requesting         information would be required
 preemption authority under section       by a licensee or certificate
 161A of the AEA.                         holder to apply for preemption
(2) Licensees and certificate holders     authority other than the
 who have applied for preemption          licensee or certificate holder
 authority under this section may begin   is included within the list of
 firearms background checks under Sec.    licenses and certificate
  73.18 for their armed security          holders in paragraph (c).
 personnel.                              Paragraph (d)(2) would permit
(3) Licensees and certificate holders     licensees and certificate
 who have applied for preemption          holders who have applied for
 authority under this section and who     preemption authority to begin
 have satisfactorily completed firearms   submitting their security
 background checks for a sufficient       personnel for firearms
 number of security personnel (to         background checks under Sec.
 implement their security plan while      73.18.
 meeting security personnel fatigue      Paragraph (c)(3) would require
 requirements of this chapter or          licensees and certificate
 Commission order) shall notify the       holders who applied for
 NRC, in accordance with Sec.   73.4,     preemption authority to
 of their readiness to receive NRC        subsequently notify the NRC of
 approval of preemption authority and     their readiness to fully
 implement all the provisions of Sec.     implement Sec.   73.18 without
 73.18.                                   adverse impact on the security
                                          organization (i.e., the
                                          provisions in Sec.   73.18
                                          requiring removal from armed
                                          duties of personnel with a
                                          ``denied'' or ``delayed''
                                          response would not adversely
                                          affect the licensee's or
                                          certificate holder's security
                                          organization).
Sec.   73.19(d)(4) Based upon the        Paragraph (d)(4) would indicate
 licensee's or certificate holder's       that the NRC will rely upon
 readiness notification and any           the licensee's or certificate
 discussions with the licensee or         holder's determination that
 certificate holder, the NRC will         sufficient numbers of its
 document in writing to the licensee or   security personnel have
 certificate holder that the Commission   satisfactorily passed the
 has approved or disapproved the          firearms background check to
 licensee's or certificate holder's       fully implement the provisions
 application for preemption authority.    of Sec.   73.18. The NRC would
                                          document in writing its
                                          approval or disapproval of the
                                          licensee's or certificate
                                          holder's application for
                                          preemption authority. The NRC
                                          may also rely upon discussions
                                          with the licensee or
                                          certificate holder to reach a
                                          conclusion.

[[Page 62682]]

 
Sec.   73.19(e) Authorization for use    Paragraph (e)(1) would describe
 of enhanced weapons. (1) Licensees and   the process for a licensee or
 certificate holders listed in            certificate holder to apply
 paragraph (c)(2) of this section may     for combined enhanced-weapons
 apply to the NRC for enhanced-weapons    authority and preemption
 authority described in paragraph         authority. A licensee or
 (a)(2) of this section. Licensees and    certificate holder would be
 certificate holders applying for         permitted to apply for
 enhanced-weapons authority shall have    preemption authority in
 also applied for preemption authority.   conjunction with an
 Licensees and certificate holders may    application for enhanced-
 make these applications concurrently.    weapons authority, or the
(2) Licensees and certificate holders     licensee or certificate holder
 seeking enhanced-weapons authority       may apply for preemption
 shall submit an application to the       authority first. Only the
 NRC, in accordance with Sec.   73.4,     classes of licensees and
 indicating that the licensee or          certificate holders listed
 certificate holder is requesting         under paragraph (c)(2) would
 enhanced-weapons authority under         be permitted to apply for
 section 161A of the AEA. Licensees and   combined enhanced-weapons
 certificate holders shall also include   authority and preemption
 with their application--.                authority.
(i) The additional information required  Paragraph (e)(2) would require
 by paragraph (f) of this section;.       a licensee or certificate
(ii) The date they applied to the NRC     holder to include specific
 for preemption authority (if not         information with their
 concurrent with the application for      application as set forth in
 enhanced weapons authority); and.        Sec.   73.19(f). The licensee
(iii) If applicable, the date when the    or certificate holder would
 licensee or certificate holder           also be required to include
 received NRC approval of their           information on the date they
 application for preemption authority     applied for, and/or received
 under this section or via Commission     NRC approval of their
 order..                                  application for preemption
                                          authority under Sec.   73.19,
                                          or under Commission order
                                          prior to the effective date of
                                          a final rule.
Sec.   73.19(e)(3) The NRC will          Paragraph (e)(3) would indicate
 document in writing to the licensee or   that the NRC would document in
 certificate holder that the Commission   writing the approval or
 has approved or disapproved the          disapproval of an application
 licensee's or certificate holder's       for combined enhanced-weapons
 application for enhanced-weapons         authority and preemption
 authority. The NRC must approve, or      authority. The NRC's approval
 have previously approved, a licensee's   would also indicate the total
 or certificate holder's application      numbers, types, and calibers
 for preemption authority under           of enhanced weapons that are
 paragraph (d) of this section, or via    approved for a specific
 Commission order, to approve the         licensee or certificate
 application for enhanced weapons         holder.
 authority.
Sec.   73.19(e)(4) Licensees and         Paragraph (e)(4) would indicate
 certificate holders who have applied     that after the licensee or
 to the NRC for and received enhanced-    certificate holder has
 weapons authority shall then apply to    received NRC approval of its
 the U.S. Bureau of Alcohol, Tobacco,     application to use enhanced
 Firearms, and Explosives (ATF) for a     weapons, it must then apply to
 federal firearms license (FFL) and       ATF to obtain a FFL and also
 also register under the National         register under the NFA to
 Firearms Act (NFA) in accordance with    obtain these weapons. Because
 ATF regulations under 27 CFR parts 478   ATF has indicated it would
 and 479 to obtain the enhanced           rely upon the NRC's technical
 weapons. Licensees and certificate       evaluation [on whether the
 holders shall include a copy of the      specific weapons listed in the
 NRC's written approval with their NFA    NRC's approval are appropriate
 registration application.                for the licensee or
                                          certificate holder] in
                                          processing the licensee's or
                                          certificate holder's NFA
                                          registration application,
                                          licensees and certificate
                                          holders would include a copy
                                          of the NRC's approval with
                                          their NFA registration
                                          application.
                                         This paragraph would require
                                          licensees to obtain a FFL in
                                          addition to registering under
                                          the NFA. Based upon
                                          conversations with ATF, the
                                          NRC understands that while
                                          ATF's regulations do not
                                          mandate that persons who
                                          obtain NFA weapons also have
                                          an FFL, NRC licensees and
                                          certificate holders desiring
                                          to obtain enhanced weapons
                                          would benefit from status an
                                          ATF FFL. Advantages would
                                          include reduced time to
                                          process requests to transfer
                                          NFA weapons to or from the
                                          licensee or certificate holder
                                          (e.g., initial receipt,
                                          repair, or disposition),
                                          simplification of the ATF's
                                          review of an NFA registration
                                          application, and elimination
                                          of transfer taxes for NFA-
                                          weapons transactions. The NRC
                                          also understands that status
                                          as an FFL would create
                                          obligations for such
                                          licensee's and certificate
                                          holders. Obligations would
                                          include payment of an annual
                                          special occupational tax,
                                          additional recordkeeping
                                          requirements, and a
                                          requirement to permit ATF
                                          inspectors access to the
                                          licensee's or certificate
                                          holder's facilities possessing
                                          enhanced weapons to inspect
                                          ATF-licensed weapons and
                                          corresponding records.
Sec.   73.19(f) Application for          Paragraph (f)(1) would describe
 enhanced-weapons authority additional    the additional information a
 information. (1) Licensees and           licensee or certificate holder
 certificate holders applying to the      would be required to submit
 Commission for enhanced-weapons          along with their application
 authority under paragraph (e) of this    for preemption and enhanced-
 section shall also submit to the NRC     weapons authority. This
 for prior review and written approval    information would be submitted
 new, or revised, physical security       to the NRC for prior review
 plans, security personnel training and   and approval and would
 qualification plans, safeguards          describe and address the
 contingency plans, and safety            specific weapons to be
 assessments incorporating the use of     employed. In addition to
 the specific enhanced weapons the        addressing the enhanced
 licensee or certificate holder intends   weapons in the security,
 to use. These plans and assessments      training and qualification,
 must be specific to the facility,        and safeguards contingency
 radioactive material, or other           plans, a licensee or
 property being protected.                certificate holder would also
                                          provide a safety assessment on
                                          the use of the specific
                                          enhanced weapons to be
                                          employed. Licensees and
                                          certificate holders who apply
                                          for authority alone under
                                          paragraph (d) would not be
                                          subject to the requirements of
                                          paragraph (f).

[[Page 62683]]

 
Sec.   73.19(f)(2) In addition to other  Paragraph (e)(2) would describe
 requirements set forth in this part,     specific information the
 these plans and assessments must--       license or certificate holder
(i) For the physical security plan,       would include in the plans and
 identify the specific types or models,   assessments accompanying the
 calibers, and numbers of enhanced        application for enhanced-
 weapons to be used;                      weapons authority. The
(ii) For the training and qualification   paragraph would also describe
 plan, address the training and           the scope of the safety
 qualification requirements to use        assessments and would require
 these specific enhanced weapons; and     evaluation of both onsite and
(iii) For the safeguards contingency      offsite impacts from the use
 plan, address how these enhanced and     of the specific enhanced
 any standard weapons will be employed    weapons to be employed. The
 by the licensee's or certificate         safety assessment would be
 holder's security personnel in meeting   required to only address the
 the NRC-required protective strategy,    enhanced weapons the license
 including tactical approaches and        or certificate holder intends
 maneuvers.                               to employ.
Sec.   73.19(f)(2)(iv) For the safety    See considerations for Sec.
 assessment--                             73.19(f)(2).
(A) Assess any potential safety impact
 on the facility, radioactive material,
 or other property from the use of
 these enhanced weapons;
(B) Assess any potential safety impact
 on public or private facilities,
 public or private property, or on
 members of the public in areas outside
 of the site boundary from the use of
 these enhanced weapons; and
(C) Assess any potential safety impact
 on public or private facilities,
 public or private property, or on
 members of the public from the use of
 these enhanced weapons at training
 facilities intended for proficiency
 demonstration and qualification
 purposes.
Sec.   73.19(f)(3) The licensee's or     Paragraph (f)(3) would specify
 certificate holder's training and        acceptable standards for the
 qualification plan on possessing,        licensee or certificate holder
 storing, maintaining, qualifying on,     to use in creating a training
 and using enhanced weapons must          and qualification plan for
 include information from applicable      enhanced weapons. This
 firearms standards developed by          paragraph would not create any
 nationally-recognized firearms           new requirements for training
 organizations or standard setting        standards for standard
 bodies or standards developed by         weapons.
 Federal agencies, such as: the U.S.     Paragraph (f)(4) would require
 Department of Homeland Security's        the submission of revised
 Federal Law Enforcement Training         plans for prior NRC review and
 Center, the U.S. Department of           approval, irrespective of
 Energy's National Training Center, and   whether the licensee or
 the U.S. Department of Defense.          certificate holder concludes
(4) Licensees or certificate holders      that the use of these enhanced
 shall submit any new or revised plans    weapons would not cause ``a
 and assessments for prior NRC review     decrease in security
 and written approval notwithstanding     effectiveness'' under the
 the provisions of Sec.  Sec.             applicable NRC regulation.
 50.54(p), 70.32(e), and 76.60 of this
 chapter which otherwise permit a
 license or certificate holder to make
 changes to such plans ``that would not
 decrease their effectiveness'' without
 prior NRC review.
Sec.   73.19(g) Completion of training   Paragraph (g) would require
 and qualification prior to use of        licensees and certificate
 enhanced weapons.                        holders to ensure security
Licensees and certificate holders who     personnel are trained and
 have applied for and received enhanced-  qualified on the use and
 weapons authority under paragraph (e)    employment of enhanced weapons
 of this section shall ensure security    before the licensee or
 personnel complete required firearms     certificate holder deploys
 training and qualification in            these enhanced weapons to
 accordance with the licensee's or        defend the facility,
 certificate holder's NRC-approved        radioactive material, or other
 training and qualification plan. Such    property.
 training must be completed prior to     Documentation of completion of
 security personnel's use of enhanced     this training would be
 weapons to protect NRC-designated        consistent with the licensee's
 facilities, radioactive material, or     or certificate holder's
 other property and must be documented    approved training and
 in accordance with the requirements of   qualification plan.
 the licensee's or certificate holder's
 training and qualification plan.
Sec.   73.19(h) Use of enhanced          Paragraph (h) would indicate
 weapons. Requirements regarding the      that Sec.   73.19 does not
 use of enhanced weapons by security      supercede requirements on the
 personnel in the performance of their    use of weapons under the power
 official duties are contained in Sec.    reactor and Category I fuel
 Sec.   73.46 and 73.55 and in            cycle facility security
 appendices B and C of this part, as      regulations found in Part 73.
 applicable.
Sec.   73.19(i) [Reserved].............  Paragraph (i) would not be used
                                          to avoid confusion with the
                                          use of sub-sub paragraph (i).
Sec.   73.19(j) Notification of adverse  Paragraph (j) would require NRC
 ATF findings or notices. NRC licensees   licensees or certificate
 and certificate holders with an ATF      holders to notify NRC, should
 federal firearms license (FFL) and/or    the licensee or certificate
 enhanced weapons shall notify the NRC,   holder receive any adverse
 in accordance with Sec.   73.4, of       findings based upon an ATF
 instances involving any adverse ATF      inspection, audit, or review
 findings or ATF notices related to       of the enhanced weapons
 their FFL or such weapons.               possessed by the licensee or
                                          certificate holder under an
                                          ATF FFL. This would allow the
                                          NRC to appropriately respond
                                          to any public or media
                                          inquiries associated with such
                                          findings in a timely manner.
Sec.   73.2 Definitions................  Three new definitions would be
                                          added to this section as
                                          conforming changes supporting
                                          the new Sec.  Sec.   73.18 and
                                          73.19 that would include:
                                          covered weapon, enhanced
                                          weapon, and standard weapon.
                                          The NRC would use these three
                                          terms to envelope the weapons,
                                          ammunition, and devices listed
                                          under section 161A of the AEA.

[[Page 62684]]

 
                                         Other new definitions that
                                          would be added as conforming
                                          changes to this section in
                                          support of other regulations
                                          (e.g., safety/security
                                          interface and target set) are
                                          discussed in other tables in
                                          this proposed rule.
Covered weapon means any handgun,        A definition for covered weapon
 rifle, shotgun, short-barreled           would be used as an overall
 shotgun, short-barreled rifle, semi-     term to encompass the firearms
 automatic assault weapon, machinegun,    (weapons), ammunition, and
 ammunition for any such gun or weapon,   devices listed in section
 or large capacity ammunition feeding     161A. The meanings of the
 device as specified under section 161A   specific terms for the
 of the Atomic Energy Act of 1954, as     firearms, ammunition, or
 amended. As used here, the terms         devices encompassed within
 ``handgun, rifle, shotgun, short-        this definition would have the
 barreled shotgun, short-barreled         same meaning for those terms
 rifle, semi-automatic assault weapon,    as is those found under Title
 machinegun, ammunition, or large         18 of the United States Code,
 capacity ammunition feeding device''     Section 921(a) [18 U.S.C.
 have the same meaning as set forth for   921(a)].
 those terms under 18 U.S.C. 921(a).
 Covered weapons include both enhanced
 weapons and standard weapons. However,
 enhanced weapons do not include
 standard weapons.
Enhanced weapon means any short-         Definitions for enhanced weapon
 barreled shotgun, short-barreled         and standard weapon would be
 rifle, or machinegun. Enhanced weapons   added to support the differing
 do not include destructive devices,      scope of these new sections.
 including explosives or weapons          The relationship between
 greater than 50 caliber (i.e., weapons   covered weapon, enhanced
 with a bore greater than 1.27 cm [0.5    weapon, and standard weapon
 in] diameter).                           would be explained.
Standard weapon means any handgun,       Also, the definition for
 rifle, shotgun, semi-automatic assault   enhanced weapons would not
 weapon, or a large capacity ammunition   include destructive devices as
 feeding device.                          defined under ATF's
                                          regulations, since the NRC's
                                          authority under section 161A
                                          of the AEA does not permit
                                          licensees or certificate
                                          holders to possess destructive
                                          devices.
------------------------------------------------------------------------


                     Table 2.--Part 73 Section 73.55
 [Requirements for physical protection of licensed activities in nuclear
              power reactors against radiological sabotage]
------------------------------------------------------------------------
      Current language          Proposed language      Considerations
------------------------------------------------------------------------
Requirements for physical     Requirements for      This title would be
 protection of licensed        physical protection   retained.
 activities in nuclear power   of licensed
 reactors against              activities in
 radiological sabotage.        nuclear power
                               reactors against
                               radiological
                               sabotage.
                              (a) Introduction....  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
Sec.   73.55 By December 2,   (a)(1) By [date--180  This requirement
 1986, each licensee, as       days--after the       would be added to
 appropriate, shall submit     effective date of     discuss the types
 proposed amendments to its    the final rule        of Commission
 security plan which define    published in the      licensees to whom
 how the amended               Federal Register],    the proposed
 requirements of Paragraphs    each nuclear power    requirements of
 (a), (d)(7), (d)(9), and      reactor licensee,     this section would
 (e)(1) will be met.           licensed under 10     apply and the
                               CFR part 50, shall    schedule for
                               incorporate the       submitting the
                               revised               amended security
                               requirements of       plans. The
                               this section          Commission intends
                               through amendments    to delete the
                               to its Commission-    current language,
                               approved Physical     because it applies
                               Security Plan,        only to a past rule
                               Training and          change that is
                               Qualification Plan,   completed. The
                               and Safeguards        proposed
                               Contingency Plan,     requirements of
                               referred to           this section would
                               collectively as       be applicable to
                               ``approved security   decommissioned/ing
                               plans,'' and shall    reactors unless
                               submit the amended    otherwise exempted.
                               security plans to
                               the Commission for
                               review and approval.
Sec.   73.55 Each submittal   (a)(2) The amended    This requirement
 must include a proposed       security plans must   would be added to
 implementation schedule for   be submitted as       provide a reference
 Commission approval.          specified in Sec.     to the current Sec.
                               50.4 of this            50.4(b)(4) which
                               chapter and must      describes
                               describe how the      procedural details
                               revised               relative to the
                               requirements of       proposed security
                               this section will     plan submission
                               be implemented by     requirement.
                               the licensee, to
                               include a proposed
                               implementation
                               schedule.
Sec.   73.55 The amended      (a)(3) The licensee   This requirement
 safeguards requirements of    shall implement the   would be added to
 these paragraphs must be      existing approved     clarify that the
 implemented by the licensee   security plans and    licensee must
 within 180 days after         associated            continue to
 Commission approval of the    Commission orders     implement the
 proposed security plan in     until Commission      current Commission-
 accordance with the           approval of the       approved security
 approved schedule.            amended security      plans until the
                               plans, unless         Commission approves
                               otherwise             the amended plans.
                               authorized by the     The phrase ``unless
                               Commission.           otherwise
                                                     authorized by the
                                                     Commission'' would
                                                     provide flexibility
                                                     to account for
                                                     unanticipated
                                                     situations that may
                                                     affect the
                                                     licensee's ability
                                                     to comply with this
                                                     proposed
                                                     requirement.

[[Page 62685]]

 
Sec.   73.55(b)(1)(i) The     (a)(4) The licensee   This requirement
 licensee is responsible to    is responsible for    would retain the
 the Commission for            maintaining the       current requirement
 maintaining safeguards in     onsite physical       that the licensee
 accordance with Commission    protection program    is responsible for
 regulations and the           in accordance with    meeting Commission
 licensee's security plan.     Commission            regulations and the
                               regulations and       approved security
                               related Commission-   plans. The phrase
                               directed orders       ``through the
                               through the           implementation of
                               implementation of     the approved
                               the approved          security plans and
                               security plans and    site implementing
                               site implementing     procedures'' would
                               procedures.           be added to
                                                     describe the
                                                     relationship
                                                     between Commission
                                                     regulations, the
                                                     approved security
                                                     plans, and
                                                     implementing
                                                     procedures. The
                                                     word ``safeguards''
                                                     would be replaced
                                                     with the phrase
                                                     ``physical
                                                     protection
                                                     program'' to more
                                                     accurately focus
                                                     this requirement to
                                                     the security
                                                     program rather than
                                                     the broad
                                                     ``safeguards''
                                                     which includes
                                                     safety.
                                                    The Commission views
                                                     the approved
                                                     security plans as
                                                     the mechanism
                                                     through which the
                                                     licensee meets
                                                     Commission
                                                     requirements
                                                     through
                                                     implementation,
                                                     therefore, the
                                                     licensee is
                                                     responsible to the
                                                     Commission for this
                                                     performance.
                              (a)(5) Applicants     This requirement
                               for an operating      would be added to
                               license under the     describe the
                               provisions of part    proposed
                               50 of this chapter,   requirements for
                               or holders of a       applicants and to
                               combined license      specify that these
                               under the             proposed
                               provisions of part    requirements must
                               52 of this chapter,   be met before an
                               shall satisfy the     applicant's receipt
                               requirements of       of special nuclear
                               this section before   material in the
                               the receipt of        form of fuel
                               special nuclear       assemblies.
                               material in the
                               form of fuel
                               assemblies.
                              (a)(6) For licenses   This requirement
                               issued after          would be added to
                               [effective date of    describe the
                               this rule],           Commission
                               licensees shall       expectations for
                               design, construct,    new reactors. Based
                               and equip the         on changes to the
                               central alarm         threat environment
                               station and           the Commission has
                               secondary alarm       determined that the
                               station to            functions required
                               equivalent            to be performed by
                               standards.            the central alarm
                                                     station are a
                                                     critical element of
                                                     the licensee
                                                     capability to
                                                     satisfy the
                                                     performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
                                                    Therefore, to ensure
                                                     that these critical
                                                     capabilities are
                                                     maintained, the
                                                     Commission has
                                                     determined that
                                                     this proposed
                                                     requirement would
                                                     be a prudent and
                                                     necessary measure
                                                     to ensure the
                                                     licensee's ability
                                                     to summon
                                                     assistance or
                                                     otherwise respond
                                                     to an alarm as is
                                                     currently required
                                                     by Sec.
                                                     73.55(e)(1) and
                                                     therefore satisfy
                                                     the performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
                              (a)(6)(i) Licensees   This requirement
                               shall apply the       would be added for
                               requirements for      consistency with
                               the central alarm     and clarification
                               station listed in     of the proposed
                               paragraphs            requirement of
                               (e)(6)(v),            paragraph (a)(6) of
                               (e)(7)(iii), and      this section. The
                               (i)(8)(ii) of this    Commission has
                               section to the        determined that
                               secondary alarm       these construction
                               station as well as    standards that were
                               the central alarm     previously applied
                               station.              to only the central
                                                     alarm station
                                                     should also be
                                                     built into the
                                                     secondary alarm
                                                     station for new
                                                     reactor licensees.
                              (a)(6)(ii) Licensees  This requirement
                               shall comply with     would be added for
                               the requirements of   consistency with
                               paragraph (i)(4) of   and clarification
                               this section such     of the proposed
                               that both alarm       requirement of
                               stations are          paragraph (i)(4) of
                               provided with         this section and to
                               equivalent            clarify that for
                               capabilities for      new reactors, both
                               detection,            the central and
                               assessment,           secondary alarm
                               monitoring,           stations must be
                               observation,          provided
                               surveillance, and     ``equivalent
                               communications.       capabilities'' and
                                                     not simply
                                                     equivalent
                                                     ``functional''
                                                     capabilities as is
                                                     stated in the
                                                     proposed paragraph
                                                     (i)(4) of this
                                                     section. The
                                                     Commission has
                                                     determined that
                                                     these capabilities
                                                     must be equivalent
                                                     for new reactors to
                                                     ensure that the
                                                     secondary alarm
                                                     station is
                                                     redundant to the
                                                     central alarm
                                                     station.

[[Page 62686]]

 
Sec.   73.55(a) General       (b) General           This header would be
 performance objective and     performance           retained. The
 requirements.                 objective and         proposed
                               requirements.         requirements of
                                                     this section are
                                                     intended to
                                                     represent the
                                                     general outline for
                                                     a physical
                                                     protection program
                                                     that would provide
                                                     an acceptable level
                                                     of protection if
                                                     effectively
                                                     implemented. The
                                                     proposed actions,
                                                     standards,
                                                     criteria, and
                                                     requirements of
                                                     this section are
                                                     intended to be
                                                     bounded by the
                                                     description of the
                                                     design basis threat
                                                     identified by the
                                                     Commission in Sec.
                                                      73.1.
Sec.   73.55(a) The licensee  (b)(1) The licensee   This requirement
 shall establish and           shall establish and   would retain the
 maintain an onsite physical   maintain a physical   current performance
 protection system and         protection program,   objective of Sec.
 security organization which   to include a          73.55(a) with two
 will have as its objective    security              minor changes.
 to provide high assurance     organization which    First, the phrase
 that activities involving     will have as its      ``an onsite
 special nuclear material      objective to          physical protection
 are not inimical to the       provide high          system'' would be
 common defense and security   assurance that        replaced with the
 and do not constitute an      activities            phrase ``a physical
 unreasonable risk to the      involving special     protection
 public health and safety.     nuclear material      program'' to more
                               are not inimical to   clearly state the
                               the common defense    Commission's view
                               and security and do   that the physical
                               not constitute an     protection system
                               unreasonable risk     elements described
                               to the public         in this proposed
                               health and safety.    rule combine to
                                                     make the licensee
                                                     physical protection
                                                     program. Second,
                                                     the word ``and''
                                                     would be replaced
                                                     with the phrase
                                                     ``to include a'' to
                                                     clarify the
                                                     Commission's view
                                                     that the security
                                                     organization is not
                                                     considered to be
                                                     independent of the
                                                     licensee physical
                                                     protection program
                                                     but rather, is a
                                                     component of that
                                                     program.
Sec.   73.55(a) The physical  (b)(2) The physical   This requirement
 protection system shall be    protection program    would contain a
 designed to protect against   must be designed to   substantial
 the design basis threat of    detect, assess,       revision to provide
 radiological sabotage as      intercept,            a more detailed and
 stated in Sec.   73.1(a).     challenge, delay,     performance based
Sec.   73.55(h)(4)(iii)(A)     and neutralize        requirement for the
 Requiring responding guards   threats up to and     design of the
 or other armed response       including the         licensee physical
 personnel to interpose        design basis threat   protection program.
 themselves * * *..            of radiological       Most significantly,
                               sabotage as stated    the word
                               in Sec.   73.1(a),    ``interpose'' would
                               at all times.         be replaced with
                                                     the words ``detect,
                                                     assess, intercept,
                                                     challenge, delay,
                                                     and neutralize''.
                                                     The current
                                                     requirement of Sec.
 
                                                     73.55(h)(4)(iii)(A)
                                                     requires the
                                                     licensee to
                                                     ``interpose'' for
                                                     the purpose of
                                                     preventing
                                                     radiological
                                                     sabotage, however,
                                                     the definition of
                                                     ``radiological
                                                     sabotage'' stated
                                                     in Sec.   73.2 does
                                                     not contain a
                                                     performance based
                                                     element by which
                                                     the Commission can
                                                     measure this
                                                     capability and
                                                     therefore, this
                                                     proposed
                                                     requirement would
                                                     provide the six
                                                     performance based
                                                     elements or
                                                     capabilities
                                                     ``detect, assess,
                                                     intercept,
                                                     challenge, delay,
                                                     and neutralize.''
                                                     The first element,
                                                     ``detect'', would
                                                     be provided through
                                                     the use of
                                                     detection
                                                     equipment, patrols,
                                                     access controls,
                                                     and other program
                                                     elements required
                                                     by this proposed
                                                     rule and would
                                                     provide
                                                     notification to the
                                                     licensee that a
                                                     potential threat is
                                                     present and where
                                                     the threat is
                                                     located.

[[Page 62687]]

 
                                                    The second element,
                                                     ``assess'', would
                                                     provide a mechanism
                                                     through which the
                                                     licensee would
                                                     identify the nature
                                                     of the threat
                                                     detected. This
                                                     would be
                                                     accomplished
                                                     through the use of
                                                     video equipment,
                                                     patrols, and other
                                                     program elements
                                                     that would be
                                                     required by this
                                                     proposed rule and
                                                     would provide the
                                                     licensee with
                                                     information about
                                                     the threat upon
                                                     which the licensee
                                                     would determine how
                                                     to respond. The
                                                     third, fourth, and
                                                     fifth elements
                                                     would comprise the
                                                     component actions
                                                     of response and
                                                     would be provided
                                                     by personnel
                                                     trained and
                                                     equipped in
                                                     accordance with a
                                                     response strategy.
                                                     The third element
                                                     ``intercept'' would
                                                     be the act of
                                                     placing a person at
                                                     an intersecting
                                                     defensive position
                                                     directly in the
                                                     path of advancement
                                                     taken by the
                                                     threat, and between
                                                     the threat and the
                                                     protected target or
                                                     target set element.
                                                     The fourth element
                                                     ``challenge'' would
                                                     be to verbally or
                                                     physically confront
                                                     the threat to
                                                     impede, halt, or
                                                     otherwise interact
                                                     with the threat
                                                     with the intent of
                                                     preventing further
                                                     advancement of the
                                                     threat towards the
                                                     protected target or
                                                     target set element.
                                                    The fifth element
                                                     ``delay'' would be
                                                     to take necessary
                                                     actions to counter
                                                     any attempt by the
                                                     threat to advance
                                                     towards the
                                                     protected target or
                                                     target set element.
                                                     The sixth element
                                                     ``neutralize''
                                                     would be to place
                                                     the threat in a
                                                     condition from
                                                     which the threat no
                                                     longer has the
                                                     potential to, or
                                                     capability of,
                                                     doing harm to the
                                                     protected item. The
                                                     Commission does not
                                                     intend to suggest
                                                     that the action,
                                                     ``neutralize'',
                                                     would require the
                                                     application of
                                                     ``deadly force'' in
                                                     all instances. The
                                                     phrase ``threat of
                                                     radiological
                                                     sabotage'' would be
                                                     replaced with the
                                                     phrase ``threats up
                                                     to and including
                                                     the design basis
                                                     threat of
                                                     radiological
                                                     sabotage'' to
                                                     clarify the
                                                     Commission's view
                                                     that the licensee
                                                     must provide
                                                     protection against
                                                     any element of the
                                                     design basis
                                                     threat, to include
                                                     those that do not
                                                     rise to the full
                                                     capability of the
                                                     design basis
                                                     threat.

[[Page 62688]]

 
Sec.   73.55(a) To achieve    (b)(3) The licensee   This requirement
 this general performance      physical protection   would retain and
 objective, the onsite         program must be       revise two current
 physical protection system    designed and          requirements to
 and security organization     implemented to        provide a
 must include, but not         satisfy the           performance based
 necessarily be limited to,    requirements of       requirement for the
 the capabilities to meet      this section and      design of the
 the specific requirements     ensure that no        physical protection
 contained in paragraphs (b)   single act, as        program. The first
 through (h) of this section.  bounded by the        significant
Sec.   73.55(e)(1) * * * so    design basis          revision would
 that a single act cannot      threat, can disable   expand the current
 remove the capability of      the personnel,        requirement for
 calling for assistance or     equipment, or         alarm stations to
 otherwise responding to an    systems necessary     be protected
 alarm..                       to prevent            against a single
                               significant core      act, and would
                               damage and spent      require that the
                               fuel sabotage.        licensee physical
                                                     protection program
                                                     be designed to
                                                     ensure that a
                                                     single act can not
                                                     disable the
                                                     personnel,
                                                     equipment, or
                                                     systems necessary
                                                     to prevent
                                                     significant core
                                                     damage and spent
                                                     fuel sabotage which
                                                     would result in the
                                                     loss of the
                                                     capability to
                                                     prevent
                                                     radiological
                                                     sabotage. The
                                                     Commission's view
                                                     is that because of
                                                     changes to the
                                                     threat environment,
                                                     it is necessary to
                                                     emphasize the
                                                     ``remove the
                                                     capability''
                                                     requirement of the
                                                     current Sec.
                                                     73.55(e)(1) such
                                                     that the single act
                                                     protection
                                                     requirement would
                                                     apply to personnel,
                                                     equipment, and
                                                     systems required to
                                                     perform specific
                                                     functions that if
                                                     disabled would
                                                     remove the licensee
                                                     capability to
                                                     prevent
                                                     radiological
                                                     sabotage. The
                                                     second significant
                                                     revision would
                                                     provide a
                                                     measurable and
                                                     performance based
                                                     requirement against
                                                     which the
                                                     Commission would
                                                     measure the
                                                     effectiveness of
                                                     the licensee's
                                                     physical protection
                                                     program to prevent
                                                     radiological
                                                     sabotage.
                                                    The Commission's
                                                     view is that the
                                                     goal of the
                                                     licensee's physical
                                                     protection program
                                                     must include an
                                                     acceptable safety
                                                     margin to assure
                                                     that the
                                                     performance
                                                     objective of public
                                                     health and safety
                                                     is met. This safety
                                                     margin would be
                                                     established by
                                                     designing and
                                                     implementing a
                                                     physical protection
                                                     program that
                                                     protects against
                                                     radiological
                                                     sabotage by
                                                     preventing
                                                     significant core
                                                     damage and spent
                                                     fuel sabotage which
                                                     describes the
                                                     undesirable
                                                     consequences that
                                                     could result from
                                                     the destruction of
                                                     a target set or all
                                                     elements of a
                                                     target set and
                                                     would be a
                                                     precursor to
                                                     radiological
                                                     sabotage. The
                                                     Commission's view
                                                     is that significant
                                                     damage to the core
                                                     or sabotage to
                                                     spent fuel would
                                                     result in a
                                                     condition in which
                                                     the performance
                                                     objective of ``High
                                                     Assurance'' could
                                                     no longer be
                                                     provided and
                                                     therefore,
                                                     prevention of
                                                     significant core
                                                     damage and spent
                                                     fuel sabotage are a
                                                     measurable
                                                     performance
                                                     criteria against
                                                     which the
                                                     Commission would
                                                     evaluate the
                                                     effectiveness of
                                                     the licensee
                                                     physical protection
                                                     program.

[[Page 62689]]

 
                                                    The phrase ``as
                                                     bounded by the
                                                     design basis
                                                     threat'' would be
                                                     used to clarify the
                                                     Commission's view
                                                     that the licensee
                                                     must ensure that
                                                     the physical
                                                     protection program
                                                     is designed to
                                                     protect against the
                                                     design basis threat
                                                     and all other
                                                     threats that do not
                                                     rise to the level
                                                     of the design basis
                                                     threat. The phrase
                                                     ``the capabilities
                                                     to meet the
                                                     specific
                                                     requirements
                                                     contained in
                                                     paragraphs (b)
                                                     through (h) of this
                                                     section'' would be
                                                     replaced by the
                                                     phase ``implemented
                                                     to satisfy the
                                                     requirements of
                                                     this section'' to
                                                     account for the
                                                     reformatting of
                                                     this proposed rule
                                                     and to describe the
                                                     Commission view
                                                     that the licensee
                                                     is responsible to
                                                     implement
                                                     Commission
                                                     requirements
                                                     through the
                                                     approved security
                                                     plans and
                                                     procedures.
                              (b)(4) The physical   This requirement
                               protection program    would be added to
                               must include          apply defense-in-
                               diverse and           depth concepts as
                               redundant             part of the
                               equipment, systems,   physical protection
                               technology,           program to ensure
                               programs,             the capability to
                               supporting            meet the
                               processes, and        performance
                               implementing          objective of the
                               procedures.           proposed paragraph
                                                     (b)(1) of this
                                                     section is
                                                     maintained in the
                                                     changing threat
                                                     environment. The
                                                     terms ``diverse and
                                                     redundant'' are
                                                     intended to
                                                     describe defense-in-
                                                     depth in a
                                                     performance based
                                                     manner and would be
                                                     a critical element
                                                     for meeting the
                                                     proposed
                                                     requirement for
                                                     protection against
                                                     a single act
                                                     described in the
                                                     proposed paragraph
                                                     (b)(3) of this
                                                     section.
Sec.   73.55(b)(4)(i) Upon    (b)(5) Upon the       This requirement
 the request of an             request of an         would retain the
 authorized representative     authorized            current requirement
 of the Commission, the        representative of     for demonstration
 licensee shall demonstrate    the Commission, the   and would contain
 the ability of the physical   licensee shall        minor revisions to
 security personnel to carry   demonstrate the       apply this
 out their assigned duties     ability to meet       requirement to the
 and responsibilities.         Commission            licensee's ability
                               requirements          to implement the
                               through the           physical protection
                               implementation of     program and not be
                               the physical          limited to only the
                               protection program,   ability of security
                               including the         personnel to carry
                               ability of armed      out their duties.
                               and unarmed           This proposed
                               personnel to          requirement would
                               perform assigned      clarify the
                               duties and            Commission's view
                               responsibilities      that the licensee
                               required by the       must also
                               approved security     demonstrate the
                               plans and licensee    effectiveness of
                               procedures.           plans, procedures,
                                                     and equipment to
                                                     accomplish their
                                                     intended function
                                                     within the physical
                                                     protection program.
                              (b)(6) The licensee   This requirement
                               shall establish and   would be added to
                               maintain a written    specify that this
                               performance           performance
                               evaluation program    evaluation program
                               in accordance with    would be the
                               appendix B and        mechanism by which
                               appendix C to this    the licensee would
                               part, to              demonstrate the
                               demonstrate and       capabilities
                               assess the            described by the
                               effectiveness of      performance based
                               armed responders      requirements of the
                               and armed security    proposed paragraphs
                               officers to perform   (b)(2) through (4)
                               their assigned        of this section.
                               duties and            The phrase ``target
                               responsibilities to   sets'' would be
                               protect target sets   used consistent
                               described in          with the proposed
                               paragraph (f) of      (b)(3) of this
                               this section and      section to describe
                               appendix C to this    the combination of
                               part, through         equipment and
                               implementation of     operator actions
                               the licensee          which, if all are
                               protective strategy.  prevented from
                                                     performing their
                                                     intended safety
                                                     function or
                                                     prevented from
                                                     being accomplished,
                                                     would likely result
                                                     in significant core
                                                     damage (e.g., non-
                                                     incipient, non-
                                                     localized fuel
                                                     melting, and/or
                                                     core disruption)
                                                     barring
                                                     extraordinary
                                                     action by plant
                                                     operators.
                                                    A target set with
                                                     respect to spent
                                                     fuel sabotage is
                                                     draining the spent
                                                     fuel pool leaving
                                                     the spent fuel
                                                     uncovered for a
                                                     period of time,
                                                     allowing spent fuel
                                                     heat up and the
                                                     associated
                                                     potential for
                                                     release of fission
                                                     products.

[[Page 62690]]

 
Sec.   73.55(d)(7) The        (b)(7) The licensee   This requirement
 licensee shall:               shall establish,      would be retained
(i) Establish an access        maintain, and         and revised to
 authorization system * * *.   follow an access      require the
                               authorization         licensee to provide
                               program in            an Access
                               accordance with       Authorization
                               Sec.   73.56.         Program.
                              (b)(7)(i) In          This proposed
                               addition to the       requirement would
                               access                be added to
                               authorization         establish the
                               program required      insider mitigation
                               above, and the        program (IMP). The
                               fitness-for-duty      licensee's IMP
                               program required in   should integrate
                               part 26 of this       specific elements
                               chapter, each         of the licensee AA
                               licensee shall        and FFD programs to
                               develop, implement,   focus those
                               and maintain an       elements on
                               insider mitigation    identifying
                               program.              potential insider
                                                     threats and denying
                                                     the opportunity for
                                                     an insider to gain
                                                     or retain access at
                                                     an NRC licensed
                                                     facility.
                              (b)(7)(ii) The        This proposed
                               insider mitigation    requirement would
                               program must be       be added to provide
                               designed to oversee   a performance based
                               and monitor the       requirement for the
                               initial and           design and content
                               continuing            of the IMP. The
                               trustworthiness and   Commission has
                               reliability of        concluded that, by
                               individuals granted   itself, the initial
                               or retaining          determination of
                               unescorted access     trustworthiness and
                               authorization to a    reliability is not
                               protected or vital    adequate to
                               area and implement    minimize the
                               defense-in-depth      potential
                               methodologies to      opportunity for an
                               minimize the          insider to gain or
                               potential for an      retain access, and
                               insider to            that only through
                               adversely affect,     continual re-
                               either directly or    evaluation of the
                               indirectly, the       information
                               licensee capability   obtained through
                               to prevent            these processes can
                               significant core      the licensee
                               damage or spent       provide the level
                               fuel sabotage.        of assurance
                                                     necessary. The
                                                     Commission has also
                                                     determined that
                                                     defense-in-depth
                                                     would be provided
                                                     through the
                                                     integration of
                                                     physical protection
                                                     measures with
                                                     access
                                                     authorization and
                                                     fitness-for-duty
                                                     program elements,
                                                     to ensure the
                                                     licensee capability
                                                     to identify and
                                                     mitigate the
                                                     potential
                                                     activities of an
                                                     insider, such as,
                                                     but not limited to,
                                                     tampering. The
                                                     Commission does not
                                                     intend that a
                                                     licensee would
                                                     limit the IMP to
                                                     any one or more
                                                     elements, but
                                                     rather that the
                                                     licensee would
                                                     identify and add
                                                     additional elements
                                                     as necessary to
                                                     ensure the site's
                                                     IMP satisfies the
                                                     performance
                                                     requirements
                                                     specified by the
                                                     Commission.
                                                    The Commission has
                                                     determined that no
                                                     one element of the
                                                     physical protection
                                                     program, access
                                                     authorization
                                                     program, or fitness-
                                                     for-duty program
                                                     would, by itself,
                                                     provide the level
                                                     of protection
                                                     against the insider
                                                     necessary to meet
                                                     the performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b) and therefore,
                                                     the effective
                                                     integration of
                                                     these three
                                                     programs is a
                                                     necessary
                                                     requirement to
                                                     achieve defense-in-
                                                     depth against the
                                                     potential insider.
                              (b)(8) The licensee   This requirement
                               shall ensure that     would be added to
                               its corrective        provide a
                               action program        performance based
                               assures that          requirement to
                               failures,             ensure that the
                               malfunctions,         licensee implements
                               deficiencies,         and completes the
                               deviations,           required corrective
                               defective equipment   actions in a timely
                               and nonconformances   manner and that
                               in security program   actions would be
                               components,           taken to correct
                               functions, or         the cause of the
                               personnel are         problem to ensure
                               promptly identified   that the problem
                               and corrected.        would not be
                               Measures shall        repeated.
                               ensure that the
                               cause of any of
                               these conditions is
                               determined and that
                               corrective action
                               is taken to
                               preclude repetition.
                              (c) Security plans..  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
                              (c)(1) Licensee       This requirement
                               security plans.       would be added to
                               Licensee security     describe the
                               plans must            purpose of the
                               implement             licensee Physical
                               Commission            Security Plan,
                               requirements and      Training and
                               must describe:        Qualification Plan,
                                                     and Safeguards
                                                     Contingency Plan in
                                                     a performance based
                                                     requirement and to
                                                     introduce the
                                                     general types of
                                                     information to be
                                                     discussed.

[[Page 62691]]

 
                              (c)(1)(i) How the     This requirement
                               physical protection   would be added to
                               program will          describe the
                               prevent significant   performance based
                               core damage and       requirement to be
                               spent fuel sabotage   met by the physical
                               through the           protection program
                               establishment and     and the basic
                               maintenance of a      elements of the
                               security              system that must be
                               organization, the     described in the
                               use of security       security plans.
                               equipment and
                               technology, the
                               training and
                               qualification of
                               security personnel,
                               and the
                               implementation of
                               predetermined
                               response plans and
                               strategies; and
                              (c)(1)(ii) Site-      This requirement
                               specific conditions   would be added to
                               that affect           reflect the
                               implementation of     Commission's view
                               Commission            that licensees must
                               requirements.         focus attention on
                                                     site-specific
                                                     conditions in the
                                                     development and
                                                     implementation of
                                                     site plans,
                                                     procedures,
                                                     processes, response
                                                     strategies, and
                                                     ultimately, the
                                                     licensee capability
                                                     to achieve the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b)(1) of this
                                                     section.
                              (c)(2) Protection of  This requirement
                               security plans. The   would be added to
                               licensee shall        emphasize the
                               protect the           requirements for
                               approved security     the protection of
                               plans and other       safeguards
                               related safeguards    information in
                               information against   accordance with the
                               unauthorized          requirements of
                               disclosure in         Sec.   73.21.
                               accordance with the
                               requirements of
                               Sec.   73.21.
                              (c)(3) Physical       This header would be
                               security plan.        added for
                                                     formatting
                                                     purposes.
                              (c)(3)(i) The         This requirement
                               licensee shall        would be added to
                               establish,            specify the
                               maintain, and         requirement for a
                               implement a           physical security
                               Commission-approved   plan.
                               physical security
                               plan that describes
                               how the performance
                               objective and
                               requirements set
                               forth in this
                               section will be
                               implemented.
                              (c)(3)(ii) The        This requirement
                               physical security     would be added to
                               plan must describe    describe the
                               the facility          general content of
                               location and          the physical
                               layout, the           security plan and
                               security              specify the general
                               organization and      types of
                               structure, duties     information to be
                               and                   addressed. Because
                               responsibilities of   the specifics of
                               personnel, defense-   defense-in-depth
                               in-depth              required by the
                               implementation that   proposed Sec.
                               describes             73.55(b)(4) would
                               components,           vary from site-to-
                               equipment and         site, the terms
                               technology used.      ``components,''
                                                     ``equipment'' and
                                                     ``technology''
                                                     would be used to
                                                     provide
                                                     flexibility.
                              (c)(4) Training and   This header would be
                               qualification plan.   added for
                                                     formatting
                                                     purposes.
Sec.   73.55(b)(4)(ii) Each   (c)(4)(i) The         This requirement
 licensee shall establish,     licensee shall        would retain and
 maintain, and follow an NRC-  establish,            separate two
 approved training and         maintain, and         current
 qualifications plan * * *.    follow a Commission-  requirements of
                               approved training     Sec.
                               and qualification     73.55(b)(4)(ii).
                               plan that describes   This proposed
                               how the criteria      requirement would
                               set forth in          require the
                               appendix B            licensee to provide
                               ``General Criteria    a training and
                               for Security          qualification plan.
                               Personnel,'' to
                               this part will be
                               implemented.
Sec.   73.55(b)(4)(ii) * * *  (c)(4)(ii) The        This requirement
 outlining the processes by    training and          would retain the
 which guards, watchmen,       qualification plan    requirement for the
 armed response persons, and   must describe the     licensee to outline
 other members of the          process by which      the processes in
 security organization will    armed and unarmed     this plan with
 be selected, trained,         security personnel,   minor revisions.
 equipped, tested, and         watchpersons, and     The phrase
 qualified to ensure that      other members of      ``guards, watchmen,
 these individuals meet the    the security          armed response
 requirements of this          organization will     persons'' would be
 paragraph.                    be selected,          replaced by the
                               trained, equipped,    phrase ``armed and
                               tested, qualified,    unarmed security
                               and re-qualified to   personnel,
                               ensure that these     watchpersons'' to
                               individuals possess   generically
                               and maintain the      identify all
                               knowledge, skills,    members of the
                               and abilities         security
                               required to carry     organization. The
                               out their assigned    Commission does not
                               duties and            intend that
                               responsibilities      administrative
                               effectively.          staff be included
                                                     except as these
                                                     personnel would be
                                                     used to perform
                                                     duties required to
                                                     detect, assess,
                                                     intercept,
                                                     challenge, delay,
                                                     and neutralize a
                                                     threat, to include
                                                     compensatory
                                                     measures used to
                                                     maintain these
                                                     capabilities in the
                                                     event of a failed
                                                     component.

[[Page 62692]]

 
                                                    The phrase ``meet
                                                     the requirements of
                                                     this paragraph''
                                                     would be replaced
                                                     by the phrase
                                                     ``possess the
                                                     knowledge, skills,
                                                     and abilities
                                                     required to
                                                     effectively carry
                                                     out their assigned
                                                     duties and
                                                     responsibilities''
                                                     to clarify that the
                                                     focus of this
                                                     proposed
                                                     requirement would
                                                     be to ensure these
                                                     individuals possess
                                                     these capabilities.
                              (c)(5) Safeguards     This header would be
                               contingency plan.     added for
                                                     formatting
                                                     purposes.
Sec.   73.55(h)(1)            (c)(5)(i) The         This requirement
 Safeguards contingency        licensee shall        would retain the
 plans must be in accordance   establish,            current requirement
 with the criteria in          maintain, and         of Sec.
 appendix C to this part,      implement a           73.55(h)(1) to
 ``Licensee Safeguards         Commission-approved   provide a
 Contingency Plans''.          safeguards            safeguards
                               contingency plan      contingency plan
                               that describes how    with minor
                               the criteria set      revisions. Most
                               forth in section II   significantly, the
                               of appendix C,        reference to
                               ``Licensee            appendix C to part
                               Safeguards            73 would be revised
                               Contingency           to reflect the
                               Plans,'' to this      reformatting of the
                               part will be          proposed appendix C
                               implemented.          to part 73 which
                                                     would have a
                                                     section II that
                                                     applies only to
                                                     power reactors.
                              (c)(5)(ii) The        This requirement
                               safeguards            would be added to
                               contingency plan      generally describe
                               must describe         the content of the
                               predetermined         Safeguards
                               actions, plans, and   Contingency Plan.
                               strategies designed
                               to intercept,
                               challenge, delay,
                               and neutralize
                               threats up to and
                               including the
                               design basis threat
                               of radiological
                               sabotage.
                              (c)(6) Implementing   This header would be
                               procedures.           added for
                                                     formatting
                                                     purposes.
Sec.   73.55(b)(3)(i)         (c)(6)(i) The         This requirement
 Written security procedures   licensee shall        would retain the
 that document the structure   establish,            requirement for
 of the security               maintain, and         written security
 organization and detail the   implement written     procedures with
 duties of guards, watchmen,   procedures that       minor revisions.
 and other individuals         document the          The phrase ``and
 responsible for security.     structure of the      implement
                               security              Commission
                               organization,         requirements
                               detail the specific   through the
                               duties and            approved security
                               responsibilities of   plans'' would be
                               each position, and    added to clarify
                               implement             the requirement
                               Commission            that the licensee
                               requirements          implements
                               through the           Commission
                               approved security     requirements
                               plans.                through procedures
                                                     as well as the
                                                     approved security
                                                     plans.
                              (c)(6)(ii)            This requirement
                               Implementing          would be added to
                               procedures need not   address the current
                               be submitted to the   and proposed
                               Commission for        procedural details
                               prior approval, but   for implementing
                               are subject to        procedures.
                               inspection by the
                               Commission.
                              (c)(6)(iii)           This requirement
                               Implementing          would be added to
                               procedures must       describe the
                               detail the specific   content of
                               actions to be taken   implementing
                               and decisions to be   procedures to
                               made by each          clarify the current
                               position of the       requirement
                               security              ``detail the duties
                               organization to       of guards,
                               implement the         watchmen, and other
                               approved security     individuals
                               plans.                responsible for
                                                     security.''
Sec.   73.55(b)(3) The        (c)(6)(iv) The        This requirement
 licensee shall have a         licensee shall:       would be retained
 management system to                                and would separate
 provide for * * *.                                  the two current
                                                     requirements of
                                                     Sec.   73.55(b)(3)
                                                     with minor
                                                     revisions. The
                                                     phrase ``management
                                                     system'' would be
                                                     replaced with the
                                                     word ``process.''
                                                     The current
                                                     requirement to have
                                                     a management system
                                                     would be addressed
                                                     in the proposed
                                                     Sec.   73.55(d)(2).
Sec.   73.55(b)(3) * * * the  (c)(6)(iv)(A)         This requirement
 development, revision,        Develop, maintain,    would retain the
 implementation, and           enforce, review,      requirement to
 enforcement of security       and revise security   develop, revise,
 procedures.                   implementing          implement, and
                               procedures.           enforce security
                                                     procedures. The
                                                     words ``maintenance
                                                     and review'' would
                                                     be added to clarify
                                                     these tasks as
                                                     necessary
                                                     functions. The word
                                                     ``implementation''
                                                     would be deleted
                                                     because
                                                     implementation is
                                                     addressed in the
                                                     proposed paragraphs
                                                     (c)(6)(i) through
                                                     (iii) of this
                                                     section.
Sec.   73.55(b)(3)(ii)        (c)(6)(iv)(B)         This requirement
 Provision for written         Provide a process     would retain the
 approval of these             for the written       current requirement
 procedures and any            approval of           for written
 revisions to the procedures   implementing          approval with minor
 by the individual with        procedures and        revisions.
 overall responsibility for    revisions by the
 the security functions.       individual with
                               overall
                               responsibility for
                               the security
                               functions.

[[Page 62693]]

 
                              (c)(6)(iv)(C) Ensure  This requirement
                               that changes made     would be added to
                               to implementing       ensure that the
                               procedures do not     licensee process
                               decrease the          for making changes
                               effectiveness of      to implementing
                               any procedure to      procedures includes
                               implement and         a process to ensure
                               satisfy Commission    that changes do not
                               requirements.         result in a
                                                     reduction of
                                                     effectiveness or
                                                     result in a
                                                     conflict with other
                                                     site procedures.
                              (c)(7) Plan           This requirement
                               revisions. The        would be added to
                               licensee shall        outline the three
                               revise approved       methodologies for
                               security plans as     making changes to
                               necessary to ensure   the Commission-
                               the effective         approved security
                               implementation of     plans and clarify
                               Commission            that the licensee
                               regulations and the   would make
                               licensee's            necessary plan
                               protective            changes to account
                               strategy.             for changes to site
                               Commission approval   specific conditions
                               of revisions made     and lessons learned
                               pursuant to this      from implementing
                               paragraph is not      the approved
                               required, provided    security plans.
                               that revisions meet
                               the requirements of
                               Sec.   50.54(p) of
                               this chapter.
                               Changes that are
                               beyond the scope
                               allowed per Sec.
                               50.54(p) of this
                               chapter shall be
                               submitted as
                               required by Sec.
                               Sec.   50.90 of
                               this chapter or
                               Sec.   73.5.
Sec.   73.55(b) Physical      (d) Security          This header would be
 Security Organization.        organization.         retained with a
                                                     minor revision.
Sec.   73.55(b)(1) The        (d)(1) The licensee   This requirement
 licensee shall establish a    shall establish and   would retain the
 security organization,        maintain a security   current requirement
 including guards, to          organization          for a security
 protect his facility          designed, staffed,    organization to
 against radiological          trained, and          protect against
 sabotage.                     equipped to provide   radiological
                               early detection,      sabotage. This
                               assessment, and       proposed
                               response to           requirement would
                               unauthorized          be revised to
                               activities within     describe a more
                               any area of the       performance based
                               facility.             requirement
                                                     consistent with the
                                                     proposed paragraphs
                                                     (b)(2) through (4)
                                                     of this section.
                                                    The phrase
                                                     ``including guards,
                                                     to protect his
                                                     facility against
                                                     radiological
                                                     sabotage'' would be
                                                     replaced with the
                                                     phrase ``designed,
                                                     staffed, trained,
                                                     and equipped to
                                                     provide early
                                                     detection,
                                                     assessment, and
                                                     response to
                                                     unauthorized
                                                     activities'' to
                                                     describe those
                                                     elements of the
                                                     security
                                                     organization needed
                                                     to provide the
                                                     capabilities
                                                     described in the
                                                     proposed paragraph
                                                     (b). The phrase
                                                     ``within any area
                                                     of the facility''
                                                     would be added to
                                                     clarify the
                                                     Commission's
                                                     expectation that
                                                     the licensee must
                                                     implement measures
                                                     consistent with
                                                     site security
                                                     assessments and the
                                                     licensee response
                                                     strategy, to
                                                     facilitate the
                                                     identification of a
                                                     threat before an
                                                     attempt to
                                                     penetrate the
                                                     protected area
                                                     would be made.
Sec.   73.55(b)(3) The        (d)(2) The security   This requirement
 system shall include:         organization must     would be retained
                               include:              with minor
                                                     revisions. The word
                                                     ``system'' would be
                                                     replaced by the
                                                     phrase ``security
                                                     organization.''
                                                     Although, the
                                                     security ``system''
                                                     would include the
                                                     security
                                                     organization, this
                                                     proposed
                                                     requirement focuses
                                                     only on the
                                                     security
                                                     organization.
Sec.   73.55(b)(3) The        (d)(2)(i) A           This requirement
 licensee shall have a         management system     would retain the
 management system * * *.      that provides         requirement for a
                               oversight of the      management system
                               onsite physical       with minor
                               protection program.   revisions. Most
                                                     significantly this
                                                     proposed
                                                     requirement would
                                                     not limit the
                                                     licensee management
                                                     system to only
                                                     provide for the
                                                     development,
                                                     revision,
                                                     implementation, and
                                                     enforcement of
                                                     security procedures
                                                     which are addressed
                                                     in the proposed
                                                     paragraph
                                                     (c)(6)(iv) of this
                                                     section. The
                                                     Commission
                                                     expectation would
                                                     be that the
                                                     licensee management
                                                     system oversees all
                                                     aspects of the
                                                     onsite physical
                                                     protection program
                                                     to ensure the
                                                     effective
                                                     implementation of
                                                     Commission
                                                     requirements
                                                     through the
                                                     approved security
                                                     plans and
                                                     implementing
                                                     procedures.

[[Page 62694]]

 
Sec.   73.55(b)(2) At least   (d)(2)(ii) At least   This requirement
 one full time member of the   one member, onsite    would be retained
 security organization who     and available at      with minor
 has the authority to direct   all times, who has    revisions. The
 the physical protection       the authority to      phrase ``who is
 activities of the security    direct the            assigned no other
 organization shall be         activities of the     duties which would
 onsite at all times.          security              interfere with''
                               organization and      would be added to
                               who is assigned no    ensure that the
                               other duties that     designated
                               would interfere       individual would
                               with this             not be assigned any
                               individual's          duties that would
                               ability to perform    prevent or
                               these duties in       interfere with the
                               accordance with the   ability to direct
                               approved security     these activities
                               plans and licensee    when needed.
                               protective strategy.
Sec.   73.55(b)(4)(i) The     (d)(3) The licensee   This requirement
 licensee may not permit an    may not permit any    would be retained
 individual to act as a        individual to act     with minor
 guard, watchman, armed        as a member of the    revisions.
 response person, or other     security
 member of the security        organization unless
 organization unless the       the individual has
 individual has been           been trained,
 trained, equipped, and        equipped, and
 qualified to perform each     qualified to
 assigned security job duty    perform assigned
 in accordance with appendix   duties and
 B, ``General Criteria for     responsibilities in
 Security Personnel,'' to      accordance with the
 this part.                    requirements of
                               appendix B to part
                               73 and the
                               Commission-approved
                               training and
                               qualification plan.
                              (d)(4) The licensee   This requirement
                               may not assign an     would be added to
                               individual to any     clarify the
                               position involving    prerequisite
                               detection,            qualifications for
                               assessment, or        assignment to any
                               response to           position involving
                               unauthorized          a function upon
                               activities unless     which detection,
                               that individual has   assessment, or
                               satisfied the         response
                               requirements of       capabilities
                               Sec.   73.56.         depend.
Sec.   73.55(b)(1) If a       (d)(5) If a           This requirement
 contract guard force is       contracted security   would be retained
 utilized for site security,   force is used to      with minor
 the licensee's written        implement the         revision. The
 agreement with the            onsite physical       phrase ``utilized
 contractor that must be       protection program,   for site security''
 retained by the licensee as   the licensee's        would be replaced
 a record for the duration     written agreement     with the phrase
 of the contract will          with the contractor   ``used to implement
 clearly show that:            must be retained by   the onsite physical
                               the licensee as a     protection
                               record for the        program'' to focus
                               duration of the       on the
                               contract and must     implementation of
                               clearly state the     the onsite physical
                               following             protection program.
                               conditions:
Sec.   73.55(b)(1)(i) The     (d)(5)(i) The         This requirement
 licensee is responsible to    licensee is           would be retained
 the Commission for            responsible for       with minor
 maintaining safeguards in     maintaining the       revisions. Most
 accordance with Commission    onsite physical       significantly, the
 regulations and the           protection program    word ``safeguards''
 licensee's security plan.     in accordance with    would be replaced
                               Commission orders,    with the phrase''
                               Commission            onsite physical
                               regulations, and      protection
                               the approved          program'' to more
                               security plans.       accurately describe
                                                     the focus of this
                                                     requirement.
Sec.   73.55(b)(1)(ii) The    (d)(5)(ii) The        This requirement
 NRC may inspect, copy, and    Commission may        would be retained
 take away copies of all       inspect, copy,        with minor
 reports and documents         retain, and remove    revisions.
 required to be kept by        all reports and
 Commission regulations,       documents required
 orders, or applicable         to be kept by
 license conditions whether    Commission
 the reports and documents     regulations,
 are kept by the licensee or   orders, or
 the contractor.               applicable license
                               conditions whether
                               the reports and
                               documents are kept
                               by the licensee or
                               the contractor.
                              (d)(5)(iii) An        This requirement
                               individual may not    would be added for
                               be assigned to any    consistency with
                               position involving    the proposed
                               detection,            requirements of the
                               assessment, or        proposed paragraph
                               response to           (d)(4) of this
                               unauthorized          section. This
                               activities unless     proposed
                               that individual has   requirement would
                               satisfied the         be stipulated in a
                               requirements of       contract because it
                               Sec.   73.56.         relates to a
                                                     function of the
                                                     contract.
Sec.   73.55(b)(1)(iv) The    (d)(5)(iv) An         This requirement
 contractor will not assign    individual may not    would retain and
 any personnel to the site     be assigned duties    combine two current
 who have not first been       and                   requirements of
 made aware of these           responsibilities      Sec.
 responsibilities.             required to           73.55(b)(1)(iv) and
Sec.   73.55(b)(4)(i) The      implement the         Sec.
 licensee may not permit an    approved security     73.55(b)(4)(i) with
 individual to act as a        plans or licensee     minor revisions
 guard, watchman, armed        protective strategy   necessary for
 response person, or other     unless that           consistency with
 member of the security        individual has been   the proposed rule.
 organization unless the       properly trained,
 individual has been           equipped, and
 trained, equipped, and        qualified to
 qualified to perform each     perform their
 assigned security job duty    assigned duties and
 in accordance with appendix   responsibilities in
 B * * *..                     accordance with
                               appendix B to part
                               73 and the
                               Commission-approved
                               training and
                               qualification plan.
Sec.   73.55(b)(1)(iii) The   (d)(5)(v) Upon the    This requirement
 requirement in paragraph      request of an         would be retained
 (b)(4) of this section that   authorized            to describe the
 the licensee demonstrate      representative of     current requirement
 the ability of physical       the Commission, the   for demonstration
 security personnel to         contractor security   by contract
 perform their assigned        employees shall       security personnel.
 duties and responsibilities   demonstrate the       The language of
 includes demonstration of     ability to perform    this current
 the ability of the            their assigned        requirement would
 contractor's physical         duties and            be deleted and
 security personnel to         responsibilities      replaced by the
 perform their assigned        effectively.          proposed language
 duties and responsibilities                         of the proposed
 in carrying out the                                 Sec.   73.55(b)(5).
 provisions of the Security
 Plan and these regulations,
 and * * *.

[[Page 62695]]

 
                              (d)(5)(vi) Any        This requirement
                               license for           would be added to
                               possession and        implement
                               ownership of          applicable portions
                               enhanced weapons      of the EPAct 2005,
                               will reside with      and to require any
                               the licensee.         security force
                                                     contract to include
                                                     a statement that
                                                     would ensure that
                                                     all licenses
                                                     relative to
                                                     firearms and
                                                     enhanced weapons
                                                     reside with the
                                                     licensee, not the
                                                     contractor.
Sec.   73.55(c) Physical      (e) Physical          This requirement
 barriers.                     barriers. Based       would be added to
                               upon the licensee's   provide a
                               protective            performance based
                               strategy, analyses,   requirement for
                               and site conditions   determining the use
                               that affect the use   and placement of
                               and placement of      physical barriers
                               physical barriers,    required for
                               the licensee shall    protection of
                               install and           personnel,
                               maintain physical     equipment, and
                               barriers that are     systems, the
                               designed and          failure of which
                               constructed as        could directly or
                               necessary to deter,   indirectly endanger
                               delay, and prevent    public health and
                               the introduction of   safety.
                               unauthorized
                               personnel,
                               vehicles, or
                               materials into
                               areas for which
                               access must be
                               controlled or
                               restricted.
                                                    The phrase ``Based
                                                     upon the licensee
                                                     protective
                                                     strategy, analyses,
                                                     and site specific
                                                     conditions'', would
                                                     be used to ensure
                                                     that licensees
                                                     consider protective
                                                     strategy
                                                     requirements and
                                                     needs, as well as
                                                     any analyses
                                                     conducted by the
                                                     licensee or
                                                     required by the
                                                     Commission to
                                                     determine the
                                                     effects the design
                                                     basis threat could
                                                     have on personnel,
                                                     equipment, and
                                                     systems, and any
                                                     site specific
                                                     condition that
                                                     could have an
                                                     impact on the
                                                     capability to
                                                     prevent significant
                                                     core damage and
                                                     spent fuel
                                                     sabotage. The
                                                     Commission
                                                     considers these
                                                     factors to be
                                                     necessary
                                                     considerations when
                                                     determining the
                                                     appropriate use and
                                                     placement of
                                                     barriers in any
                                                     area.
                              (e)(1) The licensee   This requirement
                               shall describe in     would be added to
                               the approved          provide a mechanism
                               security plans, the   by which the
                               design,               licensee would
                               construction, and     confirm information
                               function of           regarding the use,
                               physical barriers     placement, and
                               and barrier systems   construction of
                               used and shall        barriers to include
                               ensure that each      the intended
                               barrier and barrier   function of
                               system is designed    specific barriers
                               and constructed to    as they relate to
                               satisfy the stated    satisfying the
                               function of the       proposed
                               barrier and barrier   requirements of
                               system.               this section.
Sec.   73.55(c)(9)(iii)       (e)(2) The licensee   This requirement
 Protect as Safeguards         shall retain in       would retain and
 Information, information      accordance with       combine the current
 required by the Commission    Sec.   73.70, all     requirements of
 pursuant to Sec.              analyses,             Sec.
 73.55(c)(8) and (9).          comparisons, and      73.55(c)(9)(iii)
Sec.   73.55(c)(9)(iv)         descriptions of the   and (9)(iv) with
 Retain, in accordance with    physical barriers     minor revisions.
 Sec.   73.70, all             and barrier systems
 comparisons and analyses      used to satisfy the
 prepared pursuant to Sec.     requirements of
 73.55(c)(7) and (8)..         this section, and
                               shall protect these
                               records as
                               safeguards
                               information in
                               accordance with the
                               requirements of
                               Sec.   73.21.
                              (e)(3) Physical       This header would be
                               barriers must:        added for
                                                     formatting
                                                     purposes.
                              (e)(3)(i) Clearly     This requirement
                               delineate the         would be added to
                               boundaries of the     provide a
                               area(s) for which     performance based
                               the physical          requirement for the
                               barrier provides      use of barriers.
                               protection or a
                               function, such as
                               protected and vital
                               area boundaries and
                               stand-off distance.
Sec.   73.55(c)(8) Each       (e)(3)(ii) Be         This requirement
 licensee shall compare the    designed and          would be added to
 vehicle control measures      constructed to        apply the current
 established in accordance     protect against the   requirement of Sec.
 with Sec.   73.55(c)(7) to    design basis threat     73.55(c)(8) to
 the Commission's design       commensurate to the   compare vehicle
 goals (i.e., to protect       required function     control measures
 equipment, systems,           of each barrier and   against Commission
 devices, or material, the     in support of the     design goals, to
 failure of which could        licensee protective   all barriers, such
 directly or indirectly        strategy.             as but not limited
 endanger public health and                          to, channeling
 safety by exposure to                               barriers, delay
 radiation) and criteria for                         barriers, and
 protection against a land                           bullet resisting
 vehicle bomb.                                       enclosures, and not
                                                     limit this
                                                     comparison to only
                                                     vehicle barriers.
                                                     The Commission's
                                                     view is that the
                                                     physical
                                                     construction,
                                                     materials, and
                                                     design of any
                                                     barrier must be
                                                     sufficient to
                                                     perform the
                                                     intended function
                                                     and therefore, the
                                                     licensee must meet
                                                     these standards.

[[Page 62696]]

 
                              (e)(3)(iii) Provide   This requirement
                               visual deterrence,    would be added to
                               delay, and support    provide a
                               access control        performance based
                               measures.             requirement for
                                                     physical barriers.
                                                     Because of changes
                                                     to the threat
                                                     environment the
                                                     Commission believes
                                                     emphasis on the use
                                                     of physical
                                                     barriers would be
                                                     appropriate.
                              (e)(3)(iv) Support    This requirement
                               effective             would be added to
                               implementation of     provide a
                               the licensee's        performance based
                               protective strategy.  requirement for
                                                     physical barriers.
                                                     Because of changes
                                                     to the threat
                                                     environment the use
                                                     of physical
                                                     barriers within the
                                                     licensee protective
                                                     strategy would be
                                                     considered
                                                     essential.
                              (e)(4) Owner          This requirement
                               controlled area.      would be added to
                               The licensee shall    provide a
                               establish and         performance based
                               maintain physical     requirement to
                               barriers in the       provide enhanced
                               owner controlled      protection outside
                               area to deter,        the protected area
                               delay, or prevent     relative to
                               unauthorized          detecting and
                               access, facilitate    delaying a threat
                               the early detection   before reaching any
                               of unauthorized       area from which the
                               activities, and       threat could
                               control approach      disable the
                               routes to the         personnel,
                               facility.             equipment, or
                                                     systems required to
                                                     meet the
                                                     performance
                                                     objective and
                                                     requirements
                                                     described in the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
                              (e)(5) Isolation      This header would be
                               zone.                 added for
                                                     formatting
                                                     purposes.
Sec.   73.55(c)(3) Isolation  (e)(5)(i) An          This requirement
 zones shall be maintained     isolation zone must   would retain the
 in outdoor areas adjacent     be maintained in      current requirement
 to the physical barrier at    outdoor areas         for an isolation
 the perimeter of the          adjacent to the       zone.
 protected area * * *.         protected area
                               perimeter barrier.
                               The isolation zone
                               shall be:
Sec.   73.55(c)(3) Isolation  (e)(5)(i)(A)          This requirement
 zones * * * and shall be of   Designed and of       would retain and
 sufficient size to permit     sufficient size to    revise the current
 observation of the            permit unobstructed   requirement for
 activities of people on       observation and       isolation zone
 either side of that barrier   assessment of         design to provide
 in the event of its           activities on         observation. Most
 penetration.                  either side of the    significantly, the
                               protected area        words ``designed''
                               barrier.              and
                                                     ``unobstructed''
                                                     would be added to
                                                     provide a more
                                                     performance based
                                                     requirement. The
                                                     phrase ``of
                                                     people'' would be
                                                     deleted to focus
                                                     the proposed
                                                     requirement on
                                                     ``activities''.
Sec.   73.55(c)(4) Detection  (e)(5)(i)(B)          This requirement
 of penetration or attempted   Equipped with         would be retained
 penetration of the            intrusion detection   and revised to
 protected area or the         equipment capable     require intrusion
 isolation zone adjacent to    of detecting both     detection equipment
 the protected area barrier    attempted and         within an isolation
 shall assure that adequate    actual penetration    zone and provide a
 response by the security      of the protected      performance based
 organization can be           area perimeter        requirement for
 initiated.                    barrier and           that equipment. The
                               assessment            phrase ``shall
                               equipment capable     assure that
                               of facilitating       adequate response
                               timely evaluation     by the security
                               of the detected       organization can be
                               unauthorized          initiated'' would
                               activities before     be moved from this
                               completed             proposed
                               penetration of the    requirement to the
                               protected area        proposed Sec.
                               perimeter barrier.    73.55(i)(9)(v).
                              (e)(5)(ii)            This requirement
                               Assessment            would be added to
                               equipment in the      provide a
                               isolation zone must   performance based
                               provide real-time     requirement for
                               and play-back/        assessment
                               recorded video        equipment utilized
                               images in a manner    for the isolation
                               that allows timely    zone. The
                               evaluation of the     Commission has
                               detected              determined that
                               unauthorized          based on changes to
                               activities before     threat environment
                               and after each        the use of
                               alarm annunciation.   technology that
                                                     allows for the
                                                     assessment of
                                                     activities before
                                                     and after an alarm
                                                     annunciation is
                                                     necessary to
                                                     facilitate a
                                                     determination of
                                                     the level of
                                                     response needed to
                                                     satisfy the
                                                     performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section. The
                                                     Commission believes
                                                     the application of
                                                     this commonly used
                                                     technology would be
                                                     an appropriate use
                                                     of technological
                                                     advancements that
                                                     would effectively
                                                     enhance licensee
                                                     capabilities to
                                                     achieve the
                                                     performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.

[[Page 62697]]

 
Sec.   73.55(c)(3) If         (e)(5)(iii) Parking   This requirement
 parking facilities are        facilities, storage   would be retained
 provided for employees or     areas, or other       and revised to
 visitors, they shall be       obstructions that     provide a
 located outside the           could provide         performance based
 isolation zone and exterior   concealment or        requirement for the
 to the protected area         otherwise interfere   areas outside the
 barrier.                      with the licensee's   isolation zone.
                               capability to meet    Most significantly,
                               the requirements of   the phrase
                               paragraphs            ``storage areas, or
                               (e)(5)(i)(A) and      other obstructions
                               (B) of this           which could provide
                               section, must be      concealment or
                               located outside of    otherwise
                               the isolation zone.   interfere'' would
                                                     be added to ensure
                                                     that areas inside,
                                                     outside, and
                                                     adjacent to the
                                                     protected area
                                                     barrier would be
                                                     maintained clear of
                                                     obstructions to
                                                     ensure observation
                                                     and assessment
                                                     capabilities.
                              (e)(6) Protected      This header would be
                               area.                 added for
                                                     formatting
                                                     purposes.
                              (e)(6)(i) The         This requirement
                               protected area        would be added to
                               perimeter must be     provide a
                               protected by          performance based
                               physical barriers     requirement for
                               designed and          physical barriers
                               constructed to meet   and penetrations
                               Commission            though the
                               requirements and      protected area
                               all penetrations      barrier to be
                               through this          secured to prevent
                               barrier must be       and detect
                               secured in a manner   attempted or actual
                               that prevents or      exploitation of the
                               delays, and detects   penetration. The
                               the exploitation of   Commission's view
                               any penetration.      is that
                                                     penetrations must
                                                     be secured equal to
                                                     the strength of the
                                                     barrier of which it
                                                     is a part and that
                                                     attempts to exploit
                                                     a penetration must
                                                     be detected and
                                                     response initiated.
Sec.   73.55(c)(2) The        (e)(6)(ii) The        This requirement
 physical barriers at the      protected area        would be retained
 perimeter of the protected    perimeter physical    with minor
 area shall be separated       barriers must be      revision. The
 from any other barrier        separated from any    phrase ``unless
 designated as a physical      other barrier         otherwise
 barrier for a vital area      designated as a       identified in the
 within the protected area.    vital area physical   approved physical
                               barrier, unless       security plan''
                               otherwise             would be added to
                               identified in the     provide flexibility
                               approved physical     for an alternate
                               security plan.        methodology to be
                                                     described in the
                                                     Commission-approved
                                                     security plans.
Sec.   73.55(e)(3) All        (e)(6)(iii) All       This requirement
 emergency exits in each       emergency exits in    would retain and
 protected area and each       the protected area    separate the two
 vital area shall be alarmed.  must be secured by    current
                               locking devices       requirements with
                               that allow exit       minor revision. The
                               only and alarmed.     phrase ``secured by
                                                     locking devices
                                                     which allow exit
                                                     only'' would be
                                                     added to provide a
                                                     performance based
                                                     requirement
                                                     relative to the
                                                     function of locking
                                                     devices with
                                                     emergency exit
                                                     design to prevent
                                                     entry. Vital areas
                                                     would be addressed
                                                     in the proposed
                                                     Sec.
                                                     73.55(e)(8)(vii).
                              (e)(6)(iv) Where      This requirement
                               building walls,       would be added to
                               roofs, or             provide a
                               penetrations          performance based
                               comprise a portion    requirement for
                               of the protected      instances where
                               area perimeter        this site condition
                               barrier, an           would exist.
                               isolation zone is
                               not necessary,
                               provided that the
                               detection,
                               assessment,
                               observation,
                               monitoring, and
                               surveillance
                               requirements of
                               this section are
                               met, appropriately
                               designed and
                               constructed
                               barriers are
                               installed, and the
                               area is described
                               in the approved
                               security plans.
Sec.   73.55(c)(6) The        (e)(6)(v) The         This requirement
 walls, doors, ceiling,        reactor control       would retain the
 floor, and any windows in     room, the central     locations
 the walls and in the doors    alarm station, and    identified in the
 of the reactor control room   the location within   current Sec.
 shall be bullet-resisting.    which the last        73.55(c)(6),
Sec.   73.55(d)(1) The         access control        (d)(1), and (e)(1).
 individual responsible for    function for access   Specific reference
 the last access control       to the protected      to walls, doors,
 function (controlling         area is performed,    ceiling, floor, and
 admission to the protected    must be bullet-       any windows in the
 area) must be isolated        resisting.            walls, doors,
 within a bullet-resisting                           ceiling, and floor
 structure as described in                           would be deleted to
 Paragraph (c)(6) of this                            clarify that all
 section to assure his or                            construction
 her ability to respond or                           features would be
 summon assistance.                                  required to meet
Sec.   73.55(e)(1) The                               the bullet
 onsite central alarm                                resisting
 station must be considered                          requirement, and
 a vital area and its walls,                         therefore remove
 doors, ceiling, floor, and                          the potential for
 any windows in the walls                            confusion where a
 and in the doors must be                            structural feature
 bullet-resisting..                                  such as sky-lights
                                                     would not be
                                                     listed. The
                                                     Commission does not
                                                     intend to suggest
                                                     that penetrations,
                                                     such as heating/
                                                     cooling ducts be
                                                     made bullet-
                                                     resistant, but
                                                     rather that the
                                                     licensee implement
                                                     appropriate
                                                     measures to prevent
                                                     the exploitation of
                                                     such features in a
                                                     manner consistent
                                                     with the intent of
                                                     the bullet-
                                                     resisting
                                                     requirement to
                                                     ensure the required
                                                     functions performed
                                                     in these locations
                                                     are protected and
                                                     maintained.

[[Page 62698]]

 
                              (e)(6)(vi) All        This requirement
                               exterior areas        would be added to
                               within the            provide a
                               protected area must   performance based
                               be periodically       requirement for
                               checked to detect     monitoring exterior
                               and deter             areas of the
                               unauthorized          protected area to
                               activities,           facilitate
                               personnel,            achievement of the
                               vehicles, and         requirements
                               materials.            described by the
                                                     proposed paragraph
                                                     (b).
                              (e)(7) Vital areas..  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
Sec.   73.55(c)(1) The        (e)(7)(i) Vital       This requirement
 licensee shall locate vital   equipment must be     would be retained
 equipment only within a       located only within   with minor
 vital area, which in turn,    vital areas, which    revision. The
 shall be located within a     in turn must be       phrase ``of
 protected area such that      located within        sufficient strength
 access to vital equipment     protected areas so    to meet the
 requires passage through at   that access to        performance
 least two physical barriers   vital equipment       requirements of
 of sufficient strength to     requires passage      paragraph (a) of
 meet the performance          through at least      this section''
 requirements of paragraph     two physical          would be replaced
 (a) of this section.          barriers designed     with the phrase
                               and constructed to    ``designed and
                               perform the           constructed to
                               required function,    perform the
                               except as otherwise   required function''
                               approved by the       for consistency
                               Commission in         with the proposed
                               accordance with       requirements for
                               paragraph (f)(2) of   physical barriers
                               this section.         discussed
                                                     throughout this
                                                     proposed Sec.
                                                     73.55(e). The
                                                     phrase ``except as
                                                     otherwise approved
                                                     by the Commission
                                                     in accordance with
                                                     paragraph (f)(2) of
                                                     this section''
                                                     would be added to
                                                     account for the
                                                     condition addressed
                                                     by paragraph
                                                     (f)(2).
Sec.   73.55(c)(1) More than  (e)(7)(ii) More than  This requirement
 one vital area may be         one vital area may    would be retained.
 located within a single       be located within a
 protected area.               single protected
                               area.
Sec.   73.55(e)(1) The        (e)(7)(iii) The       This requirement
 onsite central alarm          reactor control       would retain and
 station must be considered    room, the spent       combine two current
 a vital area and * * *.       fuel pool,            requirements from
Sec.   73.55(e)(1) Onsite      secondary power       10 CFR 73.55(e)(1),
 secondary power supply        supply systems for    for protecting
 systems for alarm             intrusion detection   these areas
 annunciator equipment and     and assessment        equivalent to a
 non-portable communications   equipment, non-       vital area. The
 equipment as required in      portable              Commission added
 paragraph (f) of this         communications        the ``spent fuel
 section must be located       equipment, and the    pool'' to emphasize
 within vital areas..          central alarm         the Commission view
                               station, must be      that because of
                               provided protection   changes to the
                               equivalent to vital   threat environment
                               equipment located     the spent fuel pool
                               within a vital area.  must also be
                                                     provided this
                                                     protection. The
                                                     phrase ``alarm
                                                     annunciator'' would
                                                     be replaced with
                                                     ``intrusion
                                                     detection and
                                                     assessment'' to
                                                     clarify the
                                                     application of this
                                                     proposed
                                                     requirement to
                                                     intrusion detection
                                                     sensors and video
                                                     assessment
                                                     equipment as well
                                                     as the alarm
                                                     annunciation
                                                     equipment.
                              (e)(7)(iv) Vital      This requirement
                               equipment that is     would be added to
                               undergoing            provide a
                               maintenance or is     performance based
                               out of service, or    requirement
                               any other change to   consistent with the
                               site conditions       proposed Sec.
                               that could            73.58 Safety/
                               adversely affect      Security Program.
                               plant safety or
                               security, must be
                               identified in
                               accordance with
                               Sec.   73.58, and
                               adjustments must be
                               made to the site
                               protective
                               strategy, site
                               procedures, and
                               approved security
                               plans, as necessary.
Sec.   73.55(e)(3) All        (e)(7)(v) The         This requirement
 emergency exits in each       licensee shall        would retain and
 protected area and each       protect all vital     combine two current
 vital area shall be alarmed.  areas, vital area     requirements 10 CFR
Sec.   73.55(d)(7)(D) Lock     access portals, and   73.55(e)(3) and
 and protect by an activated   vital area            (d)(7)(D) with
 intrusion alarm system all    emergency exits       minor revision for
 unoccupied vital areas..      with intrusion        formatting
                               detection equipment   purposes. The
                               and locking           phrase ``Emergency
                               devices. Emergency    exit locking
                               exit locking          devices shall be
                               devices shall be      designed to permit
                               designed to permit    exit only'' would
                               exit only.            be added to provide
                                                     a performance based
                                                     requirement to
                                                     describe the
                                                     function to be
                                                     provided by
                                                     emergency exit
                                                     locking devices.
Sec.   73.55(d)(7)(D) Lock    (e)(7)(vi)            This requirement
 and protect by an activated   Unoccupied vital      would retain the
 intrusion alarm system all    areas must be         current requirement
 unoccupied vital areas.       locked.               to lock unoccupied
                                                     vital areas with
                                                     minor revision for
                                                     formatting
                                                     purposes. The
                                                     current requirement
                                                     to alarm all vital
                                                     areas would be
                                                     moved to the
                                                     proposed paragraph
                                                     (e)(7)(v) of this
                                                     section.
                              (e)(8) Vehicle        This header would be
                               barrier system. The   added for
                               licensee must:        formatting
                                                     purposes.

[[Page 62699]]

 
Sec.   73.55(c)(7) Vehicle    (e)(8)(i) Prevent     This requirement
 control measures, including   unauthorized          would be retained
 vehicle barrier systems,      vehicle access or     and revised to
 must be established to        proximity to any      provide a
 protect against use of a      area from which any   requirement for
 land vehicle, as specified    vehicle, its          protection against
 by the Commission, as a       personnel, or its     any vehicle within
 means of transportation to    contents could        the context of the
 gain unauthorized proximity   disable the           design basis threat
 to vital areas.               personnel,            described in Sec.
                               equipment, or         73.1. Because of
                               systems necessary     changes to the
                               to meet the           threat environment,
                               performance           the meaning of the
                               objective and         word ``proximity''
                               requirements          remains the same
                               described in          but is applied to
                               paragraph (b) of      include all
                               this section.         locations from
                                                     which the design
                                                     basis threat could
                                                     disable the
                                                     personnel,
                                                     equipment, or
                                                     systems required to
                                                     prevent
                                                     radiological
                                                     sabotage.
                              (e)(8)(ii) Limit and  This requirement
                               control all vehicle   would be added to
                               approach routes.      provide a
                                                     requirement for
                                                     limiting and
                                                     controlling vehicle
                                                     access routes to
                                                     the site for the
                                                     purpose of
                                                     protecting the
                                                     facility against
                                                     vehicle bomb
                                                     attacks and the use
                                                     of vehicles as a
                                                     means of
                                                     transporting
                                                     personnel and
                                                     materials that
                                                     would be considered
                                                     a threat. Because
                                                     of changes to the
                                                     threat environment
                                                     the Commission has
                                                     determined that
                                                     control of all
                                                     vehicle approach
                                                     routes is a
                                                     critical element of
                                                     the onsite physical
                                                     protection program.
                              (e)(8)(iii) Design    This requirement
                               and install a         would be added to
                               vehicle barrier       require the
                               system, to include    licensee to
                               passive and active    determine the
                               barriers, at a        potential effects a
                               stand-off distance    vehicle bomb could
                               adequate to protect   have on the
                               personnel,            facility and to
                               equipment, and        establish a barrier
                               systems against the   system at a stand-
                               design basis threat.  off distance
                                                     sufficient to
                                                     protect personnel,
                                                     equipment and
                                                     systems. Because of
                                                     changes to the
                                                     threat environment,
                                                     the Commission
                                                     views stand-off
                                                     distances to be a
                                                     critical element of
                                                     the onsite physical
                                                     protection program
                                                     and which require
                                                     continuing analysis
                                                     and evaluation to
                                                     maintain
                                                     effectiveness.
                              (e)(8)(iv) Deter,     This requirement
                               detect, delay, or     would be added to
                               prevent vehicle use   ensure the licensee
                               as a means of         maintains the
                               transporting          capability to
                               unauthorized          deter, detect,
                               personnel or          delay, or prevent
                               materials to gain     unauthorized access
                               unauthorized access   beyond a vehicle
                               beyond a vehicle      barrier system.
                               barrier system,       Because of changes
                               gain proximity to a   to the threat
                               protected area or     environment, the
                               vital area, or        Commission views
                               otherwise penetrate   the vehicle threat
                               the protected area    to be a critical
                               perimeter.            element of the
                                                     onsite physical
                                                     protection program
                                                     that requires
                                                     continual analysis
                                                     and evaluation to
                                                     maintain
                                                     effectiveness. This
                                                     proposed
                                                     requirement would
                                                     include vehicles
                                                     that do not reach
                                                     the full capability
                                                     of the design basis
                                                     threat.
                              (e)(8)(v)             This requirement
                               Periodically check    would be added
                               the operation of      consistent with the
                               active vehicle        current requirement
                               barriers and          of Sec.
                               provide a secondary   73.55(g)(1) and
                               power source or a     would apply to the
                               means of mechanical   operation of active
                               or manual             vehicle barriers
                               operation, in the     within time lines
                               event of a power      required to prevent
                               failure to ensure     unauthorized
                               that the active       vehicle access,
                               barrier can be        despite the loss of
                               placed in the         the primary power
                               denial position       source. The term
                               within the time       ``periodically''
                               line required to      would be intended
                               prevent               to allow the
                               unauthorized          licensees to
                               vehicle access        establish checks at
                               beyond the required   a frequency
                               standoff distance.    necessary to ensure
                                                     active barriers
                                                     remain effective
                                                     for both denial and
                                                     non-denial
                                                     operation.
                              (e)(8)(vi) Provide    This requirement
                               surveillance and      would be added to
                               observation of        provide a
                               vehicle barriers      requirement for the
                               and barrier systems   licensee to monitor
                               to detect             the integrity of
                               unauthorized          barriers to verify
                               activities and to     availability when
                               ensure the            needed and to
                               integrity of each     prevent or detect
                               vehicle barrier and   tampering. Because
                               barrier system.       of changes to the
                                                     threat environment,
                                                     the Commission
                                                     views the vehicle
                                                     bomb consideration
                                                     to be a critical
                                                     element of the
                                                     onsite physical
                                                     protection program
                                                     which requires
                                                     continuing analysis
                                                     and evaluation to
                                                     maintain
                                                     effectiveness.

[[Page 62700]]

 
                              (e)(9) Waterways....  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
                              (e)(9)(i) The         This requirement
                               licensee shall        would be added to
                               control waterway      provide a
                               approach routes or    requirement for
                               proximity to any      controlling
                               area from which a     waterway approach
                               waterborne vehicle,   routes consistent
                               its personnel, or     with the
                               its contents could    requirement of the
                               disable the           proposed paragraph
                               personnel,            (e)(9)(ii) of this
                               equipment, or         section. Because of
                               systems necessary     changes to the
                               to meet the           threat environment,
                               performance           the Commission
                               objective and         views waterway
                               requirements          approach routes and
                               described in          control measures to
                               paragraph (b) of      be a critical
                               this section.         element of the
                                                     onsite physical
                                                     protection program
                                                     and one that
                                                     requires continual
                                                     analysis and
                                                     evaluation to
                                                     maintain
                                                     effectiveness.
                              (e)(9)(ii) The        This requirement
                               licensee shall        would be added to
                               delineate areas       provide a
                               from which a          requirement for
                               waterborne vehicle    notifying
                               must be restricted    unauthorized
                               and install           individuals that
                               waterborne vehicle    access is not
                               control measures,     permitted, and the
                               where applicable.     installation of
                                                     barriers where
                                                     appropriate.
                              (e)(9)(iii) The       This requirement
                               licensee shall        would be added to
                               monitor waterway      provide a
                               approaches and        requirement for
                               adjacent areas to     monitoring waterway
                               ensure early          approaches
                               detection,            consistent with
                               assessment, and       other monitoring
                               response to           and surveillance
                               unauthorized          requirements of
                               activity or           this proposed
                               proximity, and to     section.
                               ensure the
                               integrity of
                               installed
                               waterborne vehicle
                               control measures.
                              (e)(9)(iv) Where      This requirement
                               necessary to meet     would be added to
                               the requirements of   provide a
                               this section,         requirement to
                               licensees shall       coordinate where
                               coordinate with       necessary with
                               local, State, and     other agencies
                               Federal agencies      having
                               having jurisdiction   jurisdictional
                               over waterway         authority over
                               approaches.           waterways to ensure
                                                     that the proposed
                                                     requirements of
                                                     this section would
                                                     be met.
                              (e)(10) Unattended    This requirement
                               openings in any       would be added to
                               barrier established   provide a
                               to meet the           requirement for all
                               requirements of       openings in any
                               this section that     OCA, PA, or VA
                               are 620 cm\2\ (96.1   barrier to ensure
                               in\2\) or greater     that the intended
                               in total area and     function of the
                               have a smallest       barrier is met. The
                               dimension of 15 cm    phrase ``consistent
                               (5.9 in) or           with the intended
                               greater, must be      function of each
                               secured and           barrier'' would
                               monitored at a        describe the
                               frequency that        criteria for making
                               would prevent         a determination to
                               exploitation of the   secure or monitor
                               opening consistent    openings of this
                               with the intended     size where the
                               function of each      intended function
                               barrier.              of the barrier
                                                     would be
                                                     compromised if the
                                                     opening is not
                                                     secured or
                                                     monitored. The size
                                                     of the opening
                                                     described is a
                                                     commonly accepted
                                                     standard throughout
                                                     the security
                                                     profession for
                                                     application to any
                                                     security program
                                                     and one that
                                                     represents an
                                                     opening large
                                                     enough for a person
                                                     to exploit.
                                                    Therefore, the
                                                     Commission has
                                                     determined that
                                                     openings meeting
                                                     the stated criteria
                                                     require measures to
                                                     prevent
                                                     exploitation.
                              (f) Target sets.....  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
                              (f)(1) The licensee   This requirement
                               shall document in     would be added to
                               site procedures the   provide a
                               process used to       performance based
                               develop and           requirement for the
                               identify target       licensee to
                               sets, to include      document how each
                               analyses and          target set was
                               methodologies used    developed to
                               to determine and      facilitate review
                               group the target      of the licensee
                               set equipment or      methodology by the
                               elements.             Commission. The
                                                     Commission has
                                                     determined that
                                                     because of changes
                                                     to the threat
                                                     environment the
                                                     identification and
                                                     protection of all
                                                     target sets would
                                                     be a critical
                                                     component for the
                                                     development and
                                                     implementation of
                                                     the licensee
                                                     protective strategy
                                                     and the capability
                                                     of the licensee to
                                                     prevent significant
                                                     core damage and
                                                     spent fuel
                                                     sabotage,
                                                     therefore,
                                                     providing
                                                     protection against
                                                     radiological
                                                     sabotage and
                                                     satisfying the
                                                     performance
                                                     objective and
                                                     requirements stated
                                                     in the proposed
                                                     paragraph (b) of
                                                     this section.

[[Page 62701]]

 
                              (f)(2) The licensee   This requirement
                               shall consider the    would be added to
                               effects that cyber    ensure cyber
                               attacks may have      attacks associated
                               upon individual       with advancements
                               equipment or          in the area of
                               elements of each      automated computer
                               target set or         technology are
                               grouping.             considered and the
                                                     affects that such
                                                     attacks may have on
                                                     the integrity of
                                                     individual target
                                                     set equipment and
                                                     elements is
                                                     accounted for in
                                                     the licensee
                                                     protective
                                                     strategy.
                              (f)(3) Target set     This requirement
                               equipment or          would be added to
                               elements that are     provide a
                               not contained         performance based
                               within a protected    requirement to
                               or vital area must    identify and
                               be explicitly         account for this
                               identified in the     condition in the
                               approved security     approved security
                               plans and             plans, if it exists
                               protective measures   at a site.
                               for such equipment
                               or elements must be
                               addressed by the
                               licensee's
                               protective strategy
                               in accordance with
                               appendix C to this
                               part.
                              (f)(4) The licensee   This requirement
                               shall implement a     would be added to
                               program for the       require the
                               oversight of plant    licensee to
                               equipment and         establish and
                               systems documented    implement a program
                               as part of the        that focuses on
                               licensee protective   ensuring that
                               strategy to ensure    certain plant
                               that changes to the   equipment and
                               configuration of      systems are
                               the identified        periodically
                               equipment and         checked to ensure
                               systems do not        that unauthorized
                               compromise the        configuration
                               licensee's            changes or
                               capability to         tampering would be
                               prevent significant   identified and an
                               core damage and       appropriate
                               spent fuel sabotage.  response initiated.
                                                     Based on changes to
                                                     the threat
                                                     environment, the
                                                     Commission has
                                                     determined this
                                                     would be an
                                                     appropriate
                                                     enhancement to the
                                                     licensee onsite
                                                     physical protection
                                                     program.
                              (g) Access control..  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
                              (g)(1) The licensee   This header would be
                               shall:                added for
                                                     formatting
                                                     purposes.
Sec.   73.55(d)(1) The        (g)(1)(i) Control     This requirement
 licensee shall control all    all points of         would be retained
 points of personnel and       personnel, vehicle,   and revised with
 vehicle access into a         and material access   minor revisions.
 protected area.               into any area, or     Most significantly,
                               beyond any physical   the phrase ``a
                               barrier or barrier    protected area''
                               system, established   would be replaced
                               to meet the           by the phrase ``any
                               requirements of       area, or beyond any
                               this section.         physical barrier or
                                                     barrier system,
                                                     established to meet
                                                     the requirements of
                                                     this section'' to
                                                     clarify that the
                                                     focus of this
                                                     proposed
                                                     requirement would
                                                     not be limited to
                                                     only protected area
                                                     access but would
                                                     apply to any area
                                                     for which access
                                                     must be controlled
                                                     to meet
                                                     complimentary
                                                     requirements
                                                     addressed in this
                                                     proposed rule. In
                                                     addition, the word
                                                     ``material'' would
                                                     be added to
                                                     emphasize that the
                                                     control of material
                                                     into these areas
                                                     would also be a
                                                     critical element of
                                                     the onsite physical
                                                     protection program
                                                     to facilitate
                                                     achievement of the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
Sec.   73.55(d)(7)(i)(B)      (g)(1)(ii) Control    This requirement
 Positively control, in        all points of         would be retained
 accordance with the access    personnel and         with minor
 list established pursuant     vehicle access into   revisions.
 to paragraph (d)(7)(i) of     vital areas in
 this section, all points of   accordance with
 personnel and vehicle         access
 access to vital areas.        authorization lists.
Sec.   73.55(d)(7)(i) * * *   (g)(1)(iii) During    This requirement
 limit unescorted access to    non-emergency         would be retained
 vital areas during            conditions, limit     and revised with
 nonemergency conditions to    unescorted access     minor revisions.
 individuals who require       to the protected      Most significantly,
 access in order to perform    area and vital        the phrase
 their duties. To achieve      areas to only those   ``protected area''
 this, the licensee shall:     individuals who       would be added to
                               require unescorted    emphasize that the
                               access to perform     same ``assigned
                               assigned duties and   duties and
                               responsibilities.     responsibilities''
                                                     criteria apply to
                                                     both vital and
                                                     protected areas.

[[Page 62702]]

 
                              (g)(1)(iv) Monitor    This requirement
                               and ensure the        would be added to
                               integrity of access   provide a
                               control systems.      requirement for
                                                     ensuring the
                                                     integrity of the
                                                     access control
                                                     system and prevent
                                                     its unauthorized
                                                     bypass. Based on
                                                     changes to the
                                                     threat environment,
                                                     the Commission has
                                                     determined that
                                                     emphasis would be
                                                     necessary to ensure
                                                     that the integrity
                                                     of the access
                                                     control system is
                                                     maintained through
                                                     oversight and that
                                                     attempts to
                                                     circumvent or
                                                     bypass the
                                                     established process
                                                     will be detected
                                                     and access denied.
                              (g)(1)(v) Provide     This requirement
                               supervision and       would be added to
                               control over the      provide a
                               badging process to    requirement for
                               prevent               ensuring the
                               unauthorized bypass   integrity of the
                               of access control     access control
                               equipment located     process. Based on
                               at or outside of      changes to the
                               the protected area.   threat environment,
                                                     the Commission has
                                                     determined that
                                                     specific emphasis
                                                     on access control
                                                     equipment outside
                                                     the protected area
                                                     would be necessary
                                                     to ensure that the
                                                     integrity of the
                                                     access control
                                                     system is
                                                     maintained for
                                                     those process
                                                     elements that are
                                                     not contained
                                                     within the
                                                     protected area.
Sec.   73.55(d)(1) The        (g)(1)(vi) Isolate    This requirement
 individual responsible for    the individual        would be retained
 the last access control       responsible for the   and revised with
 function (controlling         last access control   minor revisions.
 admission to the protected    function              Most significantly,
 area) must be isolated        (controlling          the phrase ``as
 within a bullet-resisting     admission to the      described in
 structure as described in     protected area)       paragraph (c)(6) of
 paragraph (c)(6) of this      within a bullet-      this section''
 section to assure his or      resisting structure   would be deleted
 her ability to respond or     to assure the         because the
 to summon assistance.         ability to respond    specific criteria
                               or to summon          for bullet-
                               assistance in         resisting would no
                               response to           longer be addressed
                               unauthorized          in the referenced
                               activities.           paragraph. Specific
                                                     criteria would be
                                                     addressed in
                                                     standards published
                                                     by the Underwriters
                                                     Laboratory (UL).
                              (g)(1)(vii) In        This requirement
                               response to           would be added to
                               specific threat and   require two
                               security              specific actions to
                               information,          be taken by the
                               implement a two-      licensee where
                               person (line-of-      credible threat
                               sight) rule for all   information is
                               personnel in vital    provided. This
                               areas so that no      proposed
                               one individual is     requirement would
                               permitted             first require that
                               unescorted access     the two-person rule
                               to vital areas.       be implemented, and
                               Under these           second, that
                               conditions the        measures be
                               licensee shall        implemented to
                               implement measures    verify that the two-
                               to verify that the    person rule is met
                               two person rule has   when access to a
                               been met when a       vital area is
                               vital area is         gained. This
                               accessed.             proposed
                                                     requirement would
                                                     include those areas
                                                     identified in the
                                                     proposed (e)(8)(iv)
                                                     of this section to
                                                     be protected as
                                                     vital areas. Based
                                                     on changes to the
                                                     threat environment,
                                                     the Commission has
                                                     determined that the
                                                     proposed
                                                     requirement is
                                                     necessary to
                                                     facilitate licensee
                                                     achievement of the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
                              (g)(2) In accordance  This requirement
                               with the approved     would be added to
                               security plans and    specify the basic
                               before granting       functions that must
                               unescorted access     be satisfied to
                               through an access     meet the current
                               control point, the    and proposed
                               licensee shall:       requirements for
                                                     controlling access
                                                     into any area for
                                                     which access
                                                     controls are
                                                     implemented.
Sec.   73.55(d)(1)            (g)(2)(i) Confirm     This requirement
 Identification * * * of all   the identity of       would retain the
 individuals unless            individuals.          current requirement
 otherwise provided herein                           with minor
 must be made and * * *.                             revisions for
                                                     formatting
                                                     purposes.
Sec.   73.55(d)(1) * * *      (g)(2)(ii) Verify     This requirement
 authorization must be         the authorization     would retain the
 checked at these points.      for access of         current requirement
                               individuals,          with minor
                               vehicles, and         revisions for
                               materials.            formatting
                                                     purposes.
Sec.   73.55(d)(1) * * *      (g)(2)(iii) Search    This requirement
 search of all individuals     individuals,          would retain the
 unless otherwise provided     vehicles, packages,   current requirement
 herein must be made and * *   deliveries, and       with minor
 *.                            materials in          revisions for
                               accordance with       formatting
                               paragraph (h) of      purposes.
                               this section.

[[Page 62703]]

 
                              (g)(2)(iv) Confirm,   This requirement
                               in accordance with    would be added to
                               industry shared       describe an
                               lists and             acceptable
                               databases, that       information sharing
                               individuals have      mechanism used by
                               not been denied       licensees to share
                               access to another     information about
                               licensed facility.    visitors and
                                                     employees who have
                                                     requested either
                                                     escorted or
                                                     unescorted access
                                                     to at least one
                                                     site. Based on
                                                     changes to the
                                                     threat environment,
                                                     the Commission has
                                                     determined that
                                                     this proposed
                                                     requirement would
                                                     be a prudent
                                                     enhancement to the
                                                     licensee
                                                     capabilities.
                              (g)(3) Access         This header would be
                               control points must   added for
                               be:                   formatting
                                                     purposes.
                              (g)(3)(i) Equipped    This requirement
                               with locking          would be added to
                               devices, intrusion    describe the types
                               detection             of equipment
                               equipment, and        determined to be
                               monitoring,           acceptable to
                               observation, and      satisfy the desired
                               surveillance          level of
                               equipment, as         performance
                               appropriate.          intended by the
                                                     proposed
                                                     requirements of
                                                     this section. The
                                                     phrase ``as
                                                     appropriate'' would
                                                     be used to provide
                                                     the flexibility
                                                     needed to provide
                                                     only that equipment
                                                     that is required to
                                                     accomplish the
                                                     desired function of
                                                     the specific access
                                                     control point.
Sec.   73.55(d)(1) The        (g)(3)(ii) Located    This requirement
 licensee shall control all    outside or            would be added to
 points of personnel and       concurrent with,      clarify the
 vehicle access into a         the physical          location of access
 protected area.               barrier system        control points to
                               through which it      ensure personnel
                               controls access.      and vehicles do not
                                                     gain access beyond
                                                     a barrier (i.e.,
                                                     stand-off distance)
                                                     before being
                                                     searched.
                              (g)(4) Emergency      This header would be
                               conditions.           added for
                                                     formatting
                                                     purposes.
Sec.   73.55(d)(7)(ii)        (g)(4)(i) The         This requirement
 Design the access             licensee shall        would be retained
 authorization system to       design the access     with minor
 accommodate the potential     control system to     revision. Most
 need for rapid ingress or     accommodate the       significantly, the
 egress of individuals         potential need for    phrase ``access
 during emergency conditions   rapid ingress or      authorization
 or situations that could      egress of             system'' would be
 lead to emergency             authorized            replaced with the
 conditions. To help assure    individuals during    phrase ``access
 this, the licensee shall:     emergency             control system'' to
                               conditions or         clarify that the
                               situations that       focus of this
                               could lead to         proposed
                               emergency             requirement is on
                               conditions.           controlling access
                                                     during emergency
                                                     conditions. The
                                                     need for rapid
                                                     ingress and egress
                                                     is a physical
                                                     action and would
                                                     more appropriately
                                                     be addressed
                                                     through access
                                                     controls.
                                                    Also, the phrase
                                                     ``authorized
                                                     individuals'' would
                                                     be added to
                                                     indicate that
                                                     access
                                                     authorization
                                                     requirements are
                                                     satisfied by the
                                                     individual in
                                                     advance of the need
                                                     for access. In
                                                     addition, the
                                                     phrase ``To help
                                                     assure this, the
                                                     licensee shall:''
                                                     would be deleted
                                                     because it would no
                                                     longer be needed.
Sec.   73.55(d)(7)(ii)(A)     (g)(4)(ii) Under      This requirement
 Ensure prompt access to       emergency             would be retained
 vital equipment.              conditions, the       and revised to add
                               licensee shall        a performance based
                               implement             requirement that
                               procedures to         the licensee
                               ensure that:          develop and
                              (g)(4)(ii)(A)          maintain a process
                               Authorized            by which prompt
                               emergency personnel   access to vital
                               are provided prompt   equipment is
                               access to affected    assured while at
                               areas and             the same time
                               equipment..           ensuring the
                              (g)(4)(ii)(B)          detection of
                               Attempted or actual   unauthorized entry,
                               unauthorized entry    and that this
                               to vital equipment    process would be
                               is detected..         implemented in a
                              (g)(4)(ii)(C) The      manner that is
                               capability to         consistent with the
                               prevent significant   proposed
                               core damage and       requirements of
                               spent fuel sabotage   this section and
                               is maintained..       ensures the
                                                     licensee capability
                                                     to satisfy the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.

[[Page 62704]]

 
                              (g)(4)(iii) The       This requirement
                               licensee shall        would be added to
                               ensure that           provide a
                               restrictions for      performance based
                               site access and       requirement for
                               egress during         coordination of
                               emergency             security access
                               conditions are        controls during
                               coordinated with      emergencies with
                               responses by          the access needs of
                               offsite emergency     emergency response
                               support agencies      personnel. This
                               identified in the     proposed
                               site emergency        requirement is
                               plans.                intended to provide
                                                     the necessary level
                                                     of flexibility to
                                                     the licensee to
                                                     ensure access by
                                                     appropriate
                                                     personnel while
                                                     maintaining the
                                                     necessary security
                                                     posture for
                                                     controlling access
                                                     to areas where
                                                     dangerous
                                                     conditions exist,
                                                     such as violent
                                                     conflict involving
                                                     weapons.
                              (g)(5) Vehicles.....  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
Sec.   73.55(d)(4) The        (g)(5)(i) The         This requirement
 licensee shall exercise       licensee shall        would be retained
 positive control over all     exercise control      and revised to
 such designated vehicles to   over all vehicles     apply to all
 assure that they are used     while inside the      vehicles and not be
 only by authorized persons    protected area and    limited to only
 and for authorized purposes.  vital areas to        designated
                               ensure they are       vehicles. Most
                               used only by          significantly, the
                               authorized persons    phrase ``all such
                               and for authorized    designated
                               purposes.             vehicles'' would be
                                                     deleted to remove
                                                     this limitation and
                                                     clarify that the
                                                     proposed
                                                     requirement applies
                                                     to any vehicle
                                                     granted access. The
                                                     word ``positive''
                                                     would be deleted to
                                                     remove
                                                     uncertainties
                                                     regarding the
                                                     meaning of this
                                                     word.
Sec.   73.55(d)(4) All        (g)(5)(ii) Vehicles   This requirement
 vehicles, except designated   inside the            would be retained
 licensee vehicles,            protected area or     and would contain a
 requiring entry into the      vital areas must be   significant
 protected area shall be       operated by an        revision to relieve
 escorted by a member of the   individual            the licensee from
 security organization while   authorized            the current
 within the protected area,    unescorted access     requirement to
 and * * *.                    to the area, or       escort a vehicle
                               must be escorted by   operated by an
                               an individual         individual who
                               trained, qualified,   otherwise has
                               and equipped to       unescorted access
                               perform vehicle       and relief from the
                               escort duties,        requirement that a
                               while inside the      member of the
                               area.                 security
                                                     organization must
                                                     escort vehicles.
                                                     The phrase
                                                     ``escorted by a
                                                     member of the
                                                     security
                                                     organization''
                                                     would be replaced
                                                     with the phrase
                                                     ``operated by an
                                                     individual
                                                     authorized
                                                     unescorted access
                                                     to the area, or
                                                     must be escorted
                                                     while inside the
                                                     area'' to allow
                                                     personnel
                                                     authorized
                                                     unescorted access,
                                                     to operate the
                                                     vehicle without
                                                     escort and to allow
                                                     a vehicle to be
                                                     escorted by an
                                                     individual other
                                                     than a member of
                                                     the security
                                                     organization if the
                                                     operator is not
                                                     authorized
                                                     unescorted access.
                                                     Training and
                                                     qualification
                                                     requirements for
                                                     escorts would be
                                                     addressed in the
                                                     proposed Sec.
                                                     73.55(g)(7) and
                                                     (g)(8).
Sec.   73.55(d)(4)            (g)(5)(iii) Vehicles  This requirement
 Designated licensee           inside the            would be retained
 vehicles shall be limited     protected area must   and revised. Most
 in their use to onsite        be limited to plant   significantly, the
 plant functions and shall     functions or          phrase ``Designated
 remain in the protected       emergencies, and      licensee'' would be
 area except for               must be disabled      deleted to broaden
 operational, maintenance,     when not in use.      the scope of this
 repair security and                                 proposed
 emergency purposes.                                 requirement to all
                                                     vehicles. Also, the
                                                     phrase ``shall
                                                     remain in the
                                                     protected area
                                                     except for
                                                     operational,
                                                     maintenance, repair
                                                     security and
                                                     emergency
                                                     purposes'' would be
                                                     deleted because it
                                                     would no longer be
                                                     needed. The word
                                                     ``disabled'' would
                                                     be added to specify
                                                     that when not in
                                                     use all vehicles
                                                     must be rendered
                                                     non-operational
                                                     such that the
                                                     vehicle would not
                                                     be in a ready-to-
                                                     use configuration.
                              (g)(5)(iv) Vehicles   This requirement
                               transporting          would be added to
                               hazardous materials   ensure the control
                               inside the            of hazardous
                               protected area must   material
                               be escorted by an     deliveries. The
                               armed member of the   Commission has
                               security              determined that the
                               organization.         level of control
                                                     described by this
                                                     proposed
                                                     requirement is
                                                     prudent and
                                                     necessary to
                                                     satisfy the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
                              (g)(6) Access         This header would be
                               control devices.      added for
                                                     formatting
                                                     purposes.

[[Page 62705]]

 
Sec.   73.55(d)(5) A          (g)(6)(i)             This requirement
 numbered picture badge        Identification        would be retained
 identification system shall   badges. The           and revised with
 be used for all individuals   licensee shall        minor revisions.
 who are authorized access     implement a           Most significantly,
 to protected areas without    numbered photo        the phrase ``and
 escort.                       identification        vital areas'' is
                               badge/key-card        added to provide
                               system for all        necessary focus
                               individuals           that badges apply
                               authorized            to both the
                               unescorted access     protected area and
                               to the protected      vital areas. Access
                               area and vital        to the protected
                               areas.                area does not
                                                     include access to a
                                                     vital area except
                                                     as required to
                                                     perform duties.
Sec.   73.55(d)(5)(ii)        (g)(6)(i)(A)          This requirement
 Badges may be removed from    Identification        would be retained
 the protected area when       badges may be         and revised with
 measures are in place to      removed from the      minor revisions.
 confirm the true identity     protected area only   Most significantly,
 and authorization for         when measures are     the phrase ``upon
 access of the badge holder    in place to confirm   entry to the
 upon entry to the protected   the true identity     protected area''
 area.                         and authorization     would be replaced
                               for unescorted        with the phrase
                               access of the badge   ``before allowing
                               holder before         unescorted access
                               allowing unescorted   to the protected
                               access to the         area'' to clarify
                               protected area.       that the
                                                     performance to be
                                                     achieved would be
                                                     to confirm and
                                                     verify access
                                                     authorization
                                                     before granting
                                                     access to any
                                                     individual.
Sec.   73.55(d)(5)(ii)        (g)(6)(i)(B) Except   This requirement
 Badges shall be displayed     where operational     would retain the
 by all individuals while      safety concerns       current requirement
 inside the protected area.    require otherwise,    to display badges
                               identification        at all times and
                               badges must be        would be revised to
                               clearly displayed     address the
                               by all individuals    exception to this
                               while inside the      proposed
                               protected area and    requirement. The
                               vital areas.          phrase ``Except
                                                     where operational
                                                     safety concerns
                                                     require
                                                     otherwise,'' would
                                                     be added to account
                                                     for considerations
                                                     such as
                                                     radiological
                                                     control
                                                     requirements or
                                                     foreign material
                                                     exclusion
                                                     requirements, that
                                                     may preclude this
                                                     requirement. In
                                                     addition, the word
                                                     ``clearly'' would
                                                     be added to
                                                     describe the
                                                     expected
                                                     performance that
                                                     badges would be
                                                     visible to provide
                                                     an indication of
                                                     authorization to be
                                                     in the area.
                              (g)(6)(i)(C) The      This requirement
                               licensee shall        would be added to
                               maintain a record,    account for
                               to include the name   technological
                               and areas to which    advancements
                               unescorted access     commonly associated
                               is granted, of all    with electronically
                               individuals to whom   based badging
                               photo                 systems used by
                               identification        licensees. The
                               badge/key-cards       Commission has
                               have been issued.     determined that
                                                     this proposed
                                                     requirement is
                                                     prudent and
                                                     necessary because
                                                     such a record would
                                                     be automatically
                                                     made as a standard
                                                     function and intent
                                                     of this type of
                                                     system. In
                                                     addition, badging
                                                     systems commonly
                                                     used by licensees
                                                     include the ability
                                                     to program remote
                                                     card-readers which
                                                     are designed to
                                                     grant or deny
                                                     access to specific
                                                     areas based upon
                                                     the information
                                                     electronically
                                                     associated with
                                                     specific badges/key-
                                                     cards. This
                                                     proposed
                                                     requirement would
                                                     not specify the
                                                     media in which this
                                                     record must be
                                                     maintained to allow
                                                     for electronic
                                                     storage.
Sec.   73.55(d)(8) All keys,  (g)(6)(ii) Keys,      This requirement
 locks, combinations, and      locks,                would be retained
 related access control        combinations, and     and revised with
 devices used to control       passwords. All        minor revisions.
 access to protected areas     keys, locks,          Most significantly,
 and vital areas must be       combinations,         the word
 controlled to reduce the      passwords, and        ``passwords'' would
 probability of compromise.    related access        be added to account
                               control devices       for technological
                               used to control       advancements
                               access to protected   associated with the
                               areas, vital areas,   use of computers.
                               security systems,     The phrase
                               and safeguards        ``security systems,
                               information must be   and safeguards
                               controlled and        information'' would
                               accounted for to      be added to
                               reduce the            emphasize the need
                               probability of        to control access
                               compromise. The       to these items. The
                               licensee shall:       phrase ``and
                                                     accounted for''
                                                     would be added to
                                                     confirm possession
                                                     by the individual
                                                     to whom the access
                                                     control device has
                                                     been issued.

[[Page 62706]]

 
Sec.   73.55(d)(8) The        (g)(6)(ii)(A) Issue   This requirement
 licensee shall issue keys,    access control        would be retained
 locks, combinations, and      devices only to       and revised with
 other access control          individuals who       minor revisions.
 devices to protected areas    require unescorted    Most significantly,
 and vital areas only to       access to perform     the phrase
 persons granted unescorted    official duties and   ``protected areas
 facility access.              responsibilities.     and vital areas''
                                                     would be replaced
                                                     with the phrase
                                                     ``to perform
                                                     official duties and
                                                     responsibilities''
                                                     to account for
                                                     access control
                                                     devices to items or
                                                     systems that may be
                                                     located outside of
                                                     protected and vital
                                                     areas, such as to
                                                     computer systems
                                                     and safeguards
                                                     information storage
                                                     cabinets. The
                                                     phrase ``keys,
                                                     locks,
                                                     combinations, and
                                                     other access
                                                     control devices''
                                                     would be replaced
                                                     by the phrase
                                                     ``access control
                                                     devices'' to
                                                     generically
                                                     describe these
                                                     items and account
                                                     for other
                                                     technological
                                                     advancements that
                                                     may occur in the
                                                     future.
                              (g)(6)(ii)(B)         This requirement
                               Maintain a record,    would be added to
                               to include name and   facilitate
                               affiliation, of all   achievement of the
                               individuals to whom   current requirement
                               access control        to control access
                               devices have been     control devices to
                               issued, and           reduce the
                               implement a process   probability of
                               to account for        compromise. The use
                               access control        of key control logs
                               devices at least      and annual
                               annually.             inventories is a
                                                     commonly used
                                                     mechanism for any
                                                     security system and
                                                     therefore, the
                                                     Commission has
                                                     determined that
                                                     this proposed
                                                     requirement is a
                                                     prudent and
                                                     necessary
                                                     enhancement to
                                                     facilitate the
                                                     licensee's
                                                     capability to
                                                     achieve the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
Sec.   73.55(d)(8) Whenever   (g)(6)(ii)(C)         This requirement
 there is evidence or          Implement             would be retained
 suspicion that any key,       compensatory          and revised to
 lock, combination, or         measures upon         provide a
 related access control        discovery or          performance based
 device may have been          suspicion that any    requirement for
 compromised, it must be       access control        compensatory
 changed or rotated.           device may have       measures taken in
                               been compromised.     response to
                               Compensatory          compromise. Most
                               measures must         significantly, the
                               remain in effect      phrase ``it must be
                               until the             changed or
                               compromise is         rotated'' would be
                               corrected.            captured in the
                                                     proposed Sec.
                                                     73.55(g)(6)(ii) (D)
                                                     and (E). The phrase
                                                     ``Compensatory
                                                     Measures must
                                                     remain in effect
                                                     until the
                                                     compromise is
                                                     corrected'' would
                                                     be added to provide
                                                     focus specific to
                                                     when compensatory
                                                     measures would no
                                                     longer apply.
Sec.   73.55(d)(8) Whenever   (g)(6)(ii)(D)         This requirement
 there is evidence or          Retrieve, change,     would be retained
 suspicion that any key,       rotate, deactivate,   and revised with
 lock, combination, or         or otherwise          minor revisions.
 related access control        disable access        Most significantly,
 devices may have been         control devices       the words
 compromised, it must be       that have been, or    ``retrieve'',
 changed or rotated.           may have been         ``deactivate'', and
                               compromised.          ``disable'' would
                                                     be added to ensure
                                                     focus is provided
                                                     on these actions
                                                     relative to
                                                     ensuring control of
                                                     access control
                                                     devices and to
                                                     account for
                                                     electronic devices.
Sec.   73.55(d)(7)(C)         (g)(6)(ii)(E)         This requirement
 Revoke, in the case of an     Retrieve, change,     would retain and
 individual's involuntary      rotate, deactivate,   combine two current
 termination for cause, the    or otherwise          requirements to
 individual's unescorted       disable all access    specify the actions
 facility access and           control devices       required to control
 retrieve his or her           issued to             access control
 identification badge and      individuals who no    devices issued to
 other entry devices, as       longer require        personnel who no
 applicable, prior to or       unescorted access     longer possess a
 simultaneously with           to the areas for      need for access.
 notifying this individual     which the devices     The Commission has
 of his or her termination.    were designed.        determined that the
Sec.   73.55(d)(8) Whenever                          cause for
 an individual's unescorted                          revocation of
 access is revoked due to                            unescorted access
 his or her lack of                                  authorization does
 trustworthiness,                                    not effect the
 reliability, or inadequate                          actions needed to
 work performance, keys,                             reduce the
 locks, combinations, and                            probability of
 related access control                              compromise.
 devices to which that                               Therefore, the same
 person had access must be                           actions are
 changed or rotated.                                 necessary whether
                                                     access is revoked
                                                     under favorable or
                                                     unfavorable
                                                     conditions.
                                                     Whenever an
                                                     individual no
                                                     longer requires
                                                     access to an area
                                                     the access control
                                                     devices issued to
                                                     that individual
                                                     would be retrieved,
                                                     changed, rotated,
                                                     deactivated, or
                                                     otherwise disabled
                                                     to provide high
                                                     assurance that the
                                                     individual would
                                                     not continue to
                                                     have access to the
                                                     item or location.
                              (g)(7) Visitors.....  This header would be
                                                     added for
                                                     formatting
                                                     purposes.

[[Page 62707]]

 
Sec.   73.55(d)(6)            (g)(7)(i) The         This requirement
 Individuals not authorized    licensee may permit   would retain the
 by the licensee to enter      escorted access to    current requirement
 protected areas without       the protected area    to provide escorted
 escort shall be escorted by   to individuals who    access with minor
 a watchman or other           do not have           revisions. This
 individual designated by      unescorted access     proposed
 the licensee while in a       authorization in      requirement would
 protected area and shall be   accordance with the   address visitor
 badged to indicate that an    requirements of       access and would
 escort is required.           Sec.   73.56 and      specify that anyone
                               part 26 of this       who has not
                               chapter. The          satisfied the
                               licensee shall:       requirements of
                                                     Sec.   73.56 and
                                                     part 26 of this
                                                     chapter would be
                                                     considered to be a
                                                     visitor. The
                                                     current requirement
                                                     for escorts would
                                                     be addressed in
                                                     proposed Sec.
                                                     73.55(g)(8).
                              (g)(7)(i)(A)          This requirement
                               Implement             would be added to
                               procedures for        require
                               processing,           implementing
                               escorting, and        procedures that
                               controlling           describe how
                               visitors.             visitors would be
                                                     processed,
                                                     escorted, and
                                                     controlled.
                              (g)(7)(i)(B) Confirm  This requirement
                               the identity of       would be added to
                               each visitor          require the
                               through physical      verification of the
                               presentation of a     true identity of
                               recognized            non-employee
                               identification card   individuals through
                               issued by a local,    the presentation of
                               State, or Federal     photographic
                               Government agency     government issued
                               that includes a       identification
                               photo or contains     (i.e., driver's
                               physical              license) which
                               characteristics of    provides physical
                               the individual        characteristics
                               requesting escorted   that can be
                               access.               compared to the
                                                     holder. The word
                                                     ``recognized''
                                                     would be used to
                                                     provide flexibility
                                                     for other types of
                                                     identification that
                                                     may be issued by
                                                     local, State or
                                                     Federal
                                                     Governments.
Sec.   73.55(d)(6) In         (g)(7)(i)(C)          This requirement
 addition, the licensee        Maintain a visitor    would be retained
 shall require that each       control register in   with minor
 individual register his or    which all visitors    revision.
 her name, date, time,         shall register
 purpose of visit,             their name, date,
 employment affiliation,       time, purpose of
 citizenship, and name of      visit, employment
 the individual to be          affiliation,
 visited.                      citizenship, and
                               name of the
                               individual to be
                               visited before
                               being escorted into
                               any protected or
                               vital area.
Sec.   73.55(d)(6)            (g)(7)(i)(D) Issue a  This requirement
 Individuals not authorized    visitor badge to      would be retained
 by the licensee to enter      all visitors that     with minor revision
 protected areas without       clearly indicates     for formatting
 escort shall * * * be         that an escort is     purposes. Most
 badged to indicate that an    required.             significantly, the
 escort is required.                                 word ``clearly''
                                                     would be added to
                                                     focus on display of
                                                     the badge in a
                                                     manner that easily
                                                     identifies the
                                                     individual as
                                                     requiring an
                                                     escort.
Sec.   73.55(d)(6)            (g)(7)(i)(E) Escort   This requirement
 Individuals not authorized    all visitors, at      would retain the
 by the licensee to enter      all times, while      requirement for
 protected areas without       inside the            escort with minor
 escort shall be escorted by   protected area and    revision for
 a watchman or other           vital areas.          formatting
 individual designated by                            purposes. Most
 the licensee while in a                             significantly, the
 protected area and * * *.                           requirement for who
                                                     performs these
                                                     escort duties is
                                                     moved to the
                                                     proposed paragraph
                                                     (g)(8) of this
                                                     section.
Sec.   73.55(d)(5)(i) An      (g)(7)(ii)            This requirement
 individual not employed by    Individuals not       would be retained
 the licensee but who          employed by the       with minor
 requires frequent and         licensee but who      revisions. Most
 extended access to            require frequent      significantly, the
 protected and vital areas     and extended          phrase ``shall
 may be authorized access to   unescorted access     satisfy the access
 such areas without escort     to the protected      authorization
 provided that he receives a   area and vital        requirements of
 picture badge upon entrance   areas shall satisfy   Sec.   73.56 and
 into the protected area       the access            part 26 of this
 which must be returned upon   authorization         chapter'' would be
 exit from the protected       requirements of       added to clarify
 area and which indicates:     Sec.   73.56 and      the requirement
                               part 26 of this       that these
                               chapter and shall     individual's
                               be issued a non-      satisfy the same
                               employee photo        background check
                               identification        requirements and
                               badge that is         Behavior
                               easily                Observation Program
                               distinguished from    participation that
                               other                 would be applied to
                               identification        any other licensee
                               badges before being   employee for
                               allowed unescorted    unescorted access
                               access to the         authorization. In
                               protected area. Non-  addition, the
                               employee photo        phrase ``which must
                               identification        be returned upon
                               badges must           exit from the
                               indicate:             protected area''
                                                     would be deleted
                                                     because removal of
                                                     badges from the
                                                     protected area
                                                     would be addressed
                                                     in the proposed
                                                     paragraph
                                                     (g)(6)(i)(A).
Sec.   73.55(d)(5)(i)(A) Non- (g)(7)(ii)(A) Non-    This requirement
 employee, no escort           employee, no escort   would be retained
 required;                     required.             with minor revision
                                                     for formatting
                                                     purposes.
Sec.   73.55(d)(5)(i)(B)      (g)(7)(ii)(B) Areas   This requirement
 Areas to which access is      to which access is    would be retained
 authorized; and               authorized.           with minor revision
                                                     for formatting
                                                     purposes.
Sec.   73.55(d)(5)(i)(c) The  (g)(7)(ii)(C) The     This requirement
 period for which access has   period for which      would be retained
 been authorized.              access is             with minor revision
                               authorized.           for formatting
                                                     purposes.
                              (g)(7)(ii)(D) The     This requirement
                               individual's          would be added to
                               employer.             facilitate
                                                     identification of
                                                     this type of non-
                                                     employee and the
                                                     type of activities
                                                     this individual
                                                     should be
                                                     performing.

[[Page 62708]]

 
                              (g)(7)(ii)(E) A       This requirement
                               means to determine    would be added for
                               the individual's      emergency planning
                               emergency plan        purposes.
                               assembly area.
                              (g)(8) Escorts. The   This requirement
                               licensee shall        would be added to
                               ensure that all       provided
                               escorts are trained   performance based
                               in accordance with    requirements for
                               appendix B to this    satisfying the
                               part, the approved    escort requirements
                               training and          of this proposed
                               qualification plan,   rule and would
                               and licensee          provide regulatory
                               policies and          stability through
                               procedures.           the consistent
                                                     application of
                                                     visitor controls at
                                                     all sites. Based on
                                                     changes to the
                                                     threat environment,
                                                     the Commission has
                                                     determined that
                                                     emphasis on the
                                                     identification and
                                                     control of visitors
                                                     is a prudent and
                                                     necessary
                                                     enhancement to
                                                     facilitate licensee
                                                     achievement of the
                                                     performance basis
                                                     of the proposed
                                                     paragraph (b)(1) of
                                                     this section.
                              (g)(8)(i) Escorts     This requirement
                               shall be authorized   would be added to
                               unescorted access     establish a basic
                               to all areas in       qualification
                               which they will       criteria for
                               perform escort        individuals
                               duties.               performing escort
                                                     duties. Individuals
                                                     not authorized
                                                     unescorted access
                                                     to an area must be
                                                     escorted and
                                                     therefore, would
                                                     not be qualified to
                                                     perform escort
                                                     duties in that
                                                     area.
                              (g)(8)(ii)            This requirement
                               Individuals           would be added to
                               assigned to escort    establish a basic
                               visitors shall be     qualification
                               provided a means of   criteria for
                               timely                individuals
                               communication with    performing escort
                               both alarm stations   duties. The phrase
                               in a manner that      ``timely
                               ensures the ability   communication''
                               to summon             would mean the
                               assistance when       ability to call for
                               needed.               assistance before
                                                     that ability can be
                                                     taken away.
                              (g)(8)(iii)           This requirement
                               Individuals           would be added to
                               assigned to vehicle   establish a basic
                               escort duties shall   qualification
                               be provided a means   criteria for
                               of continuous         individuals
                               communication with    performing escort
                               both alarm stations   duties. The word
                               to ensure the         ``continuous
                               ability to summon     communication''
                               assistance when       would mean
                               needed.               possession of a
                                                     direct line of
                                                     communication for
                                                     immediate
                                                     notification, such
                                                     as a radio.
                              (g)(8)(iv) Escorts    This requirement
                               shall be              would be added to
                               knowledgeable of      establish a basic
                               those activities      qualification
                               that are authorized   criteria for
                               to be performed       individuals
                               within the areas      performing escort
                               for which they are    duties. The primary
                               assigned to perform   responsibility of
                               escort duties and     an escort would be
                               must also be          the identification
                               knowledgeable of      and reporting of
                               those activities      unauthorized
                               that are authorized   activities,
                               to be performed by    therefore, to
                               any individual for    perform escort
                               which the escort is   duties the
                               assigned              individual must
                               responsibility.       possess this
                                                     knowledge in order
                                                     to be an effective
                                                     escort and
                                                     recognize an event
                                                     involving an
                                                     unauthorized
                                                     activity.
                              (g)(8)(v) Visitor to  This requirement
                               escort ratios shall   would be added to
                               be limited to 10 to   establish a basic
                               1 in the protected    restriction to
                               area and 5 to 1 in    ensure that
                               vital areas,          individuals
                               provided that the     performing escort
                               necessary             duties are able to
                               observation and       maintain control
                               control               over the personnel
                               requirements of       being escorted. The
                               this section can be   phrase ``provided
                               maintained by the     that the necessary
                               assigned escort       observation and
                               over all visitor      control
                               activities.           requirements of
                                                     this section can be
                                                     maintained'' would
                                                     provide flexibility
                                                     for the licensee to
                                                     reduce the
                                                     specified ratios to
                                                     facilitate
                                                     achievement of the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b).
                              (h) Search programs.  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
Sec.   73.55(d)(2) At the     (h)(1) At each        This requirement
 point of personnel and        designated access     would be retained
 vehicle access into a         control point into    with minor
 protected area, all hand-     the owner             revisions. Most
 carried packages shall be     controlled area and   significantly, the
 searched for devices such     protected area, the   phrase ``for
 as firearms, explosives,      licensee shall        devices such as
 and incendiary devices, or    search individuals,   firearms,
 other items which could be    vehicles, packages,   explosives, and
 used for radiological         deliveries, and       incendiary devices,
 sabotage.                     materials in          or other items
                               accordance with the   which could be used
                               requirements of       for radiological
                               this section and      sabotage'' would be
                               the approved          replaced with the
                               security plans,       phrase ``in
                               before granting       accordance with the
                               access.               requirements of
                                                     this section and
                                                     the approved
                                                     security plans'' to
                                                     provide language
                                                     that would make
                                                     this proposed
                                                     requirement
                                                     generically
                                                     applicable to all
                                                     searches.

[[Page 62709]]

 
Sec.   73.55(d)(2) At the     (h)(1)(i) The         This requirement
 point of personnel and        objective of the      would be retained
 vehicle access into a         search program must   and revised to
 protected area, all hand-     be to deter,          focus this proposed
 carried packages shall be     detect, and prevent   requirement on the
 searched for devices such     the introduction of   objective of the
 as firearms, explosives,      unauthorized          search program for
 and incendiary devices, or    firearms,             all areas and not
 other items which could be    explosives,           limit the search
 used for radiological         incendiary devices,   function to only
 sabotage.                     or other              protected and vital
                               unauthorized          areas. The
                               materials and         Commission has
                               devices into          determined that
                               designated areas in   because of changes
                               which the             to the threat
                               unauthorized items    environment, the
                               could be used to      focus of protective
                               disable personnel,    measures must be to
                               equipment, and        protect any area
                               systems necessary     from which the
                               to meet the           licensee capability
                               performance           to meet the
                               objective and         performance
                               requirements of       objective and
                               paragraph (b) of      requirements of the
                               this section.         proposed paragraph
                                                     (b) of this section
                                                     could be disabled
                                                     or destroyed.
Sec.   73.55(d)(1) The        (h)(1)(ii) The        This requirement
 search function for           search requirements   would be retained
 detection of firearms,        for unauthorized      with minor
 explosives, and incendiary    firearms,             revisions. The
 devices must be               explosives,           phrase ``or other
 accomplished through the      incendiary devices,   unauthorized
 use of both firearms and      or other              materials and
 explosive detection           unauthorized          devices'' would be
 equipment capable of          materials and         added to account
 detecting those devices.      devices must be       for future
                               accomplished          technological
                               through the use of    advancements. The
                               equipment capable     phrase ``and
                               of detecting these    through visual and
                               unauthorized items    hands-on physical
                               and through visual    searches'' would be
                               and hands-on          added to ensure
                               physical searches,    these aspects of
                               as needed to ensure   the search process
                               all items are         are considered and
                               identified before     applied when
                               granting access.      needed.
                              (h)(1)(iii) Only      This requirement
                               trained and           would be added for
                               qualified members     consistency with
                               of the security       the current Sec.
                               organization, and     73.55(b)(4)(i), and
                               other trained and     clarification for
                               qualified personnel   ``observation'' of
                               designated by the     search activities
                               licensee, shall       by personnel. The
                               perform search        phrase ``other
                               activities or be      trained and
                               assigned duties and   qualified personnel
                               responsibilities      designated by the
                               required to satisfy   licensee'' would be
                               observation           used to account for
                               requirements for      non-security
                               the search            personnel who would
                               activities.           be assigned search
                                                     duties relative to
                                                     supply or warehouse
                                                     functions or other
                                                     types of bulk
                                                     shipments.
                              (h)(2) The licensee   This requirement
                               shall establish and   would be added for
                               implement written     consistency with
                               search procedures     the current Sec.
                               for all access        73.55(b)(3)(i).
                               control points
                               before granting
                               access to any
                               individual,
                               vehicle, package,
                               delivery, or
                               material.
                              (h)(2)(i) Search      This requirement
                               procedures must       would be added for
                               ensure that items     consistency with
                               possessed by an       the current Sec.
                               individual, or        73.55(d)(1)
                               contained within a    relative to the use
                               vehicle or package,   of search equipment
                               must be clearly       and to specify a
                               identified as not     requirement for the
                               being a prohibited    licensee to
                               item before           identify items that
                               granting access       may be obscured
                               beyond the access     from observation by
                               control point for     equipment such as X-
                               which the search is   ray equipment. This
                               conducted.            requirement would
                                                     ensure that human
                                                     interaction with
                                                     search equipment is
                                                     effective and that
                                                     assigned personnel
                                                     are aware of all
                                                     items observed or
                                                     are not identified
                                                     by search
                                                     equipment.
                              (h)(2)(ii) The        This requirement
                               licensee shall        would be added for
                               visually and          consistency with
                               physically hand       the current Sec.
                               search all            73.55(d)(1),
                               individuals,          relative to the
                               vehicles, and         purpose of the
                               packages containing   search function to
                               items that cannot     identify items that
                               be or are not         may be obscured
                               clearly identified    from observation by
                               by search equipment.  equipment such as X-
                                                     ray equipment. This
                                                     proposed
                                                     requirement intends
                                                     to ensure that the
                                                     licensee take
                                                     appropriate actions
                                                     to ensure all items
                                                     granted access to
                                                     the PA would be
                                                     identified before
                                                     granting access.
Sec.   73.55(d)(1) Whenever   (h)(3) Whenever       This requirement
 firearms or explosives        search equipment is   would be retained
 detection equipment at a      out of service or     with minor
 portal is out of service or   is not operating      revisions. The
 not operating                 satisfactorily,       phrase ``firearms
 satisfactorily, the           trained and           or explosives
 licensee shall conduct a      qualified members     detection equipment
 physical pat-down search of   of the security       at a portal'' would
 all persons who would         organization shall    be replaced with
 otherwise have been subject   conduct a hands-on    the phrase ``search
 to equipment searches.        physical search of    equipment `` to
                               all individuals,      generically
                               vehicles, packages,   describe this
                               deliveries, and       equipment. The
                               materials that        phrase ``a physical
                               would otherwise       pat-down search''
                               have been subject     would be replaced
                               to equipment          with the phrase ``a
                               searches.             hands-on physical
                                                     search'' to update
                                                     the language
                                                     commonly used to
                                                     describe this
                                                     activity.

[[Page 62710]]

 
Sec.   73.55(d)(1) When the   (h)(4) When an        This requirement
 licensee has cause to         attempt to            would be retained
 suspect that an individual    introduce             with minor
 is attempting to introduce    unauthorized items    revisions to
 firearms, explosives, or      has occurred or is    provide additional
 incendiary devices into       suspected, the        performance based
 protected areas, the          licensee shall        requirements
 licensee shall conduct a      implement actions     relative to
 physical pat-down search of   to ensure that the    achieving the
 that individual.              suspect               desired results.
                               individuals,
                               vehicles, packages,
                               deliveries, and
                               materials are
                               denied access and
                               shall perform a
                               visual and hands-on
                               physical search to
                               determine the
                               absence or
                               existence of a
                               threat.
                              (h)(5) Vehicle        This requirement
                               search procedures     would be added to
                               must be performed     provide a
                               by at least two (2)   performance based
                               properly trained      requirement for
                               and equipped          performing vehicle
                               security personnel,   searches. This
                               at least one of       proposed
                               whom is positioned    requirement would
                               to observe the        ensure that
                               search process and    unauthorized
                               provide a timely      activities would be
                               response to           identified and a
                               unauthorized          timely response
                               activities if         would be initiated
                               necessary.            at a vehicle search
                                                     area, to include an
                                                     armed response.
                                                     Based on changes to
                                                     the threat
                                                     environment, the
                                                     Commission has
                                                     determined that
                                                     this requirement
                                                     would facilitate
                                                     achievement of the
                                                     performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
Sec.   73.55(d)(4) Vehicle    (h)(6) Vehicle areas  This requirement
 areas to be searched shall    to be searched must   would be retained
 include the cab, engine       include, but are      with minor
 compartment, undercarriage,   not limited to, the   revisions.
 and cargo area.               cab, engine
                               compartment,
                               undercarriage, and
                               cargo area.
                              (h)(7) Vehicle        This requirement
                               search checkpoints    would be added to
                               must be equipped      provide additional
                               with video            performance based
                               surveillance          requirements
                               equipment that must   relative to
                               be monitored by an    achieving the
                               individual capable    desired results for
                               of initiating and     vehicle searches at
                               directing a timely    any location
                               response to           designated for the
                               unauthorized          performance of
                               activity.             vehicle searches.
                                                     To satisfy this
                                                     proposed
                                                     requirement, the
                                                     individual assigned
                                                     to monitor search
                                                     activities need not
                                                     be located in the
                                                     CAS or SAS, but
                                                     rather may be
                                                     located in any
                                                     position from which
                                                     the monitoring and
                                                     notification
                                                     requirements of
                                                     this section could
                                                     be assured.
Sec.   73.55(d)(1) * * *      (h)(8) Exceptions to  This requirement
 except bona fide Federal,     the search            would retain,
 State, and local law          requirements of       combine, and revise
 enforcement personnel on      this section must     two current
 official duty to these        be submitted to the   requirements Sec.
 equipment searches upon       Commission for        73.55(d)(1) and (4)
 entry into a protected area.  prior review and      to generically
Sec.   73.55(d)(4) * * *       approval and must     account for those
 except under emergency        be identified in      instances where
 conditions, shall be          the approved          search requirements
 searched for items which      security plans.       would not be met
 could be used for sabotage                          before granting
 purposes prior to entry                             access beyond a
 into the protected area.                            physical barrier.
                                                     This proposed
                                                     requirement would
                                                     require that the
                                                     licensee specify in
                                                     the approved plans
                                                     the specific
                                                     circumstances under
                                                     which search
                                                     requirements would
                                                     not be satisfied.
Sec.   73.55(d)(3) * * *      (h)(8)(i) Vehicles    This requirement
 except those Commission       and items that may    would be retained
 approved delivery and         be excepted from      and revised. Most
 inspection activities         the search            significantly, this
 specifically designated by    requirements of       requirement would
 the licensee to be carried    this section must     be revised to
 out within vital or           be escorted by an     ensure that
 protected areas for reasons   armed individual      vehicles and items
 of safety, security or        who is trained and    excepted from
 operational necessity.        equipped to observe   search requirements
                               offloading and        before entry into
                               perform search        the protected area
                               activities at the     are escorted by an
                               final destination     armed individual
                               within the            and searched when
                               protected area.       offloaded to
                                                     provide assurance
                                                     that unauthorized
                                                     personnel and items
                                                     would be detected
                                                     and reported.
Sec.   73.55(d)(4) * * * to   (h)(8)(ii) To the     This requirement
 the extent practicable,       extent practicable,   would be retained
 shall be off loaded in the    items excepted from   with minor
 protected area at a           search must be off    revision.
 specific designated           loaded only at
 materials receiving area      specified receiving
 that is not adjacent to a     areas that are not
 vital area.                   adjacent to a vital
                               area.
                              (h)(8)(iii) The       This requirement
                               excepted items must   would be added to
                               be searched at the    provide a
                               receiving area and    performance based
                               opened at the final   requirement that
                               destination by an     would ensure that
                               individual familiar   the proposed
                               with the items.       requirement for
                                                     search is met at
                                                     the receiving area.
                              Sec.   73.55(i)       This header would be
                               Detection and         added for
                               assessment systems..  formatting
                                                     purposes.

[[Page 62711]]

 
                              (i)(1) The licensee   This requirement
                               shall establish and   would be added for
                               maintain an           consistency with
                               intrusion detection   the current
                               and assessment        requirement of 10
                               system that must      CFR 73.55(e)(1) and
                               provide, at all       the proposed Sec.
                               times, the            73.55(b)(2) through
                               capability for        (4). The phrase
                               early detection and   ``intrusion
                               assessment of         detection and
                               unauthorized          assessment system''
                               persons and           would be intended
                               activities.           to describe all
                                                     components (i.e.,
                                                     personnel,
                                                     procedures, and
                                                     equipment)
                                                     designated by the
                                                     licensee as
                                                     performing a
                                                     function(s)
                                                     required to detect
                                                     or assess
                                                     unauthorized
                                                     activities in any
                                                     area to which
                                                     access must be
                                                     controlled to meet
                                                     Commission
                                                     requirements. The
                                                     term ``system''
                                                     refers to how these
                                                     components interact
                                                     to satisfy
                                                     Commission
                                                     requirements. This
                                                     proposed
                                                     requirement does
                                                     not mandate
                                                     specific intrusion
                                                     detection equipment
                                                     for any specific
                                                     area, but rather
                                                     requires that the
                                                     system provide
                                                     detection and
                                                     assessment
                                                     capabilities that
                                                     meet Commission
                                                     requirements. The
                                                     phrase ``at all
                                                     times'' is used to
                                                     describe the
                                                     Commission's view
                                                     that the licensee
                                                     must have in place
                                                     and operational a
                                                     mechanism by which
                                                     all threats will be
                                                     detected and an
                                                     appropriate
                                                     response initiated,
                                                     at any time.
                                                    The Commission does
                                                     not mean to suggest
                                                     that a failure of
                                                     any component of a
                                                     system would
                                                     constitute an
                                                     automatic non-
                                                     compliance with
                                                     this proposed
                                                     requirement
                                                     provided the
                                                     failure is
                                                     identified and
                                                     compensatory
                                                     measures are
                                                     implemented within
                                                     a time frame
                                                     consistent with the
                                                     time lines
                                                     necessary to
                                                     prevent
                                                     exploitation of the
                                                     failure, beginning
                                                     at the time of the
                                                     failure.
Sec.   73.55(e)(1) All        (i)(2) Intrusion      This requirement
 alarms required pursuant to   detection equipment   would be retained
 this part must annunciate     must annunciate,      with three
 in a continuously manned      and video             significant
 central alarm station         assessment            revisions. The most
 located within the            equipment images      significant
 protected area and in at      shall display,        revision would be
 least one other               concurrently in at    the deletion of the
 continuously manned station   least two             current language
 not necessarily onsite, so    continuously          that describes
 that a single act cannot      staffed onsite        where the secondary
 remove the capability of      alarm stations, at    alarm station may
 calling for assistance or     least one of which    be located. Because
 otherwise responding to an    must be protected     of changes to the
 alarm.                        in accordance with    threat environment
                               the requirements of   the Commission has
                               paragraphs            determined that to
                               (e)(6)(v),            ensure the
                               (e)(7)(iii), and      functions required
                               (i)(8)(ii) of this    to be performed by
                               section.              the central alarm
                                                     are maintained,
                                                     both alarm stations
                                                     must be located
                                                     onsite. As all
                                                     current licensees
                                                     have their
                                                     secondary alarm
                                                     station onsite, the
                                                     Commission has
                                                     determined that
                                                     deletion of the
                                                     ``not necessarily
                                                     onsite'' provision,
                                                     would have no
                                                     impact.
                                                    The second
                                                     significant
                                                     revision is the
                                                     addition of the
                                                     word
                                                     ``concurrently'' to
                                                     provide a
                                                     performance based
                                                     requirement that
                                                     focuses on the need
                                                     to ensure that both
                                                     alarm station
                                                     operators are
                                                     notified of a
                                                     potential threat,
                                                     are capable of
                                                     making a timely and
                                                     independent
                                                     assessment, and
                                                     have equal
                                                     capabilities to
                                                     ensure that a
                                                     timely response is
                                                     made. This proposed
                                                     requirement would
                                                     be necessary for
                                                     consistency with
                                                     the current
                                                     requirement to
                                                     protect against a
                                                     single act. The
                                                     third significant
                                                     revision would be
                                                     the addition of the
                                                     phrase ``and video
                                                     assessment
                                                     equipment images
                                                     shall display'' to
                                                     add a performance
                                                     based requirement
                                                     that focuses on the
                                                     relationship
                                                     between detection
                                                     and assessment.

[[Page 62712]]

 
                              (i)(3) The            This requirement
                               licensee's            would be added to
                               intrusion detection   provide performance
                               system must be        based requirements
                               designed to ensure    consistent with the
                               that both alarm       current Sec.
                               station operators:    73.55(e)(1), and
                              (i)(3)(i) Are          the proposed
                               concurrently          requirements of
                               notified of the       this proposed
                               alarm annunciation.   section. The
                              (i)(3)(ii) Are         proposed
                               capable of making a   requirement for
                               timely assessment     dual knowledge and
                               of the cause of       dual capability
                               each alarm            within both alarm
                               annunciation.         stations provides a
                              (i)(3)(iii) Possess    defense-in-depth
                               the capability to     component
                               initiate a timely     consistent with the
                               response in           proposed
                               accordance with the   requirement for
                               approved security     protection against
                               plans, licensee       a single act.
                               protective
                               strategy, and
                               implementing
                               procedures.
                                                    Based on changes to
                                                     the threat
                                                     environment the
                                                     Commission has
                                                     determined this
                                                     proposed
                                                     requirement is a
                                                     prudent
                                                     clarification of
                                                     current
                                                     requirements
                                                     necessary to
                                                     facilitate the
                                                     licensee capability
                                                     to achieve the
                                                     performance
                                                     objective of the
                                                     proposed paragraph
                                                     (b)(1) of this
                                                     section.
                              (i)(4) Both alarm     This requirement
                               stations must be      would be added for
                               equipped with         consistency with
                               equivalent            the current Sec.
                               capabilities for      73.55(e)(1) and the
                               detection and         proposed
                               communication, and    requirements for
                               must be equipped      defense-in-depth
                               with functionally     and protection
                               equivalent            against a single
                               assessment,           act. The word
                               monitoring,           ``equivalent''
                               observation, and      would require the
                               surveillance          licensee to provide
                               capabilities to       both alarm stations
                               support the           with detection and
                               effective             communication
                               implementation of     equipment that
                               the approved          ensures each alarm
                               security plans and    station operator is
                               the licensee          knowledgeable of an
                               protective strategy   alarm annunciation
                               in the event that     at each alarm point
                               either alarm          and zone, and can
                               station is disabled.  communicate the
                                                     initiation of an
                                                     appropriate
                                                     response to include
                                                     the disposition of
                                                     each alarm. The
                                                     phrase
                                                     ``functionally
                                                     equivalent'' would
                                                     require that both
                                                     alarm stations be
                                                     equally equipped to
                                                     perform those
                                                     assessment,
                                                     surveillance,
                                                     observation, and
                                                     monitoring
                                                     functions needed to
                                                     support the
                                                     effective
                                                     implementation of
                                                     the licensee
                                                     protective
                                                     strategy.
                                                    This proposed
                                                     requirement would
                                                     clarify the
                                                     Commission
                                                     expectation that
                                                     those video
                                                     technologies and
                                                     capabilities used
                                                     to support the
                                                     effective
                                                     implementation of
                                                     the approved
                                                     security plans and
                                                     the licensee
                                                     protective strategy
                                                     are equally
                                                     available for use
                                                     by both alarm
                                                     station operators
                                                     to ensure that the
                                                     functions of
                                                     detection,
                                                     assessment, and
                                                     communications can
                                                     be effectively
                                                     maintained and
                                                     utilized in the
                                                     event that one or
                                                     the other alarm
                                                     station is
                                                     disabled. Based on
                                                     changes to the
                                                     threat environment
                                                     the Commission has
                                                     determined that
                                                     this proposed
                                                     requirement is a
                                                     prudent and
                                                     necessary
                                                     clarification of
                                                     current
                                                     requirements and
                                                     Commission Orders
                                                     necessary to ensure
                                                     the performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this section
                                                     are met.
Sec.   73.55(e)(1) * * * so   (i)(4)(i) The         This requirement
 that a single act cannot      licensee shall        would be retained
 remove the capability of      ensure that a         and revised to
 calling for assistance or     single act cannot     provide additional
 otherwise responding to an    remove the            clarification
 alarm.                        capability of both    regarding the
                               alarm stations to     critical functions
                               detect and assess     determined
                               unauthorized          essential and which
                               activities, respond   must be maintained
                               to an alarm, summon   to carry out an
                               offsite assistance,   effective response
                               implement the         to threats
                               protective            consistent with the
                               strategy, provide     proposed
                               command and           performance
                               control, or           objective and
                               otherwise prevent     requirements of
                               significant core      paragraph (b) of
                               damage and spent      this section.
                               fuel sabotage.

[[Page 62713]]

 
Sec.   73.55(e)(1) Onsite     (i)(4)(ii) The alarm  This requirement
 secondary power supply        station functions     would retain the
 systems for alarm             in paragraph (i)(4)   current requirement
 annunciator equipment * * *.  of this section       for secondary power
                               must remain           with two
                               operable from an      significant
                               uninterruptible       revisions. First,
                               backup power supply   the phrase
                               in the event of the   ``annunciator
                               loss of normal        equipment'' would
                               power.                be replaced with
                                                     the phrase ``alarm
                                                     station functions''
                                                     to ensure that the
                                                     equipment required
                                                     by each alarm
                                                     station to fulfill
                                                     its assigned
                                                     functions, are
                                                     available and
                                                     operational without
                                                     interruption due to
                                                     a loss of normal
                                                     power. Second, the
                                                     word
                                                     ``uninterruptible''
                                                     would be added to
                                                     clarify the
                                                     Commission's view
                                                     that the operation
                                                     of detection and
                                                     assessment
                                                     equipment must be
                                                     maintained without
                                                     interruption, in
                                                     the event of a loss
                                                     of normal power.
                                                     Backup power supply
                                                     for non-portable
                                                     communication
                                                     equipment is
                                                     addressed in the
                                                     proposed paragraph
                                                     (j)(5) of this
                                                     section. Based on
                                                     changes to the
                                                     threat environment,
                                                     the Commission has
                                                     determined that
                                                     this proposed
                                                     requirement is
                                                     prudent and
                                                     necessary to
                                                     facilitate
                                                     achievement of the
                                                     performance
                                                     objective and
                                                     requirements of the
                                                     proposed paragraph
                                                     (b) of this
                                                     section.
                              (i)(5) Detection.     This requirement
                               Detection             would be added for
                               capabilities must     consistency with
                               be provided by        the current Sec.
                               security              73.55(c)(4) and to
                               organization          provide a
                               personnel and         performance based
                               intrusion detection   requirement for
                               equipment, and        detection equipment
                               shall be defined in   to be capable of
                               implementing          operating under
                               procedures.           known/normal site
                               Intrusion detection   conditions such as
                               equipment must be     heat, wind,
                               capable of            humidity, fog,
                               operating as          cold, snowfall,
                               intended under the    etc. Equipment
                               conditions            failure and
                               encountered at the    abnormal or severe
                               facility.             weather cannot
                                                     always be predicted
                                                     but compensatory
                                                     measures would be
                                                     required in
                                                     accordance with the
                                                     proposed
                                                     requirements of
                                                     this section to
                                                     ensure compliance.
                              (i)(6) Assessment.    This requirement
                               Assessment            would be added for
                               capabilities must     consistency with
                               be provided by        the current Sec.
                               security              73.55(c)(4) and to
                               organization          provide a
                               personnel and video   performance based
                               assessment            requirement for
                               equipment, and        assessment
                               shall be described    equipment to be
                               in implementing       capable of
                               procedures. Video     operating under
                               assessment            known/normal site
                               equipment must be     conditions such as
                               capable of            heat, wind,
                               operating as          humidity, fog,
                               intended under the    cold, snowfall,
                               conditions            etc. Equipment
                               encountered at the    failure and
                               facility and must     abnormal or severe
                               provide video         weather cannot
                               images from which     always be predicted
                               accurate and timely   but compensatory
                               assessments can be    measures would be
                               made in response to   required in
                               an alarm              accordance with the
                               annunciation or       proposed
                               other notification    requirements of
                               of unauthorized       this section to
                               activity.             ensure compliance.
                              (i)(7) The licensee   This requirement
                               intrusion detection   would be added for
                               and assessment        formatting
                               system must:          purposes.
                              (i)(7)(i) Ensure      This requirement
                               that the duties and   would be added to
                               responsibilities      provide a
                               assigned to           performance based
                               personnel, the use    requirement
                               of equipment, and     relative to the
                               the implementation    design of the
                               of procedures         licensee detection
                               provides the          and assessment
                               detection and         system and to
                               assessment            clarify that this
                               capabilities          system would
                               necessary to meet     include all three
                               the requirements of   components.
                               paragraph (b) of
                               this section.
Sec.   73.55(e)(2) The        (i)(7)(ii) Ensure     This requirement
 annunciation of an alarm at   that annunciation     would be retained
 the alarm stations shall      of an alarm           with minor
 indicate the type of alarm    indicates the type    revision. The
 (e.g., intrusion alarms,      and location of the   phrase ``at the
 emergency exit alarm, etc.)   alarm.                alarm stations''
 and location.                                       and the listed
                                                     examples would be
                                                     deleted because
                                                     they would no
                                                     longer be needed.
Sec.   73.55(e)(2) All alarm  (i)(7)(iii) Ensure    This requirement
 devices including             that alarm devices,   would be retained
 transmission lines to         to include            with minor revision
 annunciators shall be         transmission lines    for formatting
 tamper indicating and self-   to annunciators,      purposes.
 checking.                     are tamper
                               indicating and self-
                               checking.

[[Page 62714]]

 
                              (i)(7)(iv) Provide    This requirement
                               visual and audible    would be added for
                               alarm annunciation    consistency with
                               and concurrent        the proposed
                               video assessment      requirement for
                               capability to both    equivalent
                               alarm stations in a   capabilities in
                               manner that ensures   both alarm
                               timely recognition,   stations. The
                               acknowledgment and    phrase ``visual and
                               response by each      audible'' would
                               alarm station         provide redundancy
                               operator in           to ensure that each
                               accordance with       alarm would be
                               written response      recognized and
                               procedures.           acknowledged when
                                                     received.
Sec.   73.55(e)(2) * * *      (i)(7)(v) Provide an  This requirement
 e.g., an automatic            automatic             would be retained
 indication is provided when   indication when the   with minor revision
 failure of the alarm system   alarm system or a     for formatting
 or a component occurs, or     component of the      purposes.
 when the system is on         alarm system fails,
 standby power.                or when the system
                               is operating on the
                               backup power supply.
Sec.   73.70(f) A record at   (i)(7)(vi) Maintain   This requirement
 each onsite alarm             a record of all       would be added for
 annunciation location of      alarm                 consistency with
 each alarm, false alarm,      annunciations, the    Sec.   73.70(f).
 alarm check, and tamper       cause of each         The Commission
 indication that identifies    alarm, and the        expects that this
 the type of alarm,            disposition of each   record would be a
 location, circuit, date,      alarm.                commonly maintained
 and time. In addition,                              record in
 details of response by                              electronic form
 facility guards and                                 which is generated
 watchmen to each alarm,                             as an automatic
 intrusion, or other                                 function of the
 incident shall be recorded.                         intrusion detection
                                                     system.
                              (i)(8) Alarm          This header would be
                               stations.             added for
                                                     formatting
                                                     purposes.
Sec.   73.55(e)(1) All        (i)(8)(i) Both alarm  This requirement
 alarms required pursuant to   stations must be      would retain the
 this part must annunciate     continuously          current requirement
 in a continuously manned      staffed by at least   Sec.   73.55(e)(1)
 central alarm station         one trained and       for continuously
 located within the            qualified member of   staffed alarm
 protected area and in at      the security          stations and would
 least one other               organization.         be revised to
 continuously manned station                         describe the
 * * *.                                              necessary
                                                     qualifications that
                                                     would be required
                                                     of the assigned
                                                     individuals.
Sec.   73.55(e)(1) The        (i)(8)(ii) The        This requirement
 onsite central alarm          interior of the       would be retained
 station must be located       central alarm         with minor
 within a building in such a   station must not be   revision. Most
 manner that the interior of   visible from the      significantly, the
 the central alarm station     perimeter of the      phrase ``located
 is not visible from the       protected area.       within a building''
 perimeter of the protected                          would be deleted
 area.                                               because it would be
                                                     considered
                                                     unnecessary.
Sec.   73.55(e)(1) This       (i)(8)(iii) The       This requirement
 station must not contain      licensee may not      would be retained
 any operational activities    permit any            with minor
 that would interfere with     activities to be      revisions to
 the execution of the alarm    performed within      provide a
 response function.            either alarm          performance based
                               station that would    requirement
                               interfere with an     regarding the
                               alarm station         primary duties
                               operator's ability    required to satisfy
                               to effectively        the current
                               execute assigned      requirement
                               detection,            ``execution of the
                               assessment,           alarm response
                               surveillance, and     function.''
                               communication
                               duties and
                               responsibilities.
                              (i)(8)(iv) The        This requirement
                               licensee shall        would be added for
                               assess and respond    consistency with
                               to all alarms and     current
                               other indications     requirements. The
                               of unauthorized       specific
                               activities in         requirements of the
                               accordance with the   current Sec.
                               approved security     73.55(h)(4) are
                               plans and             retained in detail
                               implementing          in the proposed
                               procedures.           appendix C to part
                                                     73.
                              (i)(8)(v) The         This requirement
                               licensee              would be added for
                               implementing          consistency with
                               procedures must       related
                               ensure that both      requirements of
                               alarm station         this proposed
                               operators are         section and to
                               knowledgeable of      ensure that the
                               all alarm             licensee provides a
                               annunciations,        process by which
                               assessments, and      both alarm station
                               final disposition     operators are
                               of all alarms, to     concurrently made
                               include but not       aware of each alarm
                               limited to a          and are
                               prohibition from      knowledgeable of
                               changing the status   how each alarm is
                               of a detection        resolved and that
                               point or              no one alarm
                               deactivating a        station operator
                               locking or access     can manipulate
                               control device at a   alarm station
                               protected or vital    equipment,
                               area portal,          communications, or
                               without the           procedures without
                               knowledge and         the knowledge and
                               concurrence of the    concurrence of the
                               other alarm station   other.
                               operator.
                              (i)(9) Surveillance,  This header would be
                               observation, and      added for
                               monitoring.           formatting
                                                     purposes.
                              (i)(9)(i) The onsite  This requirement
                               physical protection   would be added to
                               program must          provide a
                               include the           performance based
                               capability for        requirement for
                               surveillance,         ensuring
                               observation, and      surveillance,
                               monitoring in a       observation, and
                               manner that           monitoring
                               provides early        capabilities in any
                               detection and         area for which
                               assessment of         these measures are
                               unauthorized          necessary to meet
                               activities.           the requirements of
                                                     this proposed
                                                     section.

[[Page 62715]]

 
                              (i)(9)(ii) The        This requirement
                               licensee shall        would be added to
                               provide continual     provide a
                               surveillance,         performance based
                               observation, and      requirement for
                               monitoring of all     ensuring
                               areas identified in   surveillance,
                               the approved          observation, and
                               security plans as     monitoring
                               requiring             capabilities in any
                               surveillance,         area for which
                               observation, and      these measures are
                               monitoring to         necessary to meet
                               ensure early          the requirements of
                               detection of          this proposed
                               unauthorized          section. The word
                               activities and to     ``continual'' would
                               ensure the            mean regularly
                               integrity of          recurring actions
                               physical barriers     such that
                               or other components   designated areas
                               of the onsite         would be checked at
                               physical protection   intervals
                               program.              sufficient to
                                                     ensure the
                                                     detection of
                                                     unauthorized
                                                     activities.
                              (i)(9)(ii)(A)         This requirement
                               Continual             would be added to
                               surveillance,         provide necessary
                               observation, and      qualifying
                               monitoring            requirements for
                               responsibilities      performance of
                               must be performed     observation and
                               by security           monitoring
                               personnel during      activities. The
                               routine patrols or    word ``continual''
                               by other trained      would mean the same
                               and equipped          as used in the
                               personnel             proposed paragraph
                               designated as a       (i)(9)(ii) of this
                               component of the      section.
                               protective strategy.
                              (i)(9)(ii)(B)         This requirement
                               Surveillance,         would be added to
                               observation, and      provide a
                               monitoring            performance based
                               requirements may be   requirement for
                               accomplished by       ensuring that
                               direct observation    surveillance,
                               or video technology.  observation, and
                                                     monitoring
                                                     capabilities that
                                                     may be met through
                                                     the use of video
                                                     technology or
                                                     direct human
                                                     observation.
                              (i)(9)(iii) The       This requirement
                               licensee shall        would be added to
                               provide random        focus a performance
                               patrols of all        based requirement
                               accessible areas      on the protection
                               containing target     of target set
                               set equipment.        equipment. Target
                                                     set equipment would
                                                     be addressed in
                                                     detail in the
                                                     proposed paragraph
                                                     (f) of this
                                                     section. The term
                                                     ``random'' provides
                                                     flexibility to the
                                                     licensee and
                                                     requires patrols at
                                                     unpredictable times
                                                     within
                                                     predetermined
                                                     intervals to deter
                                                     exploitation of
                                                     periods between
                                                     patrols. The phrase
                                                     ``accessible
                                                     areas'' would
                                                     exclude areas such
                                                     as locked high
                                                     radiation areas or
                                                     other such areas
                                                     containing a
                                                     significant safety
                                                     concern that would
                                                     preclude the
                                                     conduct of the
                                                     patrol function.
                              (i)(9)(iii)(A) Armed  This requirement
                               security patrols      would be added to
                               shall periodically    focus on the items
                               check designated      that, because of
                               areas and shall       changes to the
                               inspect vital area    threat environment,
                               entrances, portals,   the Commission has
                               and external          determined would
                               barriers.             require focus by
                                                     armed security
                                                     patrols. The term
                                                     ``periodically''
                                                     provides
                                                     flexibility to the
                                                     licensee. The
                                                     phrase ``designated
                                                     areas'' means any
                                                     area identified by
                                                     the licensee as
                                                     requiring an action
                                                     to meet the
                                                     proposed
                                                     requirements of
                                                     this section.
                              (i)(9)(iii)(B)        This requirement
                               Physical barriers     would be added for
                               must be inspected     consistency with
                               at random intervals   the current
                               to identify           requirement Sec.
                               tampering and         73.55(g)(1) and to
                               degradation.          focus on verifying
                                                     the integrity of
                                                     physical barriers
                                                     to ensure that the
                                                     barrier would
                                                     perform as
                                                     expected. The word
                                                     ``random'' would
                                                     mean that the
                                                     required inspection
                                                     would be performed
                                                     at unpredictable
                                                     times to deter
                                                     exploitation of
                                                     periods between
                                                     inspections.
Sec.   73.55(b)(4)(i) The     (i)(9)(iii)(C)        This requirement
 licensee may not permit an    Security personnel    would be added for
 individual to act as a        shall be trained to   consistency with
 guard, watchman, armed        recognize             the current
 response person, or other     indications of        requirement Sec.
 member of the security        tampering as          73.55(b)(4)(i) to
 organization unless the       necessary to          provide necessary
 individual has been           perform assigned      focus on the threat
 trained, equipped, and        duties and            of tampering and
 qualified to perform each     responsibilities as   the need to ensure
 assigned security job duty.   they relate to        that personnel are
                               safety and security   trained to
                               systems and           recognize it.
                               equipment.
                              (i)(9)(iv)            This requirement
                               Unattended openings   would be added to
                               that are not          provide a
                               monitored by          performance based
                               intrusion detection   requirement to
                               equipment must be     ensure that
                               observed by           unattended openings
                               security personnel    that cross a
                               at a frequency that   security boundary
                               would prevent         established to meet
                               exploitation of       the proposed
                               that opening.         requirements of
                                                     this section would
                                                     not be exploited by
                                                     the design basis
                                                     threat of
                                                     radiological
                                                     sabotage to include
                                                     the use of tools to
                                                     enlarge the
                                                     opening.

[[Page 62716]]

 
Sec.   73.55(h)(4) Upon       (i)(9)(v) Upon        This requirement
 detection of abnormal         detection of          would be retained
 presence or activity of       unauthorized          with minor revision
 persons or vehicles * * *,    activities,           to provide
 the licensee security         tampering, or other   flexibility for the
 organization shall * * *.     threats, the          licensee to
                               licensee shall        determine if all or
                               initiate actions      only part of the
                               consistent with the   protective strategy
                               approved security     capabilities would
                               plans, the licensee   be needed for a
                               protective            specific event. The
                               strategy, and         phrase ``abnormal
                               implementing          presence or
                               procedures.           activity of persons
                                                     or vehicles'' would
                                                     be replaced with
                                                     the phrase
                                                     ``unauthorized
                                                     activities,
                                                     tampering, or other
                                                     threats'' to
                                                     clarify the types
                                                     of activities that
                                                     would be expected
                                                     to warrant a
                                                     response by the
                                                     licensee.
                              (i)(10) Video         This header would be
                               technology.           added for
                                                     formatting
                                                     purposes.
                              (i)(10)(i) The        This requirement
                               licensee shall        would be added for
                               maintain in           consistency with
                               operable condition    the current
                               all video             requirement Sec.
                               technology used to    73.55(g)(1) and
                               satisfy the           would provide a
                               monitoring,           performance based
                               observation,          requirement for
                               surveillance, and     ensuring video
                               assessment            technology is
                               requirements of       operating and
                               this section.         available when
                                                     needed.
                              (i)(10)(ii) Video     This header would be
                               technology must be:   added for
                                                     formatting
                                                     purposes.
                              (i)(10)(ii)(A)        This requirement
                               Displayed             would be added for
                               concurrently at       consistency with
                               both alarm stations.  the other proposed
                                                     requirements for
                                                     dual alarm stations
                                                     and would focus on
                                                     the need for video
                                                     technology to be
                                                     provided to both
                                                     alarm stations at
                                                     the same time to
                                                     ensure that an
                                                     assessment would be
                                                     made and a timely
                                                     response would be
                                                     initiated.
                              (i)(10)(ii)(B)        This requirement
                               Designed to provide   would be added for
                               concurrent            consistency with
                               observation,          the other proposed
                               monitoring, and       requirements for
                               surveillance of       dual alarm stations
                               designated areas      and would focus on
                               from which an alarm   the need for the
                               annunciation or a     same capabilities
                               notification of       to be provided to
                               unauthorized          both to ensure
                               activity is           observation,
                               received.             monitoring, and
                                                     surveillance
                                                     requirements are
                                                     met.
                              (i)(10)(ii)(C)        This requirement
                               Capable of            would be added to
                               providing a timely    provide a
                               visual display from   performance based
                               which positive        requirement for
                               recognition and       video technology
                               assessment of the     which focuses on
                               detected activity     the need for clear
                               can be made and a     visual images from
                               timely response       which accurate and
                               initiated.            timely assessment
                                                     can be made in
                                                     response to alarm
                                                     annunciations.
Sec.   73.55(h)(6) To         (i)(10)(ii)(D) Used   This requirement
 facilitate initial response   to supplement and     would retain the
 to detection of penetration   limit the exposure    current requirement
 * * * preferably by means     of security           to use video
 of closed circuit             personnel to          technology to limit
 television or by other        possible attack.      the exposure of
 suitable means which limit                          security personnel
 exposure of responding                              while performing
 personnel to possible                               security duties
 attack.                                             with minor revision
                                                     to add patrols.
                              (i)(10)(iii) The      This requirement
                               licensee shall        would be added to
                               implement controls    provide a
                               for personnel         performance based
                               assigned to monitor   requirement
                               video technology to   relative to
                               ensure that           controlling
                               assigned personnel    personnel fatigue
                               maintain the level    related to extended
                               of alertness          periods of
                               required to           monitoring video
                               effectively perform   technology. The
                               the assigned duties   Commission has
                               and                   determined that
                               responsibilities.     each individual's
                                                     alertness is
                                                     critical to the
                                                     effective use of
                                                     video technology
                                                     and the licensee
                                                     capability to
                                                     achieve the
                                                     performance
                                                     objective of this
                                                     proposed section.
                                                     Therefore, licensee
                                                     work hour controls
                                                     should ensure that
                                                     assigned personnel
                                                     are relieved of
                                                     these duties and
                                                     assigned other
                                                     duties at intervals
                                                     sufficient to
                                                     ensure the
                                                     individual's
                                                     ability to
                                                     effectively carry
                                                     out assigned duties
                                                     and
                                                     responsibilities.
                              (i)(11) Illumination  This header would be
                                                     added for
                                                     formatting
                                                     purposes.

[[Page 62717]]

 
Sec.   73.55(c)(5) Isolation  (i)(11)(i) The        This requirement
 zones and all exterior        licensee shall        would be retained
 areas within the protected    ensure that all       and revised. Most
 area shall be provided with   areas of the          significantly, this
 illumination sufficient for   facility, to          proposed
 the monitoring and            include appropriate   requirement would
 observation requirements of   portions of the       expand a
 paragraphs (c)(3), (c)(4),    owner controlled      performance based
 and (h)(4) of this section,   area, are provided    lighting
 but * * *.                    with illumination     requirement to all
                               necessary to          areas designated by
                               satisfy the           the licensee as
                               requirements of       having a need for
                               this section.         detection,
                                                     assessment,
                                                     surveillance,
                                                     observation, and
                                                     monitoring
                                                     capabilities in
                                                     support of the
                                                     protective strategy
                                                     and not limit it to
                                                     only the isolation
                                                     zone and all
                                                     exterior areas
                                                     within the
                                                     protected area.
                                                     This requirement
                                                     would not require
                                                     deterministic
                                                     illumination levels
                                                     but rather would
                                                     require that
                                                     illumination levels
                                                     be sufficient to
                                                     provide the
                                                     detection,
                                                     assessment,
                                                     surveillance,
                                                     observation, and
                                                     monitoring
                                                     capabilities
                                                     described by the
                                                     licensee in the
                                                     approved security
                                                     plans. This
                                                     description would
                                                     be required to
                                                     consider the
                                                     requirements of the
                                                     proposed
                                                     (i)(11)(ii) and
                                                     (iii).
Sec.   73.55(c)(5) Isolation  (i)(11)(ii) The       This requirement
 zones and all exterior        licensee shall        would be retained
 areas within the protected    provide a minimum     and revised to
 area shall be provided with   illumination level    provide a
 illumination * * * not less   of 0.2 footcandle     performance based
 than 0.2 footcandle           measured              requirement for
 measured horizontally at      horizontally at       illumination. Most
 ground level.                 ground level, in      significantly, this
                               the isolation zones   proposed
                               and all exterior      requirement would
                               areas within the      maintain the
                               protected area, or    current 0.2
                               may augment the       footcandle lighting
                               facility              requirement but
                               illumination          would also provide
                               system, to include    flexibility to a
                               patrols,              licensee to provide
                               responders, and       less than the 0.2
                               video technology      footcandle where
                               with low-light        low-light
                               technology capable    technology would be
                               of meeting the        used to maintain
                               detection,            the capability to
                               assessment,           meet the
                               surveillance,         performance level
                               observation,          for detection,
                               monitoring, and       assessment,
                               response              surveillance,
                               requirements of       observation,
                               this section.         monitoring, and
                                                     response. The word
                                                     ``or'' would be
                                                     used specifically
                                                     to mean that the
                                                     licensee need
                                                     satisfy only one of
                                                     the two options
                                                     such that the 0.2
                                                     footcandle
                                                     requirement must be
                                                     met in the
                                                     isolation zone and
                                                     all exterior areas
                                                     within the
                                                     protected area
                                                     unless low-light
                                                     technology is used.
                                                     However, the word
                                                     ``augment'' would
                                                     be used to
                                                     represent the
                                                     Commission's view
                                                     that sole use of
                                                     low-light
                                                     technology is not
                                                     authorized as this
                                                     approach would be
                                                     contrary to defense-
                                                     in-depth and could
                                                     be susceptible to
                                                     single failure
                                                     where a counter
                                                     technology is
                                                     developed or used.
                              (i)(11)(iii) The      This requirement
                               licensee shall        would be added to
                               describe in the       clarify the need
                               approved security     for lighting to be
                               plans how the         described in the
                               lighting              approved security
                               requirements of       plans and how the
                               this section are      lighting ``system''
                               met and, if used,     would be used to
                               the type(s) and       achieve the
                               application of low-   performance
                               light technology      objective.
                               used.
Sec.   73.55(f)               (j) Communication     This header would be
 Communication requirements.   requirements.         retained. The
                                                     current
                                                     requirements under
                                                     this header are
                                                     retained and
                                                     reformatted to
                                                     individually
                                                     address each
                                                     current
                                                     requirement.
                                                     Significant
                                                     revisions would be
                                                     specifically
                                                     identified as each
                                                     current requirement
                                                     is addressed.
Sec.   73.55(f)(1) Each       (j)(1) The licensee   This requirement
 guard, watchman or armed      shall establish and   would be retained
 response individual on duty   maintain,             with minor
 shall be capable of           continuous            revision. Most
 maintaining continuous        communication         significantly, the
 communication with an         capability with       specific language
 individual in each            onsite and offsite    of the current
 continuously manned alarm     resources to ensure   requirement would
 station required by           effective command     be revised to a
 paragraph (e)(1) of this      and control during    more performance
 section * * *.                both normal and       based requirement.
                               emergency             The word
                               situations.           ``continuous''
                                                     would be used to
                                                     mean that a
                                                     communication
                                                     method would be
                                                     available and
                                                     operating any time
                                                     it would be needed
                                                     to communicate
                                                     information.

[[Page 62718]]

 
Sec.   73.55(f)(1) * * * who  (j)(2) Individuals    This requirement
 shall be capable of calling   assigned to each      would be retained
 for assistance from other     alarm station shall   with minor
 guards, watchmen, and armed   be capable of         revision. Most
 response personnel and from   calling for           significantly, in
 local law enforcement         assistance in         order to provide
 authorities.                  accordance with the   flexibility and to
                               approved security     capture the
                               plans, licensee       proposed
                               integrated response   requirements of
                               plan, and licensee    appendix C to part
                               procedures.           73 for an
                                                     Integrated Response
                                                     Plan, this proposed
                                                     requirement
                                                     replaces the
                                                     specific list of
                                                     support entities to
                                                     be called with a
                                                     performance based
                                                     requirement to
                                                     follow
                                                     predetermined
                                                     actions.
Sec.   73.55(f)(1) Each       (j)(3) Each on-duty   This requirement
 guard, watchman or armed      security officer,     would be retained
 response individual on duty   watchperson,          with minor
 shall be capable of           vehicle escort, and   revisions. Most
 maintaining continuous        armed response        significantly, this
 communication with an         force member shall    proposed
 individual in each            be capable of         requirement would
 continuously manned alarm     maintaining           update the titles
 station required by           continuous            used to identify
 paragraph (e)(1) of this      communication with    the listed
 section * * *.                an individual in      positions and would
                               each alarm station.   add ``vehicle
                                                     escorts'' for
                                                     consistency with
                                                     the proposed
                                                     paragraph (g)(8) of
                                                     this section.
Sec.   73.55(f)(3) To         (j)(4) The following  This requirement
 provide the capability of     continuous            would be retained
 continuous communication *    communication         with minor revision
 * * and shall terminate in    capabilities must     for formatting
 each continuously manned      terminate in both     purposes.
 alarm station required by     alarm stations
 paragraph (e)(1) of this      required by this
 section.                      section:
Sec.   73.55(f)(2) The alarm  (j)(4)(i)             This requirement
 stations required by          Conventional          would be retained
 paragraph (e)(1) of this      telephone service.    with minor
 section shall have                                  revision. Most
 conventional telephone                              significantly, the
 service for communication                           phrase ``with the
 with the law enforcement                            law enforcement
 authorities as described in                         authorities as
 paragraph (f)(1) of this                            described in
 section.                                            paragraph (f)(1) of
                                                     this section''
                                                     would be deleted
                                                     because site plans
                                                     and procedures
                                                     would contain
                                                     protocols for
                                                     contacting support
                                                     personnel and
                                                     agencies.
Sec.   73.55(f)(3) To         (j)(4)(ii) Radio or   This requirement
 provide the capability of     microwave             would be retained
 continuous communication,     transmitted two-way   with minor
 radio or microwave            voice                 revision. Most
 transmitted two-way voice     communication,        significantly, the
 communication, either         either directly or    phrase ``shall be
 directly or through an        through an            established, in
 intermediary, shall be        intermediary.         addition to
 established, in addition to                         conventional
 conventional telephone                              telephone service,
 service, between local law                          between local law
 enforcement authorities and                         enforcement
 the facility and * * *.                             authorities and the
                                                     facility and''
                                                     would be deleted
                                                     because site plans
                                                     and procedures
                                                     would contain
                                                     protocols for
                                                     contacting support
                                                     personnel and
                                                     agencies.
                              (j)(4)(iii) A system  This requirement
                               for communication     would be added for
                               with all control      consistency with
                               rooms, on-duty        the proposed
                               operations            requirements of
                               personnel, escorts,   this section and to
                               local, State, and     provide a
                               Federal law           performance based
                               enforcement           requirement for
                               agencies, and all     communications
                               other personnel       consistent with the
                               necessary to          proposed Integrated
                               coordinate both       Response Plan
                               onsite and offsite    addressed in the
                               responses.            proposed appendix C
                                                     to part 73.
Sec.   73.55(f)(4) Non-       (j)(5) Non-portable   This requirement
 portable communications       communications        would be retained
 equipment controlled by the   equipment must        with minor
 licensee and required by      remain operable       revision. Most
 this section shall remain     from independent      significantly, the
 operable from independent     power sources in      phrase ``controlled
 power sources in the event    the event of the      by the licensee and
 of the loss of normal power.  loss of normal        required by this
                               power.                section'' would be
                                                     deleted because
                                                     there would be no
                                                     requirement for non-
                                                     portable
                                                     communications
                                                     equipment that is
                                                     not under licensee
                                                     control or not
                                                     required by this
                                                     section.
                              (j)(6) The licensee   This requirement
                               shall identify site   would be added to
                               areas where           ensure the
                               communication could   capability to
                               be interrupted or     communicate during
                               cannot be             both normal and
                               maintained and        emergency
                               shall establish       conditions, and to
                               alternative           focus attention on
                               communication         the requirement
                               measures for these    that the licensee
                               areas in              must identify site
                               implementing          areas in which
                               procedures.           communications
                                                     could be lost and
                                                     account for those
                                                     areas in their
                                                     procedures.
73.55(h) Response             (k) Response          This header would be
 requirement.                  requirements.         retained.
                              (k)(1) Personnel and  This header would be
                               equipment.            added for
                                                     formatting
                                                     purposes.

[[Page 62719]]

 
                              (k)(1)(i) The         This requirement
                               licensee shall        would be added to
                               establish and         provide a
                               maintain, at all      performance based
                               times, the minimum    requirement for
                               number of properly    determining the
                               trained and           minimum number of
                               equipped personnel    armed responders
                               required to           needed to protect
                               intercept,            the facility
                               challenge, delay,     against the full
                               and neutralize        capability of the
                               threats up to and     design basis
                               including the         threat. The phrase
                               design basis threat   ``to intercept,
                               of radiological       challenge, delay,
                               sabotage as defined   and neutralize
                               in Sec.   73.1, to    threats up to and
                               prevent significant   including the
                               core damage and       design basis threat
                               spent fuel sabotage.  of radiological
                                                     sabotage as defined
                                                     in Sec.   73.1, to
                                                     prevent significant
                                                     core damage and
                                                     spent fuel
                                                     sabotage'' would be
                                                     used for
                                                     consistency with
                                                     the proposed
                                                     paragraphs (b)(2)
                                                     through (4) of this
                                                     section.
                              (k)(1)(ii) The        This requirement
                               licensee shall        would be added to
                               provide and           provide a
                               maintain firearms,    performance based
                               ammunition, and       requirement to
                               equipment capable     ensure that the
                               of performing         licensee provides
                               functions             weapons that are
                               commensurate to the   capable of
                               needs of each armed   performing the
                               member of the         functions required
                               security              for each armed
                               organization to       individual to
                               carry out their       fulfill their
                               assigned duties and   assigned duties per
                               responsibilities in   the licensee
                               accordance with the   protective
                               approved security     strategy. For
                               plans, the licensee   example, if an
                               protective            individual is
                               strategy,             assigned to a
                               implementing          position for which
                               procedures, and the   the protective
                               site specific         strategy requires
                               conditions under      weapons use at 200
                               which the firearms,   meters, then the
                               ammunition, and       assigned weapon
                               equipment will be     must be capable of
                               used.                 that performance as
                                                     well as the
                                                     individual.
                              (k)(1)(iii) The       This requirement
                               licensee shall        would be added to
                               describe in the       ensure that the
                               approved security     licensee provides,
                               plans, all firearms   in the approved
                               and equipment to be   security plans, a
                               possessed by and      description of the
                               readily available     weapons to be used
                               to, armed personnel   and those equipment
                               to implement the      designated as
                               protective strategy   readily available.
                               and carry out all
                               assigned duties and
                               responsibilities.
                               This description
                               must include the
                               general
                               distribution and
                               assignment of
                               firearms,
                               ammunition, body
                               armor, and other
                               equipment used.
                              (k)(1)(iv) The        This requirement
                               licensee shall        would be added to
                               ensure that all       provide a
                               firearms,             performance based
                               ammunition, and       requirement to
                               equipment required    ensure the
                               by the protective     availability and
                               strategy are in       operability of
                               sufficient supply,    equipment needed to
                               are in working        accomplish response
                               condition, and are    goals and
                               readily available     objectives during
                               for use in            postulated events.
                               accordance with the   The term ``readily
                               licensee protective   available'' would
                               strategy and          mean that required
                               predetermined time    firearms and
                               lines.                equipment are
                                                     either in the
                                                     individuals
                                                     possession or at
                                                     pre-staged
                                                     locations such that
                                                     required response
                                                     time lines are met.
                              (k)(1)(v) The         This requirement
                               licensee shall        would be added to
                               ensure that all       provide a
                               armed members of      performance based
                               the security          requirement to
                               organization are      ensure that all
                               trained in the        armed personnel
                               proper use and        meet standard
                               maintenance of        training program
                               assigned weapons      requirements and
                               and equipment in      specific training
                               accordance with       requirements
                               appendix B to part    applicable to the
                               73.                   specific weapons
                                                     they are assigned,
                                                     to include the
                                                     maintenance
                                                     required for each
                                                     to ensure
                                                     operability. The
                                                     ability for armed
                                                     personnel to
                                                     trouble-shoot a
                                                     problem, such as a
                                                     jammed round during
                                                     an actual event,
                                                     would be considered
                                                     a critical function
                                                     necessary to
                                                     achieve the
                                                     performance
                                                     objective.

[[Page 62720]]

 
Sec.   73.55(h)(5) The        (k)(2) The licensee   This requirement
 licensee shall instruct       shall instruct each   would be retained
 every guard and all armed     armed response        with some revision.
 response personnel to         person to prevent     The term ``guard''
 prevent or impede attempted   or impede attempted   was removed as the
 acts of theft or              acts of theft or      term is no longer
 radiological sabotage by      radiological          used. The phrase
 using force sufficient to     sabotage by using     ``or any other
 counter the force directed    force sufficient to   circumstances as
 at him including the use of   counter the force     authorized by
 deadly force when the guard   directed at that      applicable state
 or other armed response       person including      law'' would be
 person has a reasonable       the use of deadly     added to clarify
 belief it is necessary in     force when the        that applicable
 self-defense or in the        armed response        state law specifies
 defense of others.            person has a          the conditions
                               reasonable belief     under which deadly
                               that the use of       force may be
                               deadly force is       applied. It is
                               necessary in self-    important to note
                               defense or in the     that the use of
                               defense of others,    deadly force should
                               or any other          be a last resort
                               circumstances as      when all other
                               authorized by         lesser measures to
                               applicable state      neutralize the
                               law.                  threat have failed.
                                                     The conditions
                                                     under which deadly
                                                     force would be
                                                     authorized are
                                                     governed by state
                                                     laws and nothing in
                                                     this proposed rule
                                                     should be
                                                     interpreted to mean
                                                     or require anything
                                                     that would
                                                     contradict such
                                                     state law. The term
                                                     ``it'' is replaced
                                                     with the phrase
                                                     ``deadly force'' to
                                                     more clearly
                                                     describe the
                                                     action.
                              (k)(3) The licensee   This requirement
                               shall provide an      would be added to
                               armed response team   provide a
                               consisting of both    performance based
                               armed responders      requirement that
                               and armed security    would retain the
                               officers to carry     current requirement
                               out response          for armed
                               duties, within        responders and add
                               predetermined time    a category of armed
                               lines.                security officer to
                                                     clarify the
                                                     division of types
                                                     of armed response
                                                     personnel and their
                                                     roles.
                              (k)(3)(i) Armed       This header would be
                               responders.           added for
                                                     formatting
                                                     purposes.
Sec.   73.55(h)(3) The total  (k)(3)(i)(A) The      This requirement
 number of guards, and         licensee shall        would be retained
 armed, trained personnel      determine the         and revised to
 immediately available at      minimum number of     remove the specific
 the facility to fulfill       armed responders      minimum numbers of
 these response requirements   necessary to          10, but no less
 shall nominally be ten        protect against the   than 5, to provide
 (10), unless specifically     design basis threat   a performance based
 required otherwise on a       described in Sec.     requirement that
 case by case basis by the     73.1(a), subject to   meets the proposed
 Commission; however, this     Commission            requirement of
 number may not be reduced     approval, and shall   paragraph (k)(1)(i)
 to less than five (5)         document this         of this section.
 guards.                       number in the         This proposed
                               approved security     requirement would
                               plans.                ensure that the
                                                     licensee would
                                                     provide the
                                                     requisite number of
                                                     armed responders
                                                     needed to carry-out
                                                     the protective
                                                     strategy, the
                                                     effectiveness of
                                                     which would be
                                                     evaluated through
                                                     annual exercises
                                                     and triennial
                                                     exercises observed
                                                     by the Commission.
Sec.   73.55(h)(3) The total  (k)(3)(i)(B) Armed    This requirement
 number of guards, and         responders shall be   would be retained
 armed, trained personnel      available at all      and revised. Most
 immediately available at      times inside the      significantly, this
 the facility to fulfill       protected area and    proposed
 these response requirements   may not be assigned   requirement would
 * * *.                        any other duties or   specify the
                               responsibilities      conditions that
                               that could            must be met to
                               interfere with        satisfy the meaning
                               assigned response     of the word
                               duties.               ``available'' as
                                                     used.
                              (k)(3)(ii) Armed      This header would be
                               security officers.    added for
                                                     formatting
                                                     purposes.
                              (k)(3)(ii)(A) Armed   This requirement
                               security officers     would be added to
                               designated to         provide a
                               strengthen response   performance based
                               capabilities shall    requirement for the
                               be onsite and         licensee to
                               available at all      identify a new
                               times to carry out    category of armed
                               assigned response     personnel to be
                               duties.               used to supplement
                                                     and support the
                                                     armed responders
                                                     identified in the
                                                     proposed paragraph
                                                     (k)(3)(ii)(A) of
                                                     this section.
Sec.   73.55(h)(3) The total  (k)(3)(ii)(B) The     This requirement
 number of guards, and         minimum number of     would be added to
 armed, trained personnel      armed security        require licensees
 immediately available at      officers must be      to document the
 the facility to fulfill       documented in the     number of armed
 these response requirements   approved security     security officers
 shall nominally be * * *.     plans.                to be used.
                              (k)(3)((iii) The      This requirement
                               licensee shall        would be added for
                               ensure that           consistency with
                               training and          the current
                               qualification         requirement Sec.
                               requirements          73.55(b)(4)(ii) for
                               accurately reflect    an approved T&Q
                               the duties and        plan and the
                               responsibilities to   current requirement
                               be performed.         for licensees to
                                                     document how these
                                                     personnel are to be
                                                     trained and
                                                     qualified.

[[Page 62721]]

 
                              (k)(3)(iv) The        This requirement
                               licensee shall        would be added for
                               ensure that all       consistency with
                               firearms,             the current Sec.
                               ammunition, and       73.55(g)(1) to
                               equipment needed      ensure that all
                               for completing the    firearms and
                               actions described     equipment required
                               in the approved       by each member of
                               security plans and    the armed response
                               licensee protective   team would be
                               strategy are          operable and in the
                               readily available     possession of or
                               and in working        available at pre-
                               condition.            staged locations,
                                                     to ensure that each
                                                     individual is able
                                                     to meet the time
                                                     lines specified by
                                                     the protective
                                                     strategy. This
                                                     includes those
                                                     equipment
                                                     designated as
                                                     readily available.
                              (k)(4) The licensee   This requirement
                               shall describe in     would be added to
                               the approved          provide regulatory
                               security plans,       consistency for the
                               procedures for        period of time a
                               responding to an      licensee may not
                               unplanned incident    meet the minimum
                               that reduces the      numbers stated in
                               number of available   the approved plans
                               armed response team   because of illness
                               members below the     or injury to an
                               minimum number        assigned individual
                               documented by the     or individuals
                               licensee in the       while on-duty.
                               approved security
                               plans.
                              (k)(5) Protective     This requirement
                               Strategy. Licensees   would be added to
                               shall develop,        provide a
                               maintain, and         performance based
                               implement a written   requirement for the
                               protective strategy   development of a
                               in accordance with    protective strategy
                               the requirements of   that specifies how
                               this section and      the licensee will
                               appendix C to this    utilize onsite and
                               part.                 offsite, the
                                                     resources to ensure
                                                     the performance
                                                     objective of how
                                                     the proposed
                                                     paragraph (b) of
                                                     this section is
                                                     met.
                              (k)(6) The licensee   This proposed
                               shall ensure that     requirement would
                               all personnel         be added to ensure
                               authorized            that both security
                               unescorted access     and non-security
                               to the protected      organization
                               area are trained      personnel are
                               and understand        trained to
                               their roles and       recognize and
                               responsibilities      respond to hostage
                               during security       and duress
                               incidents, to         situations. This
                               include hostage and   proposed training
                               duress situations.    would also include
                                                     the specific
                                                     actions to be
                                                     performed during
                                                     these postulated
                                                     security events.
Sec.   73.55(h)(4) Upon       (k)(7) Upon receipt   This requirement
 detection of abnormal         of an alarm or        would be retained
 presence or activity of       other indication of   and revised for
 persons or vehicles within    threat, the           consistency with
 an isolation zone, a          licensee shall:       the proposed
 protected area, material                            requirements of
 access area, or a vital                             this section.
 area; or upon evidence or                           Reference to the
 indication of intrusion                             specific site areas
 into a protected area, a                            would be deleted
 material access area, or a                          because the
 vital area, the licensee                            performance based
 security organization                               requirements of
 shall:                                              this proposed
                                                     section would be
                                                     applicable to all
                                                     facility areas, and
                                                     therefore such
                                                     reference would not
                                                     be needed.
Sec.   73.55(h)(4)(i)         (k)(7)(i) Determine   This requirement
 Determine whether or not a    the existence of a    would be retained
 threat exists,                threat in             with minor
                               accordance with       revision.
                               assessment
                               procedures.
Sec.   73.55(h)(4)(ii)        (k)(7)(ii) Identify   This requirement
 Assess the extent of the      the level of threat   would be retained
 threat, if any,               present through the   with minor
                               use of assessment     revision.
                               methodologies and
                               procedures.
Sec.   73.55(h)(4)(iii)(A)    (k)(7)(iii)           This requirement
 Requiring responding guards   Determine the         would be retained
 or other armed response       response necessary    with revision for
 personnel to interpose        to intercept,         consistency with
 themselves * * *.             challenge, delay,     the proposed
                               and neutralize the    paragraph (b) of
                               threat in             this section.
                               accordance with the
                               requirements of
                               appendix C to part
                               73, the Commission-
                               approved safeguards
                               contingency plan,
                               and the licensee
                               response strategy.
Sec.   73.55(h)(4)(iii)(B)    (k)(7)(iv) Notify     This requirement
 Informing local law           offsite support       would be retained
 enforcement agencies of the   agencies such as      with revision for
 threat and requesting         local law             consistency with
 assistance.                   enforcement, in       the Integrated
                               accordance with       Response Plan.
                               site procedures.
Sec.   73.55(h)(2) The        (k)(8) Law            This requirement
 licensee shall establish      enforcement           would be retained
 and document liaison with     liaison. The          with minor
 local law enforcement         licensee shall        revision. Most
 authorities.                  document and          significantly, this
                               maintain current      proposed
                               agreements with       requirement
                               local, state, and     addresses the need
                               Federal law           to identify the
                               enforcement           resources and
                               agencies, to          response times to
                               include estimated     be expected in
                               response times and    order to facilitate
                               capabilities.         planning
                                                     development.

[[Page 62722]]

 
                              (l) Facilities using  This paragraph would
                               mixed-oxide (MOX)     be added to provide
                               fuel assemblies. In   general provisions
                               addition to the       for the onsite
                               requirements          physical protection
                               described in this     of unirradiated
                               section for           mixed oxide (MOX)
                               protection against    fuel assemblies in
                               radiological          recognition of the
                               sabotage, operating   fact that some
                               commercial nuclear    nuclear power
                               power reactors        reactor facilities
                               licensed under 10     currently have
                               CFR parts 50 or 52    chosen or may
                               and using special     choose to possess
                               nuclear material in   and utilize this
                               the form of MOX       type of special
                               fuel assemblies       nuclear material at
                               shall protect         their sites.
                               unirradiated MOX      Because weapons
                               fuel assemblies       grade plutonium is
                               against theft or      utilized in the
                               diversion.            fabrication of MOX
                                                     fuel assemblies,
                                                     the Commission has
                                                     determined that a
                                                     threat of theft
                                                     applies and that it
                                                     is prudent and
                                                     necessary to apply
                                                     certain security
                                                     measures for MOX
                                                     fuel that are in
                                                     addition to those
                                                     that are currently
                                                     required at other
                                                     nuclear power
                                                     reactor facilities.
                                                     Therefore, the
                                                     requirements
                                                     proposed in this
                                                     paragraph are
                                                     provided to ensure
                                                     that these
                                                     additional
                                                     requirements are
                                                     identified and met
                                                     by those licensees
                                                     who have chosen or
                                                     may choose to
                                                     utilize MOX fuel.
                              (l)(1) Licensees      This requirement
                               shall protect the     would be added to
                               unirradiated MOX      identify
                               fuel assemblies       applicability of
                               against theft or      this paragraph.
                               diversion in
                               accordance with the
                               requirements of
                               this section and
                               the approved
                               security plans.
                              (l)(2) Commercial     This requirement
                               nuclear power         would be added
                               reactors using MOX    because the
                               fuel assemblies are   Commission has
                               exempt from the       determined that due
                               requirements of       to the low
                               Sec.  Sec.   73.20,   plutonium
                               73.45, and 73.46      concentration,
                               for the onsite        composition of the
                               physical protection   MOX fuel, and
                               of unirradiated MOX   configuration (size
                               fuel assemblies.      and weight) of the
                                                     assemblies, the
                                                     physical security
                                                     protection measures
                                                     identified in the
                                                     listed regulations
                                                     are superceded by
                                                     those requirements
                                                     addressed in this
                                                     proposed section
                                                     for unirradiated
                                                     MOX fuel assemblies
                                                     at nuclear power
                                                     reactor facilities.
                              (l)(3)                This header would be
                               Administrative        added for
                               controls.             formatting
                                                     purposes.
                              (l)(3)(i) The         This requirement
                               licensee shall        would be added to
                               describe in the       ensure that the
                               approved security     licensee describes
                               plans, the            the onsite physical
                               operational and       protection measures
                               administrative        in the approved
                               controls to be        security plans.
                               implemented for the
                               receipt,
                               inspection,
                               movement, storage,
                               and protection of
                               unirradiated MOX
                               fuel assemblies.
                              (l)(3)(ii) The        This requirement
                               licensee shall        would be added to
                               implement the use     provide assurance
                               of tamper-            that the
                               indicating devices    unirradiated fuel
                               for unirradiated      assemblies were not
                               MOX fuel assembly     accessed during
                               transport and shall   transport.
                               verify their use
                               and integrity
                               before receipt.
                              (l)(3)(iii) Upon      This requirement
                               delivery of           would be added for
                               unirradiated MOX      formatting
                               fuel assemblies,      purposes.
                               the licensee shall:
                              (l)(3)(iii)(A)        This requirement
                               Inspect               would be added to
                               unirradiated MOX      ensure that
                               fuel assemblies for   unirradiated MOX
                               damage.               fuel assemblies are
                                                     in an acceptable
                                                     condition before
                                                     use or storage.
                              (l)(3)(iii)(B)        This requirement
                               Search unirradiated   would be added to
                               MOX fuel assemblies   ensure that no
                               for unauthorized      unauthorized
                               materials.            materials were
                                                     introduced within
                                                     the unirradiated
                                                     MOX fuel assembly
                                                     during transport.
                              (l)(3)(iv) The        This requirement
                               licensee may          would be added to
                               conduct the           provide a
                               required inspection   performance based
                               and search            requirement that
                               functions             provides
                               simultaneously.       flexibility for
                                                     accomplishment of
                                                     the proposed
                                                     requirements.
                              (l)(3)(v) The         This requirement
                               licensee shall        would be added for
                               ensure the proper     formatting
                               placement and         purposes.
                               control of
                               unirradiated MOX
                               fuel assemblies as
                               follows:

[[Page 62723]]

 
                              (l)(3)(v)(A) At       This requirement
                               least one armed       would be added to
                               security officer,     provide deterrence
                               in addition to the    and immediate armed
                               armed response team   response to
                               required by           attempts of theft
                               paragraphs (h)(4)     or tampering. This
                               and (h)(5) of         proposed armed
                               appendix C to part    responder's duty
                               73, shall be          would be solely to
                               present during the    observe and protect
                               receipt and           the unirradiated
                               inspection of         MOX fuel assemblies
                               unirradiated MOX      upon receipt and
                               fuel assemblies.      before storage.
                              (l)(3)(v)(B) The      This requirement
                               licensee shall        would be added to
                               store unirradiated    reduce the risk of
                               MOX fuel assemblies   theft by providing
                               only within a spent   three delay
                               fuel pool, located    barriers before
                               within a vital        gaining
                               area, so that         unauthorized access
                               access to the         to the MOX fuel
                               unirradiated MOX      assembles while in
                               fuel assemblies       storage.
                               requires passage
                               through at least
                               three physical
                               barriers.
                              (l)(3)(vi) The        This requirement
                               licensee shall        would be added to
                               implement a           ensure that a
                               material control      material control
                               and accountability    and accountability
                               program for the       program would be
                               unirradiated MOX      established and
                               fuel assemblies       implemented and
                               that includes a       would focus on
                               predetermined and     recordkeeping which
                               documented storage    describes the
                               location for each     inventory and
                               unirradiated MOX      location of the
                               fuel assembly.        SSNM within the
                                                     assemblies.
                              (l)(3)(vii) Records   This requirement
                               that identify the     would be added to
                               storage locations     ensure restricted
                               of unirradiated MOX   access to records
                               fuel assemblies are   which describe or
                               considered            identify the
                               safeguards            location of
                               information and       unirradiated MOX
                               must be protected     fuel assemblies
                               and stored in         within the spent
                               accordance with       fuel pool.
                               Sec.   73.21.
                              (l)(4) Physical       This header would be
                               controls.             added for
                                                     formatting
                                                     purposes.
                              (l)(4)(i) The         This requirement
                               licensee shall lock   would be added to
                               or disable all        provide a
                               equipment and power   performance based
                               supplies to           requirement for
                               equipment required    administrative
                               for the movement      controls over
                               and handling of       equipment and power
                               unirradiated MOX      supplies to
                               fuel assemblies.      equipment required
                                                     to physically move
                                                     the unirradiated
                                                     MOX fuel assemblies
                                                     to ensure that at
                                                     least two security
                                                     measures must be
                                                     disabled before
                                                     this equipment
                                                     could be used.
                              (l)(4)(ii) The        This requirement
                               licensee shall        would be added to
                               implement a two-      provide an
                               person line-of-       administrative
                               sight rule whenever   control to reduce
                               control systems or    the risk of the
                               equipment required    insider threat and
                               for the movement or   theft.
                               handling of
                               unirradiated MOX
                               fuel assemblies
                               must be accessed.
                              (l)(4)(iii) The       This requirement
                               licensee shall        would be added to
                               conduct random        provide
                               patrols of areas      surveillance
                               containing            activities for the
                               unirradiated MOX      detection of
                               fuel assemblies to    unauthorized
                               ensure the            activities that
                               integrity of          would pose a threat
                               barriers and locks,   to MOX fuel
                               deter unauthorized    assemblies in
                               activities, and to    addition to any
                               identify              similar
                               indications of        requirements of
                               tampering.            this proposed
                                                     section.
                              (l)(4)(iv) Locks,     This requirement
                               keys, and any other   would be added to
                               access control        ensure that the
                               device used to        security
                               secure equipment      organization would
                               and power sources     be responsible for
                               required for the      the administrative
                               movement of           controls over
                               unirradiated MOX      access control
                               fuel assemblies or    devices.
                               openings to areas
                               containing
                               unirradiated MOX
                               fuel assemblies
                               must be controlled
                               by the security
                               organization.
                              (l)(4)(v) Removal of  This requirement
                               locks used to         would be added to
                               secure equipment      ensure that both
                               and power sources     the licensee
                               required for the      security and
                               movement of           operations
                               unirradiated MOX      management level
                               fuel assemblies or    personnel would be
                               openings to areas     responsible for the
                               containing            removal of locks
                               unirradiated MOX      securing MOX fuel
                               fuel assemblies       assemblies.
                               must require
                               approval by both
                               the on-duty
                               security shift
                               supervisor and the
                               operations shift
                               manager.
                              (l)(4)(v)(A) At       This requirement
                               least one armed       would be added to
                               security officer      ensure that
                               shall be present to   immediate armed
                               observe activities    response capability
                               involving the         is provided before
                               movement of           accessing equipment
                               unirradiated MOX      used to move
                               fuel assemblies       unirradiated MOX
                               before the removal    fuel assemblies.
                               of the locks and
                               providing power to
                               equipment required
                               for the movement or
                               handling of
                               unirradiated MOX
                               fuel assemblies.

[[Page 62724]]

 
                              (l)(4)(v)(B) At       This requirement
                               least one armed       would be added to
                               security officer      ensure that
                               shall be present at   immediate armed
                               all times until       response capability
                               power is removed      is provided during
                               from equipment and    any activity
                               locks are secured.    involving the use
                                                     of equipment used
                                                     to move
                                                     unirradiated MOX
                                                     fuel assemblies.
                              (l)(4)(v)(C)          This requirement
                               Security officers     would be added to
                               shall be trained      ensure that
                               and knowledgeable     assigned security
                               of authorized and     officers possess
                               unauthorized          the capability to
                               activities            immediately
                               involving             recognize, report,
                               unirradiated MOX      and respond to
                               fuel assemblies.      unauthorized
                                                     activities
                                                     involving
                                                     unirradiated MOX
                                                     fuel assemblies.
                              (l)(5) At least one   This requirement
                               armed security        would be added to
                               officer shall be      ensure physical
                               present and shall     protection of
                               maintain constant     unirradiated MOX
                               surveillance of       fuel assemblies
                               unirradiated MOX      when not located
                               fuel assemblies       within an area that
                               when the assemblies   meets the three
                               are not located in    barrier requirement
                               the spent fuel pool   of this proposed
                               or reactor.           rule.
                              (l)(6) The licensee   This requirement
                               shall maintain at     would be added for
                               all times the         consistency with
                               capability to         the proposed
                               detect, assess,       paragraph (b) of
                               intercept,            this section.
                               challenge, delay,
                               and neutralize
                               threats to
                               unirradiated MOX
                               fuel assemblies in
                               accordance with the
                               requirements of
                               this section.
                              (m) Digital computer  This header would be
                               and communication     added for
                               networks.             formatting
                                                     purposes.
                              (m)(1) The licensee   This requirement
                               shall implement a     would be to ensure
                               cyber-security        that nuclear power
                               program that          plants are
                               provides high         protected from
                               assurance that        cyber attacks via
                               computer systems,     minimizing the
                               which if              potential attack
                               compromised would     pathway and the
                               likely adversely      consequences
                               impact safety,        arising from a
                               security, and         successful cyber
                               emergency             attack.
                               preparedness, are
                               protected from
                               cyber attacks.
                              (m)(1)(i) The         This requirement
                               licensee shall        would be added to
                               describe the cyber-   ensure licensees
                               security program      have a
                               requirements in the   comprehensive
                               approved security     security plan by
                               plans.                integrating cyber-
                                                     security into the
                                                     overall onsite
                                                     physical protection
                                                     program. As
                                                     licensees take
                                                     advantage of
                                                     computer technology
                                                     to maximize plant
                                                     productivity, the
                                                     role of computer
                                                     systems at nuclear
                                                     power plants is
                                                     increasing.
                                                     Therefore, the
                                                     Commission has
                                                     determined that
                                                     incorporation of a
                                                     cyber-security
                                                     program into the
                                                     Commission-approved
                                                     security plans
                                                     would be a prudent
                                                     and necessary
                                                     security
                                                     enhancement.
                              (m)(1)(ii) The        This requirement
                               licensee shall        would be added to
                               incorporate the       ensure that the
                               cyber-security        computer systems
                               program into the      used in onsite
                               onsite physical       physical protection
                               protection program.   systems are
                                                     protected from
                                                     cyber attacks. With
                                                     advancements in
                                                     computer
                                                     technology, many
                                                     systems in nuclear
                                                     power plants rely
                                                     on computers to
                                                     perform their
                                                     functions,
                                                     including some
                                                     security functions.
                                                     Therefore, the
                                                     Commission has
                                                     determined that the
                                                     integration of
                                                     security measures
                                                     covering these
                                                     systems would be a
                                                     prudent and
                                                     necessary action.
                              (m)(1)(iii) The       This requirement
                               cyber-security        would be added to
                               program must be       ensure licensees
                               designed to detect    actively and
                               and prevent cyber     proactively secure
                               attacks on            their plants from
                               protected computer    cyber attacks. The
                               systems.              Commission has
                                                     determined that
                                                     because specific
                                                     cyber threats and
                                                     the people who seek
                                                     unauthorized access
                                                     to, or use of
                                                     computers are
                                                     constantly
                                                     changing, protected
                                                     computer systems
                                                     must be protected
                                                     against these
                                                     attacks and
                                                     mitigation measures
                                                     implemented.
                              (m)(2) Cyber-         This requirement
                               security              would be added to
                               assessment. The       require licensees
                               licensee shall        to systematically
                               implement a cyber-    determine the
                               security assessment   status of their
                               program to            plant's cyber risks
                               systematically        and identify
                               assess and manage     vulnerabilities
                               cyber risks.          that need to be
                                                     mitigated to reduce
                                                     risks to acceptable
                                                     levels.
                              (m)(3) Policies,      This header would be
                               requirements, and     added for
                               procedures.           formatting
                                                     purposes.

[[Page 62725]]

 
                              (m)(3)(i) The         This requirement
                               licensee shall        would be added to
                               apply cyber-          create a computer
                               security              security program
                               requirements and      that establishes
                               policies that         specific goals and
                               identify management   assigns
                               expectations and      responsibilities to
                               requirements for      employees to meet
                               the protection of     those goals.
                               computer systems.
                              (m)(3)(ii) The        This requirement
                               licensee shall        would be added to
                               develop and           ensure the licensee
                               maintain              develops,
                               implementing          implements, and
                               procedures to         enforces, detailed
                               ensure cyber-         guidance documents
                               security              that licensee
                               requirements and      employees would be
                               policies are          required to follow
                               implemented           to meet the stated
                               effectively.          security goals.
                              (m)(4) Incident       This header would be
                               response and          added for
                               recovery.             formatting
                                                     purposes.
                              (m)(4)(i) The         This requirement
                               licensee shall        would be added to
                               implement a cyber-    ensure that each
                               security incident     licensee would be
                               response and          prepared to respond
                               recovery plan to      to computer
                               minimize the          security incidents
                               adverse impact of a   in a manner that
                               cyber-security        ensures that plants
                               incident on safety,   are safe and
                               security, or          secure. A computer
                               emergency             security incident
                               preparedness          could result from a
                               systems.              computer virus,
                                                     other malicious
                                                     code, or a system
                                                     intruder, either an
                                                     insider or as a
                                                     result of an
                                                     external attack and
                                                     could adversely
                                                     impact the
                                                     licensee's ability
                                                     to effectively
                                                     maintain safety,
                                                     security, or
                                                     emergency
                                                     preparedness.
                                                     Without an incident
                                                     response and
                                                     recovery plan,
                                                     licensees would
                                                     respond to a
                                                     computer security
                                                     incident in an ad
                                                     hoc manner. However
                                                     with an incident
                                                     response and
                                                     recovery plan,
                                                     licensees would
                                                     respond to an
                                                     incident in a quick
                                                     and organized
                                                     manner. This would
                                                     minimize the
                                                     adverse impact
                                                     caused by a
                                                     computer security
                                                     incident.
                              (m)(4)(ii) The cyber- This requirement
                               security incident     would be added to
                               response and          ensure licensees
                               recovery plan must    have a
                               be described in the   comprehensive
                               integrated response   incident response
                               plan required by      plan by integrating
                               appendix C to this    cyber-security into
                               part.                 the overall
                                                     security of their
                                                     plants. As
                                                     licensees take
                                                     advantage of
                                                     computer technology
                                                     to maximize plant
                                                     productivity, the
                                                     role of computer
                                                     systems at nuclear
                                                     power plants is
                                                     increasing as well
                                                     as the possibility
                                                     for adverse impact
                                                     from a computer
                                                     mishap. Therefore,
                                                     the Commission has
                                                     determined that it
                                                     would be a prudent
                                                     and necessary
                                                     action for
                                                     licensees to
                                                     develop and
                                                     implement a
                                                     comprehensive
                                                     response plan that
                                                     includes a cyber
                                                     incident response
                                                     and recovery plan.
                              (m)(4)(iii) The       This requirement
                               cyber-security        would be added to
                               incident response     ensure that
                               and recovery plan     licensees acquire
                               must ensure the       the capability to
                               capability to         respond to cyber
                               respond to cyber-     incidents in a
                               security incidents,   manner that
                               minimize loss and     contains and
                               destruction,          repairs damage from
                               mitigate and          incidents, and
                               correct the           prevents future
                               weaknesses that       damage. An incident
                               were exploited, and   handling capability
                               restore systems and/  provides a way for
                               or equipment          plant personnel to
                               affected by a cyber-  report incidents
                               security incident.    and the appropriate
                                                     response and
                                                     assistance to be
                                                     provided to aid in
                                                     recovery.
                              (m)(5) Protective     This requirement
                               strategies. The       would be added to
                               licensee shall        incorporate the
                               implement defense-    approach of delay,
                               in-depth protective   detect, and
                               strategies to         respond. The use of
                               protect computer      multiple and
                               systems from cyber    diverse layers of
                               attacks, detecting,   defense would delay
                               isolating, and        the threat from
                               neutralizing          reaching those
                               unauthorized          systems that, if
                               activities in a       compromised, can
                               timely manner.        adversely impact
                                                     safety, security,
                                                     or emergency
                                                     preparedness of the
                                                     nuclear power
                                                     plants. This delay
                                                     in attack would
                                                     allow more time to
                                                     detect the attack
                                                     and would allow
                                                     time to respond.

[[Page 62726]]

 
                              (m)(6) Configuration  This requirement
                               and control           would be added to
                               management program.   implement
                               The licensee shall    configuration
                               implement a           management to
                               configuration and     ensure that the
                               control management    system in operation
                               program, to include   is the correct
                               cyber risk            version
                               analysis, to ensure   (configuration) of
                               that modifications    the system and that
                               to computer system    any changes to be
                               designs, access       made are reviewed
                               control measures,     for security
                               configuration,        implications.
                               operational           Configuration
                               integrity, and        management can be
                               management process    used to help ensure
                               do not adversely      that changes take
                               impact facility       place in an
                               safety, security,     identifiable and
                               and emergency         controlled
                               preparedness          environment and
                               systems before        that they do not
                               implementation of     unintentionally
                               those modifications.  harm any of the
                                                     system's
                                                     properties,
                                                     including its
                                                     security.
                              (m)(7) Cyber-         This header would be
                               security awareness    added for
                               and training..        formatting
                                                     purposes.
                              (m)(7)(i) The         This requirement
                               licensee shall        would be added to
                               implement a cyber-    ensure licensees
                               security awareness    implement cyber-
                               and training          security awareness
                               program.              and training
                                                     programs to ensure
                                                     that appropriate
                                                     personnel are aware
                                                     of cyber-security
                                                     requirements and
                                                     have the cyber-
                                                     security skills and
                                                     competencies
                                                     necessary to secure
                                                     affected plant
                                                     systems and
                                                     equipment.
                              (m)(7)(ii) The cyber- This requirement
                               security awareness    would be added to
                               and training          implement a cyber-
                               program must ensure   security awareness
                               that appropriate      and training
                               plant personnel,      program to:
                               including            1. Improve employee
                               contractors, are      awareness of the
                               aware of cyber-       need to protect
                               security              computer systems;
                               requirements and     2. Develop employee
                               that they receive     skills and
                               the training          knowledge so
                               required to           computer users can
                               effectively perform   perform their jobs
                               their assigned        more securely; and
                               duties and           3. Build in-depth
                               responsibilities.     knowledge, as
                                                     needed, to design,
                                                     implement, or
                                                     operate security
                                                     programs for
                                                     organizations and
                                                     systems.
                              (n) Security program  This header would be
                               reviews and audits.   added for
                                                     formatting
                                                     purposes.
Sec.   73.55(g)(4)(i)(A) At   (n)(1) The licensee   This requirement
 intervals not to exceed 12    shall review the      would be retained
 months or * * *.              onsite physical       with minor revision
                               protection program    for formatting
                               at intervals not to   purposes.
                               exceed 12 months,
                               or
Sec.   73.55(g)(4)(i)(B) As   (n)(1)(i) As          This requirement
 necessary, based on an        necessary based       would be retained
 assessment by the licensee    upon assessments or   with minor
 against performance           other performance     revision.
 indicators * * *.             indicators.
Sec.   73.55(g)(4)(i)(B) * *  (n)(1)(ii) Within 12  This requirement
 * as soon as reasonably       months after a        would be retained
 practicable after a change    change occurs in      and revised. Most
 occurs in personnel,          personnel,            significantly, the
 procedures, equipment, or     procedures,           phrase ``as soon as
 facilities that potentially   equipment, or         reasonably
 could adversely affect        facilities that       practicable'' would
 security but no longer than   potentially could     be deleted and the
 12 months after the change.   adversely affect      current requirement
                               security.             ``12 months'' would
                                                     be moved to the
                                                     beginning of the
                                                     sentence to
                                                     eliminate potential
                                                     for
                                                     misunderstanding
                                                     and improve
                                                     consistency.
Sec.   73.55(g)(4)(i)(B) In   (n)(2) As a minimum,  This requirement
 any case, each element of     each element of the   would be retained
 the security program must     onsite physical       with minor
 be reviewed at least every    protection program    revision.
 24 months.                    must be reviewed at
                               least every twenty-
                               four (24) months.
Sec.   73.55(g)(4)(i) The     (n)(2)(i) The onsite  This requirement
 licensee shall review         physical protection   would be retained
 implementation of the         program review must   and revised to
 security program by           be documented and     combine two current
 individuals who have no       performed by          requirements. Most
 direct responsibility for     individuals           significantly, the
 the security program          independent of        word ``documented''
 either:                       those personnel       would be added for
Sec.   73.55(g)(4)(ii) The     responsible for       consistency with
 results and recommendations   program management    the current Sec.
 of the security program       and any individual    73.55(g)(4)(ii).
 review * * * must be          who has direct        The phrase
 documented * * *.             responsibility for    ``security
                               implementing the      program'' would be
                               onsite physical       replaced with the
                               protection program.   phrase ``program''
                                                     for consistency
                                                     with use of the
                                                     phrase ``onsite
                                                     physical protection
                                                     program''.
Sec.   73.55(g)(4)(ii) The    (n)(2)(ii) Onsite     This requirement
 security program review       physical protection   would be retained
 must include an audit of      program reviews and   and revised to
 security procedures and       audits must           provide additional
 practices, an evaluation of   include, but not be   examples. Most
 the effectiveness of the      limited to, an        significantly, the
 physical protection system,   evaluation of the     phrase ``but not be
 an audit of the physical      effectiveness of      limited to'' would
 protection system testing     the approved          be added to clarify
 and maintenance program,      security plans,       that the proposed
 and an audit of commitments   implementing          examples are not
 established for response by   procedures,           all inclusive.
 local law enforcement         response
 authorities.                  commitments by
                               local, State, and
                               Federal law
                               enforcement
                               authorities, cyber-
                               security programs,
                               safety/security
                               interface, and the
                               testing,
                               maintenance, and
                               calibration program.

[[Page 62727]]

 
Sec.   73.55(d)(7)(ii)(B)     (n)(3) The licensee   This requirement
 Periodically review           shall periodically    would be retained
 physical security plans and   review the approved   with minor
 contingency plans and         security plans, the   revision. The
 procedures to evaluate        integrated response   phrase ``Integrated
 their potential impact on     plan, the licensee    Response Plan''
 plant and personnel safety.   protective            would be added to
                               strategy, and         emphasize the
                               licensee              importance of this
                               implementing          proposed plan and
                               procedures to         to emphasize its
                               evaluate their        relationship to
                               effectiveness and     other site plans.
                               potential impact on   The term
                               plant and personnel   ``implementing''
                               safety.               procedures would be
                                                     added for
                                                     consistency with
                                                     this proposed
                                                     section.
                              (n)(4) The licensee   This requirement
                               shall periodically    would be added to
                               evaluate the cyber-   account for the use
                               security program      of computers and
                               for effectiveness     the need to ensure
                               and shall update      that required
                               the cyber-security    protective measures
                               program as needed     are being met and
                               to ensure             to evaluate the
                               protection against    effects that
                               changes to internal   changes or other
                               and external          technological
                               threats.              advancements would
                                                     have on systems
                                                     used at nuclear
                                                     power plants.
                              (n)(5) The licensee   This requirement
                               shall conduct         would be added to
                               quarterly drills      provide a
                               and annual force-on-  performance based
                               force exercises in    requirement for the
                               accordance with       conduct of force-on-
                               appendix C to part    force drills and
                               73 and the licensee   exercises.
                               performance
                               evaluation program.
Sec.   73.55(g)(4)(ii) The    (n)(6) The results    This requirement
 results and recommendations   and recommendations   would be retained
 of the security program       of the onsite         with minor
 review, management's          physical protection   revision. The
 findings on whether the       program reviews and   phrase ``security
 security program is           audits,               program review''
 currently effective, and      management's          would be replaced
 any actions taken as a        findings regarding    with the phrase''
 result of recommendations     program               onsite physical
 from prior program reviews    effectiveness, and    protection program
 must be documented in a       any actions taken     reviews and
 report to the licensee's      as a result of        audits'' for
 plant manager and to          recommendations       consistency with
 corporate management at       from prior program    the format of the
 least one level higher than   reviews, must be      proposed rule. The
 that having responsibility    documented in a       phrase ``on whether
 for the day-to-day plant      report to the         the security
 operation.                    licensee's plant      program is
                               manager and to        currently
                               corporate             effective'' would
                               management at least   be replaced with
                               one level higher      the phrase
                               than that having      ``regarding program
                               responsibility for    effectiveness'' for
                               day-to-day plant      plain language
                               operation.            purposes.
                              (n)(7) Findings from  This requirement
                               onsite physical       would be added to
                               protection program    ensure that
                               reviews, audits,      security
                               and assessments       deficiencies and
                               must be entered       findings would be
                               into the site         tracked through the
                               corrective action     site corrective
                               program and           action program
                               protected as          until corrected,
                               safeguards            and information
                               information, if       regarding specific
                               applicable.           findings would be
                                                     protected in
                                                     accordance with the
                                                     sensitivity and
                                                     potential for
                                                     exploitation of the
                                                     information.
                              (n)(8) The licensee   This requirement
                               shall make changes    would be added to
                               to the approved       provide a
                               security plans and    performance based
                               implementing          requirement for the
                               procedures as a       revision of
                               result of findings    approved security
                               from security         plans where plan
                               program reviews,      changes are
                               audits, and           necessary to
                               assessments, where    account for
                               necessary to ensure   implementation
                               the effective         problems, changes
                               implementation of     to site conditions,
                               Commission            or other problems
                               regulations and the   that adversely
                               licensee protective   affect the licensee
                               strategy.             capability to
                                                     effectively
                                                     implement
                                                     Commission
                                                     requirements.
                              (n)(9) Unless         This requirement
                               otherwise specified   would be added to
                               by the Commission,    provide necessary
                               onsite physical       flexibility to
                               protection program    allow licensees to
                               reviews, audits,      conduct audits/
                               and assessments may   reviews within a
                               be conducted up to    specified time
                               thirty days prior     period without
                               to, but no later      changing future
                               than thirty days      scheduled audit/
                               after the scheduled   review dates. This
                               date without          requirement
                               adverse impact upon   provides regulatory
                               the next scheduled    stability and
                               annual audit date.    flexibility to
                                                     account for
                                                     unforseen
                                                     circumstances that
                                                     may interfere with
                                                     regularly scheduled
                                                     dates, such as
                                                     forced outages.
Sec.   73.55(g) Testing and   (o) Maintenance,      This header would be
 maintenance.                  testing, and          retained and
                               calibration.          revised to include
                                                     ``calibration'' of
                                                     equipment to ensure
                                                     the accuracy of
                                                     readings provided
                                                     from such
                                                     equipment.
                              (o)(1) The licensee   This header would be
                               shall:                added for
                                                     formatting
                                                     purposes.
                              (o)(1)(i) Implement   This requirement
                               a maintenance,        would be added to
                               testing and           comprehensively
                               calibration program   address all
                               to ensure that        security equipment
                               security systems      in consistent
                               and equipment are     terms. This
                               tested for            proposed
                               operability and       requirement would
                               performance at        clarify the current
                               predetermined         requirement for
                               intervals, are        ensuring that
                               maintained in         security equipment
                               operable condition,   operates and
                               and are capable of    performs as stated
                               performing their      in the approved
                               intended function     security plans.
                               when needed.

[[Page 62728]]

 
                              (o)(1)(ii) Describe   This requirement
                               the maintenance,      would be added to
                               testing and           address the
                               calibration program   maintenance,
                               in the approved       testing and
                               physical security     calibration of
                               plan. Implementing    security equipment
                               procedures must       in non-specific
                               specify operational   terms and describe
                               and technical         the types of
                               details required to   documentation and
                               perform               level of detail
                               maintenance,          needed.
                               testing, and
                               calibration
                               activities to
                               include, but not
                               limited to, purpose
                               of activity,
                               actions to be
                               taken, acceptance
                               criteria, the
                               intervals or
                               frequency at which
                               the activity will
                               be performed, and
                               compensatory
                               actions required.
                              (o)(1)(iii) Document  This requirement
                               problems, failures,   would be added for
                               deficiencies, and     consistency with
                               other findings, to    the proposed
                               include the cause     requirement for
                               of each, and enter    addressing findings
                               each into the site    from security
                               corrective action     program reviews and
                               program. The          audits and how
                               licensee shall        specific
                               protect this          information
                               information as        concerning security
                               safeguards            deficiencies and
                               information, if       findings must be
                               applicable.           protected so that
                                                     noted deficiencies
                                                     could not be
                                                     exploited.
Sec.   73.55(g)(1) The        (o)(1)(iv) Implement  This requirement
 licensee shall develop and    compensatory          would be retained
 employ compensatory           measures in a         with minor
 measures including            timely manner to      revision.
 equipment, additional         ensure that the
 security personnel and        effectiveness of
 specific procedures to        the onsite physical
 assure that the               protection program
 effectiveness of the          is not reduced by
 security system is not        failure or degraded
 reduced by failure or other   operation of
 contingencies affecting the   security-related
 operation of the security     components or
 related equipment or          equipment.
 structures.
Sec.   73.55(g)(2) Each       (o)(2) Each           This requirement
 intrusion alarm shall be      intrusion alarm       would be retained
 tested for performance at     must be tested for    and revised to
 the beginning and end of      operability at the    correct the use of
 any period that it is used    beginning and end     the phrase ``tested
 for security. If the period   of any period that    for performance'',
 of continuous use is longer   it is used for        as stated in the
 than seven days, the          security, or if the   current Sec.
 intrusion alarm shall also    period of             73.55(g)(2). The
 be tested at least once       continuous use        testing performed
 every seven (7) days.         exceeds seven (7)     at the beginning
                               days, the intrusion   and end of any
                               alarm must be         period is intended
                               tested at least       to be a ``go, no-
                               once every seven      go'' test or
                               (7) days.             operational test
                                                     that is used to
                                                     simply indicate
                                                     that the equipment
                                                     functions in
                                                     response to
                                                     predetermined
                                                     stimuli. A
                                                     performance test is
                                                     a more elaborate
                                                     test that would
                                                     test a system
                                                     through the entire
                                                     range of its
                                                     intended function
                                                     or stimuli.
Sec.   73.55(g)(2) Each       (o)(3) Intrusion      This requirement
 intrusion alarm shall be      detection and         would be retained
 tested for performance at     access control        and revised to
 the beginning and end of      equipment must be     correct the
 any period that it is used    performance tested    periodicity of
 for security.                 in accordance with    performance testing
                               the approved          stated in the
                               security plans.       current Sec.
                                                     73.55(g)(2) and to
                                                     add ``access
                                                     control equipment''
                                                     due to the
                                                     widespread use of
                                                     access control
                                                     technologies and to
                                                     focus on the need
                                                     to ensure that this
                                                     equipment is
                                                     functioning as
                                                     intended in
                                                     response to the
                                                     predetermined
                                                     stimuli (e.g.,
                                                     biometrics). The
                                                     phrase ``each
                                                     intrusion alarm''
                                                     would be replaced
                                                     with the phrase
                                                     ``Intrusion
                                                     detection and
                                                     access control
                                                     equipment'' to more
                                                     accurately describe
                                                     the equipment to be
                                                     performance tested.
Sec.   73.55(g)(3)            (o)(4) Equipment      This proposed
 Communications equipment      required for          requirement would
 required for communications   communications        be retained and
 onsite shall be tested for    onsite must be        revised to correct
 performance not less          tested for            the use of the
 frequently than once at the   operability not       phrase ``tested for
 beginning of each security    less frequently       performance'', as
 personnel work shift.         than once at the      stated in the
                               beginning of each     current Sec.
                               security personnel    73.55(g)(3). The
                               work shift.           testing performed
                                                     at the beginning
                                                     and end of any
                                                     period is intended
                                                     to be a ``go, no-
                                                     go'' test or
                                                     operational test
                                                     that is used to
                                                     simply indicate
                                                     that the equipment
                                                     functions in
                                                     response to
                                                     predetermined
                                                     stimuli.

[[Page 62729]]

 
Sec.   73.55(g)(3)            (o)(5) Communication  This requirement
 Communications equipment      systems between the   would be retained
 required for communications   alarm stations and    and revised to
 offsite shall be tested for   each control room,    include both
 performance not less than     and between the       ``onsite'' and
 once a day.                   alarm stations and    offsite
                               offsite support       communication
                               agencies, to          equipment
                               include back-up       associated with
                               communication         integrated response
                               equipment, must be    and to correct the
                               tested for            use of the term
                               operability at        ``performance
                               least once each day.  test,'' as stated
                                                     in the current Sec.
                                                       73.55(g)(3). The
                                                     testing performed
                                                     at least once each
                                                     day is intended to
                                                     be a ``go, no-go''
                                                     test or operational
                                                     test that is used
                                                     to simply indicate
                                                     that the equipment
                                                     functions.
                              (o)(6) Search         This requirement
                               equipment must be     would be added to
                               tested for            ensure that search
                               operability at        equipment is tested
                               least once each day   for operability and
                               and tested for        performance at
                               performance at        intervals that
                               least once during     provide assurance
                               each seven (7) day    that unauthorized
                               period and before     items would be
                               being placed back     detected as
                               in service after      required. This
                               each repair or        proposed
                               inoperative state.    requirement is
                                                     added to address
                                                     the widespread use
                                                     of search equipment
                                                     technologies, such
                                                     as explosives and
                                                     metal detectors,
                                                     and x-ray equipment
                                                     and to provide a
                                                     performance based
                                                     requirement that
                                                     focuses on the
                                                     importance for
                                                     accurate
                                                     performance of this
                                                     equipment.
Sec.   73.55(g)(1) All        (o)(7) All intrusion  This requirement
 alarms, communication         detection             would be retained
 equipment, physical           equipment,            with minor
 barriers, and other           communication         revision. Most
 security related devices or   equipment, physical   significantly, back-
 equipment shall be            barriers, and other   up power supplies
 maintained in operable        security-related      are added to ensure
 condition.                    devices or            this critical
                               equipment, to         element is
                               include back-up       maintained in
                               power supplies must   operable condition.
                               be maintained in
                               operable condition.
                              (o)(8) A program for  This requirement
                               testing or            would be added to
                               verifying the         account for those
                               operability of        circumstances when
                               devices or            a licensee cannot
                               equipment located     satisfy testing
                               in hazardous areas    requirements due to
                               must be specified     safety hazards or
                               in the approved       radiation
                               security plans and    restrictions. Vital
                               must define           component area
                               alternate measures    portals located
                               to be taken to        within facility
                               ensure the timely     radiological
                               completion of         controlled areas
                               testing or            that are
                               maintenance when      inaccessible due to
                               the hazardous         safety hazards or
                               condition or          established
                               radiation             radiation
                               restrictions are no   restrictions may be
                               longer applicable.    excluded from the
                                                     testing
                                                     requirements of
                                                     this section.
                              (p) Compensatory      This header would be
                               measures.             added for
                                                     formatting
                                                     purposes.
Sec.   73.55(g)(1) The        (p)(1) The licensee   This requirement
 licensee shall develop and    shall identify        would be retained
 employ compensatory           measures and          with minor
 measures * * *.               criteria needed to    revision. The word
                               compensate for the    ``compensate'' is
                               loss or reduced       used to provide a
                               performance of        performance based
                               personnel,            requirement that
                               equipment, systems,   requires the
                               and components,       identified
                               that are required     compensatory
                               to meet the           measure to be
                               requirements of       ``developed and
                               this section.         employed''.
Sec.   73.55(g)(1) The        (p)(2) Compensatory   This requirement
 licensee shall develop and    measures must be      would be retained
 employ compensatory           designed and          and revised to
 measures including            implemented to        focus on the
 equipment, additional         provide a level of    Commission's view
 security personnel and        protection that is    that compensatory
 specific procedures to        equivalent to the     measures must
 assure that the               protection that was   provide a level of
 effectiveness of the          provided by the       protection that
 security system is not        degraded or           satisfies the
 reduced by failure or other   inoperable            Commission
 contingencies affecting the   personnel,            requirement which
 operation of the security     equipment, system,    was otherwise
 related equipment or          or components.        satisfied through
 structures.                                         use or
                                                     implementation of
                                                     the failed
                                                     component of the
                                                     onsite physical
                                                     protection program.
                              (p)(3) Compensatory   This requirement
                               measures must be      would be added to
                               implemented within    provide a
                               specific time lines   performance based
                               necessary to meet     requirement for
                               the requirements      timely
                               stated in paragraph   implementation of
                               (b) of this section   compensatory
                               and described in      measures. The
                               the approved          phrase ``within
                               security plans.       specific time lines
                                                     necessary to meet
                                                     the requirements
                                                     stated in paragraph
                                                     (b)'' would provide
                                                     qualifying details
                                                     against which
                                                     specific time lines
                                                     would be developed.
                              (q) Suspension of     This header would be
                               safeguards measures.  added for
                                                     formatting
                                                     purposes.
                              (q)(1) The licensee   This requirement
                               may suspend           would be added for
                               implementation of     formatting
                               affected              purposes. The
                               requirements of       phrase
                               this section under    ``implementation of
                               the following         affected
                               conditions:           requirements''
                                                     would be used to
                                                     ensure the licensee
                                                     only suspends those
                                                     measures that
                                                     cannot be met as a
                                                     direct result of
                                                     the condition.

[[Page 62730]]

 
Sec.   73.55(a) In            (q)(1)(i) In          This requirement
 accordance with Sec.  Sec.    accordance with       would be retained
  50.54(x) and 50.54(y) of     Sec.  Sec.            with minor
 this chapter, the licensee    50.54(x) and          revision.
 may suspend any safeguards    50.54(y) of this
 measures pursuant to Sec.     chapter, the
 73.55 in an emergency when    licensee may
 this action is immediately    suspend any
 needed to protect the         safeguards measures
 public health and safety      pursuant to this
 and no action consistent      section in an
 with license conditions and   emergency when this
 technical specification       action is
 that can provide adequate     immediately needed
 or equivalent protection is   to protect the
 immediately apparent.         public health and
                               safety and no
                               action consistent
                               with license
                               conditions and
                               technical
                               specifications that
                               can provide
                               adequate or
                               equivalent
                               protection is
                               immediately
                               apparent.
Sec.   73.55(a) This          This suspension of    This requirement
 suspension must be approved   safeguards measures   would be retained
 as a minimum by a licensed    must be approved as   with minor revision
 senior operator prior to      a minimum by a        to report this
 taking the action.            licensed senior       information to the
                               operator prior to     control room. This
                               taking this action.   proposed
                                                     requirement is
                                                     intended to ensure
                                                     that at least one
                                                     onsite, licensee
                                                     management level
                                                     person who is
                                                     knowledgeable and
                                                     aware of reactor
                                                     operations and
                                                     reactor status at
                                                     the time, is the
                                                     individual who
                                                     would approve the
                                                     suspension and has
                                                     the knowledge to
                                                     determine and the
                                                     authority to direct
                                                     appropriate
                                                     compensatory
                                                     measures to
                                                     include, but not
                                                     limited to,
                                                     modifications to
                                                     the licensee
                                                     protective strategy
                                                     during the
                                                     suspension period.
                              (q)(1)(ii) During     This requirement
                               severe weather when   would be added to
                               the suspension is     provide a
                               immediately needed    performance based
                               to protect            requirement that
                               personnel whose       accounts for the
                               assigned duties and   suspension of
                               responsibilities in   safeguards measures
                               meeting the           during severe
                               requirements of       weather conditions
                               this section would    that could result
                               otherwise             in life threatening
                               constitute a life     situations such as
                               threatening           tornadoes, floods,
                               situation and no      hurricanes, etc.,
                               action consistent     for those
                               with the              individuals
                               requirements of       assigned to carry
                               this section that     out certain duties
                               can provide           and
                               equivalent            responsibilities
                               protection is         required by
                               immediately           Commission
                               apparent.             regulations, and
                                                     the approved
                                                     security plans and
                                                     procedures.
                              Suspension of         This requirement
                               safeguards due to     would be added to
                               severe weather must   provide a
                               be initiated by the   requirement for who
                               security supervisor   is authorized to
                               and approved by a     approve suspensions
                               licensed senior       under severe
                               operator prior to     weather conditions.
                               taking this action.
                              (q)(2) Suspended      This requirement
                               security measures     would be added to
                               must be               provide a
                               reimplemented as      performance based
                               soon as conditions    requirement for
                               permit.               reimplementing
                                                     suspended security
                                                     measures.
Sec.   73.55(a) The           (q)(3) The            This requirement
 suspension of safeguards      suspension of         would be retained
 measures must be reported     safeguards measures   with minor revision
 in accordance with the        must be reported      for documenting
 provisions of Sec.   73.71.   and documented in     suspended security
                               accordance with the   measures.
                               provisions of Sec.
                                73.71.
Sec.   73.55(a) Reports made  (q)(4) Reports made   This requirement
 under Section Sec.   50.72    under Sec.   50.72    would be retained.
 need not be duplicated        of this chapter
 under Sec.   73.71.           need not be
                               duplicated under
                               Sec.   73.71.
                              (r) Records.........  This header would be
                                                     added for
                                                     formatting
                                                     purposes.
Sec.   73.55(b)(1)(ii) The    (r)(1) The            This requirement
 NRC may inspect, copy, and    Commission may        would be retained
 take away copies of all       inspect, copy,        with minor
 reports and documents         retain, and remove    revision. The
 required to be kept by        copies of all         phrase ``reports
 Commission regulations,       records required to   and documents''
 orders, or applicable         be kept by            would be replaced
 license conditions whether    Commission            with the word
 the reports and documents     regulations,          ``records'' to
 are kept by the licensee or   orders, or license    account for all
 the contractor.               conditions whether    information
                               the records are       collection
                               kept by the           requirements
                               licensee or a         regardless of
                               contractor.           media, to include
                                                     electronic record
                                                     keeping systems.
Sec.   73.55(g)(4) These      (r)(2) The licensee   This requirement
 reports must be maintained    shall maintain all    would be retained
 in an auditable form,         records required to   and revised to
 available for inspection,     be kept by            consolidate
 for a period of 3 years.      Commission            multiple current
                               regulations,          records retention
                               orders, or license    requirements rather
                               conditions, as a      than state the same
                               record until the      requirement
                               Commission            multiple times for
                               terminates the        each record
                               license for which     throughout this
                               the records were      rule. The phrase
                               developed and shall   ``unless otherwise
                               maintain superceded   specified by the
                               portions of these     Commission'' would
                               records for at        be used to address
                               least three (3)       any conflict that
                               years after the       may arise between
                               record is             other records
                               superseded, unless    retention
                               otherwise specified   requirements such
                               by the Commission.    that the more
                                                     restrictive
                                                     requirement would
                                                     take precedence.

[[Page 62731]]

 
                              (s) Safety/security   This requirement
                               interface. In         would be added to
                               accordance with the   provide specific
                               requirements of       reference to the
                               Sec.   73.58, the     proposed Sec.
                               licensee shall        73.58 for Safety
                               develop and           and Security
                               implement a process   Interface
                               to inform and         requirements.
                               coordinate safety
                               and security
                               activities to
                               ensure that these
                               activities do not
                               adversely affect
                               the capabilities of
                               the security
                               organization to
                               satisfy the
                               requirements of
                               this section, or
                               overall plant
                               safety.
                              (t) Alternative       This header would be
                               measures.             added for
                                                     formatting
                                                     purposes.
Sec.   73.55(a) The           (t)(1) The            This requirement
 Commission may authorize an   Commission may        would be retained
 applicant or licensee to      authorize an          and revised to
 provide measures for          applicant or          provide a
 protection against            licensee to provide   performance based
 radiological sabotage other   a measure for         requirement for
 than those required by this   protection against    alternative
 section if the applicant or   radiological          measures that focus
 licensee demonstrates that    sabotage other than   attention on the
 the measures have the same    one required by       Commission's view
 high assurance objective as   this section if the   that an alternative
 specified in this paragraph   applicant or          measure is an
 and that the overall level    licensee              unanalyzed
 of system performance         demonstrates that:    substitute for a
 provides protection against  (i) The measure        specific Commission
 radiological sabotage         meets the same        requirement of this
 equivalent to that which      performance           proposed section
 would be provided by          objective and         and therefore, must
 Paragraphs (b) through (h)    requirements as       be individually and
 of this section and meets     specified in          knowingly reviewed
 the general performance       paragraph (b) of      and approved by the
 requirements of this          this section, and.    Commission before
 section.                     (ii) The proposed      implementation to
                               alternative measure   ensure consistency
                               provides protection   with these proposed
                               against               Commission
                               radiological          regulations. The
                               sabotage or theft     Commission has
                               of unirradiated MOX   determined that the
                               fuel assemblies,      requirements
                               equivalent to that    described in this
                               which would be        proposed section
                               provided by the       have been carefully
                               specific              analyzed by the
                               requirement for       Commission and
                               which it would        therefore, an
                               substitute.           alternative measure
                                                     to a proposed
                                                     requirement of this
                                                     section must also
                                                     be carefully
                                                     analyzed through
                                                     the process
                                                     addressed in 10 CFR
                                                     50.90 before
                                                     implementation.
                                                     Specifically, the
                                                     language used by
                                                     this proposed
                                                     requirement
                                                     addresses
                                                     alternative
                                                     measures
                                                     ``individually''
                                                     rather than
                                                     collectively to
                                                     clarify that each
                                                     proposed
                                                     alternative measure
                                                     is unique by itself
                                                     and must be
                                                     analyzed as such.
                                                     In addition, the
                                                     phrase ``have the
                                                     same high assurance
                                                     objective'' is
                                                     replaced with the
                                                     phrase ``meets the
                                                     same performance
                                                     objective and
                                                     requirements as
                                                     specified in
                                                     paragraph (b) of
                                                     this section''.
                                                    The proposed
                                                     paragraph (b) of
                                                     this section
                                                     retains the same
                                                     ``high assurance
                                                     objective''
                                                     referred to by the
                                                     current requirement
                                                     and incorporates by
                                                     reference the
                                                     performance based
                                                     requirements of
                                                     this proposed
                                                     section that
                                                     facilitate licensee
                                                     achievement of the
                                                     intended high
                                                     assurance
                                                     objective.
Sec.   73.55(c)(9)(i) For     (t)(2) The licensee   This requirement
 licensees who choose to       shall submit each     would be retained
 propose alternative           proposed              and revised to
 measures as provided for in   alternative measure   expand the
 10 CFR 73.55(c)(8), the       to the Commission     application of the
 proposal must be submitted    for review and        current provision
 in accordance with 10 CFR     approval in           for alternative
 50.90 and include the         accordance with       measures to all
 analysis and justification    Sec.  Sec.   50.4     proposed
 for the proposed              and 50.90 of this     requirements of
 alternatives.                 chapter before        this section and
                               implementation.       would provide the
                                                     process by which
                                                     alternative
                                                     measures would be
                                                     submitted for
                                                     Commission review
                                                     and approval.
Sec.   73.55(c)(8)(ii)        (t)(3) The licensee   This requirement
 Propose alternative           shall submit a        would be retained
 measures, in addition to      technical basis for   and revised to
 the measures established in   each proposed         expand the
 accordance with 10 CFR        alternative           application of the
 73.55(c)(7), describe the     measure, to include   current provision
 level of protection that      any analysis or       for alternative
 these measures would          assessment            measures to all
 provide against a land        conducted in          proposed
 vehicle bomb, and compare     support of a          requirements of
 the costs of the              determination that    this section and to
 alternative measures with     the proposed          provide a
 the costs of measures         alternative measure   description of the
 necessary to fully meet the   provides a level of   detailed
 design goals and criteria.    protection that is    information needed
                               at least equal to     to support the
                               that which would      technical basis for
                               otherwise be          a request for
                               provided by the       Commission approval
                               specific              of an alternative
                               requirement of this   measure.
                               section.

[[Page 62732]]

 
Sec.   73.55(c)(8)(ii) The    (t)(4) Alternative    This requirement
 Commission will approve the   vehicle barrier       would be retained
 proposed alternative          systems. In the       with minor
 measures if they provide      case of alternative   revision. The
 substantial protection        vehicle barrier       phrase ``The
 against a land vehicle        systems required by   Commission will
 bomb, and it is determined    Sec.   73.55(e)(8),   approve the
 by an analysis, using the     the licensee shall    proposed
 essential elements of 10      demonstrate that:     alternative
 CFR 50.109, that the costs   (i) The alternative    measures'' would be
 of fully meeting the design   measure provides      deleted because
 goals and criteria are not    substantial           approval would be
 justified by the added        protection against    based on NRC
 protection that would be      a vehicle bomb, and.  review. The
 provided.                    (ii) Based on          proposed language
                               comparison of the     clearly stipulates
                               costs of the          that alternative
                               alternative           measures will be
                               measures to the       reviewed by the
                               costs of meeting      staff and approval
                               the Commission's      would be contingent
                               requirements using    upon the
                               the essential         justification
                               elements of 10 CFR    provided by the
                               50.109, the costs     licensee to include
                               of fully meeting      an analysis that
                               the Commission's      examines the costs
                               requirements are      and benefits of the
                               not justified by      alternative measure
                               the protection that   consistent with 10
                               would be provided.    CFR 50.109.
                              Sec.   73.55          This requirement
                               Definitions.          would be added to
                                                     clarify the use of
                                                     the listed terms
                                                     used in this
                                                     proposed rule.
                              Security Officer      This definition
                               means a uniformed     would be added to
                               individual, either    clarify what is
                               armed with a          meant by the term
                               covered weapon or     ``Security
                               unarmed, whose        Officer'' as used
                               primary duty is the   in this document.
                               protection of a
                               facility, of
                               radioactive
                               material, or of
                               other property
                               against theft or
                               diversion or
                               against
                               radiological
                               sabotage.
                              Target Set means the  This definition
                               combination of        would be added to
                               equipment or          clarify what is
                               operator actions      meant by the term
                               which, if all are     ``Target Set'' as
                               prevented from        used in this
                               performing their      document.
                               intended safety
                               function or
                               prevented from
                               being accomplished,
                               would likely result
                               in significant core
                               damage (e.g., non-
                               incipient, non-
                               localized fuel
                               melting, and/or
                               core disruption)
                               barring
                               extraordinary
                               action by plant
                               operators. A target
                               set with respect to
                               spent fuel sabotage
                               is draining the
                               spent fuel pool
                               leaving the spent
                               fuel uncovered for
                               a period of time,
                               allowing spent fuel
                               heat-up and the
                               associated
                               potential for
                               release of fission
                               products.
------------------------------------------------------------------------


                Table 3.--Proposed Part 73 Section 73.56
 [Personnel access authorization requirements for nuclear power plants]
------------------------------------------------------------------------
      Current language          Proposed language      Considerations
------------------------------------------------------------------------
Sec.   73.56(a) General.....  (a) Introduction....  This header would be
                                                     added for
                                                     formatting
                                                     purposes. This
                                                     proposed Sec.
                                                     73.56(a) would
                                                     amend and
                                                     reorganize current
                                                     Sec.   73.56(a)
                                                     [General]. The
                                                     current Sec.
                                                     73.56(a) required
                                                     licensees to
                                                     develop and
                                                     implement access
                                                     authorization (AA)
                                                     programs. The
                                                     proposed Sec.
                                                     73.56(a) would
                                                     update these
                                                     requirements. The
                                                     title of this
                                                     paragraph would be
                                                     revised to more
                                                     accurately capture
                                                     the topics
                                                     addressed in the
                                                     proposed Sec.
                                                     73.56(a), which
                                                     would include a
                                                     description of the
                                                     NRC-regulated
                                                     entities who would
                                                     be subject to the
                                                     section and the
                                                     methods by which
                                                     the NRC intends
                                                     that licensees
                                                     would implement the
                                                     amended AA
                                                     programs. These
                                                     proposed changes to
                                                     the language and
                                                     organization of
                                                     current Sec.
                                                     73.56(a) would be
                                                     made to enhance the
                                                     clarity of the
                                                     requirements in
                                                     this section, for
                                                     the reasons
                                                     discussed in
                                                     Section IV.

[[Page 62733]]

 
Sec.   73.56(a) General. (1)  (a)(1) By [date--180  This requirement
 Each licensee who is          days--after the       would be added to
 authorized on April 25,       effective date of     discuss the types
 1991, to operate a nuclear    the final rule        of Commission
 power reactor pursuant to     published in the      licensees to whom
 Sec.  Sec.   50.21(b) or      Federal Register],    the proposed
 50.22 of this chapter shall   each nuclear power    requirements of
 comply with the               reactor licensee,     this section would
 requirements of this          licensed under 10     apply and the
 section. By April 27, 1992,   CFR part 50, shall    schedule for
 the required access           incorporate the       submitting the
 authorization program must    revised               amended access
 be incorporated into the      requirements of       authorization
 site Physical Security Plan   this section          program. The
 as provided for by 10 CFR     through amendments    Commission intends
 50.54(p)(2) and               to its Commission-    to delete the
 implemented. By April 27,     approved access       current language,
 1992, each licensee shall     authorization         because it applies
 certify to the NRC that it    program and shall     only to a past rule
 has implemented an access     submit the amended    change that is
 authorization program that    program to the        completed. The
 meets the requirements of     Commission for        proposed
 this part.                    review and approval.  requirements of
                                                     this section would
                                                     be applicable to
                                                     decommissioned/ing
                                                     reactors unless
                                                     otherwise approved
                                                     by the Commission.
                                                     This proposed
                                                     requirement would
                                                     add a requirement
                                                     for Commission
                                                     review and approval
                                                     of the amended
                                                     access
                                                     authorization
                                                     program to ensure
                                                     that access
                                                     authorization
                                                     programs meet the
                                                     objective of
                                                     providing high
                                                     assurance that
                                                     individuals who are
                                                     subject to the
                                                     requirements of
                                                     this section are
                                                     trustworthy and
                                                     reliable, and do
                                                     not constitute an
                                                     unreasonable risk
                                                     to public health
                                                     and safety or the
                                                     common defense and
                                                     security, including
                                                     the potential to
                                                     commit radiological
                                                     sabotage.
                              (a)(2) The amended    This requirement
                               program must be       would be added to
                               submitted as          provide a reference
                               specified in Sec.     to the current Sec.
                               50.4 and must           50.4(b)(4) which
                               describe how the      describes
                               revised               procedural details
                               requirements of       relative to the
                               this section will     proposed security
                               be implemented by     plan submission
                               the licensee, to      requirement.
                               include a proposed
                               implementation
                               schedule.
                              (a)(3) The licensee   This requirement
                               shall implement the   would be added to
                               existing approved     clarify that the
                               access                licensee must
                               authorization         continue to
                               program and           implement the
                               associated            current Commission-
                               Commission orders     approved security
                               until Commission      plans until the
                               approval of the       Commission approves
                               amended program,      the amended plans.
                               unless otherwise      The phrase ``unless
                               authorized by the     otherwise
                               Commission.           authorized by the
                                                     Commission'' would
                                                     provide flexibility
                                                     to account for
                                                     unanticipated
                                                     situations that may
                                                     affect the
                                                     licensee's ability
                                                     to comply with this
                                                     proposed
                                                     requirement.
                              (a)(4) The licensee   This requirement
                               is responsible to     would be added to
                               the Commission for    clarify that the
                               maintaining the       licensee is
                               authorization         responsible for
                               program in            meeting Commission
                               accordance with       regulations and the
                               Commission            approved security
                               regulations and       plans. The phrase
                               related Commission-   ``through the
                               directed orders       implementation of
                               through the           the approved
                               implementation of     program and site
                               the approved          implementing
                               program and site      procedures'' would
                               implementing          be added to
                               procedures.           describe the
                                                     relationship
                                                     between Commission
                                                     regulations, the
                                                     approved
                                                     authorization
                                                     program, and
                                                     implementing
                                                     procedures. The
                                                     Commission views
                                                     the approved
                                                     security plans as
                                                     the mechanism
                                                     through which the
                                                     licensee implements
                                                     Commission
                                                     requirements.

[[Page 62734]]

 
Sec.   73.56(a)(2) Each       (a)(5) Applicants     This requirement
 applicant for a license to    for an operating      would be added to
 operate a nuclear power       license under the     describe the
 reactor pursuant to Sec.      provisions of part    proposed
 Sec.   50.21(b) or 50.22 of   50 of this chapter,   requirements for
 this chapter, whose           or holders of a       applicants and to
 application was submitted     combined license      specify that the
 prior to April 25, 1991,      under the             proposed
 shall either by April 27,     provisions of part    requirements of
 1992, or the date of          52 of this chapter,   this section must
 receipt of the operating      shall satisfy the     be met upon receipt
 license, whichever is         requirements of       of an operating
 later, incorporate the        this section upon     license or upon
 required access               receipt of an         notice of the
 authorization program into    operating license     Commission's
 the site Physical Security    or upon notice of     finding under Sec.
 Plan and implement it.        the Commission's       52.103(g) of this
Sec.   73.56(a)(3) Each        finding under Sec.    chapter. This
 applicant for a license to     52.103(g) of this    proposed
 operate a nuclear power       chapter.              requirement would
 reactor pursuant to Sec.                            retain the meaning
 Sec.   50.21(b) or 50.22 of                         of the current Sec.
 this chapter and each                                 73.56(a)(3),
 applicant for a combined                            which requires
 construction permit and                             applicants for a
 operating license pursuant                          license to operate
 to part 52 of this chapter,                         a nuclear power
 whose application is                                plant to
 submitted after April 25,                           incorporate an
 1991, shall include the                             access
 required access                                     authorization
 authorization program as                            program in their
 part of its Physical                                Physical Security
 Security Plan. The                                  Plan and implement
 applicant, upon receipt of                          the approved access
 an operating license or                             authorization
 upon receipt of operating                           program when
 authorization, shall                                approval to begin
 implement the required                              operating is
 access authorization                                received. This
 program as part of its site                         proposed
 Physical Security Plan..                            requirement would
                                                     also add a
                                                     requirement for
                                                     Commission review
                                                     and approval of an
                                                     applicant's
                                                     Physical Security
                                                     Plan incorporating
                                                     the requirements of
                                                     this proposed
                                                     section for the
                                                     reasons discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(a)(1). The
                                                     Commission intends
                                                     to delete the
                                                     current Sec.
                                                     73.56(a)(2) because
                                                     there are no
                                                     remaining
                                                     applicants for an
                                                     operating license
                                                     under Sec.  Sec.
                                                     50.21(b) or 50.22
                                                     of this chapter who
                                                     have not
                                                     implemented an AA
                                                     program under the
                                                     current
                                                     requirements.
                                                     Therefore, the
                                                     current paragraph
                                                     is no longer
                                                     necessary.
                                                    The proposed
                                                     paragraph would
                                                     retain the current
                                                     requirement for
                                                     licensees and
                                                     applicants to
                                                     implement access
                                                     authorization
                                                     programs upon
                                                     receipt of an
                                                     operating license
                                                     or operating
                                                     authorization,
                                                     respectively, and
                                                     add a requirement
                                                     for these entities
                                                     to maintain their
                                                     access
                                                     authorization
                                                     programs. The
                                                     requirement to
                                                     maintain AA
                                                     programs would be
                                                     added to convey
                                                     more accurately
                                                     that Sec.   73.56
                                                     includes
                                                     requirements for
                                                     maintaining AA
                                                     programs, in
                                                     addition to
                                                     requirements for
                                                     implementing them.
Sec.   73.56(a)(4) The        (a)(6) Contractors    Proposed Sec.
 licensee may accept part of   and vendors (C/Vs)    73.56(a)(6) would
 an access authorization       who implement         amend current Sec.
 program used by its           authorization          73.56(a)(4), which
 contractors, vendors, or      programs or program   permits licensees
 other affected                elements shall        to accept a C/V
 organizations and             develop, implement,   authorization
 substitute, supplement, or    and maintain          program to meet the
 duplicate any portion of      authorization         standards of this
 the program as necessary to   programs or program   section. The
 meet the requirements of      elements that meet    proposed paragraph
 this section. In any case,    the requirements of   would retain the
 the licensee is responsible   this section, to      current permission
 for granting, denying, or     the extent that the   for licensees to
 revoking unescorted access    licensees and         accept C/V
 authorization to any          applicants            authorization
 contractor, vendor, or        specified in          programs, in full
 other affected organization   paragraphs (a)(1)     or in part, but
 employee.                     and (a)(5) of this    would also add C/Vs
                               section rely upon     to the list of
                               those C/V             entities who are
                               authorization         subject to proposed
                               programs or program   Sec.   73.56 in
                               elements to meet      order to convey
                               the requirements of   more clearly that C/
                               this section. In      Vs may be directly
                               any case, only a      subject to NRC
                               licensee or           inspection and
                               applicant shall       enforcement actions
                               grant or permit an    than the current
                               individual to         rule language
                               maintain unescorted   implies.
                               access to nuclear
                               power plant
                               protected and vital
                               areas.

[[Page 62735]]

 
                                                    This change is
                                                     necessary to
                                                     clarify the
                                                     applicability of
                                                     the rule's
                                                     requirements to a C/
                                                     V's authorization
                                                     program because
                                                     several
                                                     requirements in the
                                                     current section
                                                     could be
                                                     interpreted as
                                                     implying that a C/V
                                                     is accountable to
                                                     the licensee but
                                                     not to the NRC,
                                                     should significant
                                                     weaknesses be
                                                     identified in the C/
                                                     V's authorization
                                                     program upon which
                                                     one or more
                                                     licensees rely.
                                                     However, this
                                                     interpretation
                                                     would be incorrect.
                                                     Therefore, proposed
                                                     Sec.   73.56(a)(6)
                                                     would include C/V
                                                     authorization
                                                     programs and
                                                     program elements
                                                     upon which
                                                     licensees and
                                                     applicants rely
                                                     within the scope of
                                                     this section to
                                                     convey more
                                                     accurately that
                                                     these C/Vs are
                                                     directly
                                                     accountable to the
                                                     NRC for meeting the
                                                     applicable
                                                     requirements of
                                                     Sec.   73.56. This
                                                     clarification is
                                                     also necessary to
                                                     maintain the
                                                     internal
                                                     consistency of the
                                                     proposed rule
                                                     because some
                                                     provisions of the
                                                     proposed section
                                                     apply only to C/Vs,
                                                     including, but not
                                                     limited to, the
                                                     second sentence of
                                                     proposed Sec.
                                                     73.56(n)(7). The
                                                     proposed paragraph
                                                     would also retain
                                                     the intent of the
                                                     current requirement
                                                     that only licensees
                                                     and applicants have
                                                     the authority to
                                                     grant or permit an
                                                     individual to
                                                     maintain unescorted
                                                     access to nuclear
                                                     power plant
                                                     protected and vital
                                                     areas.
                                                    The phrases,
                                                     ``program
                                                     elements'' and ``to
                                                     the extent that * *
                                                     *,'' would replace
                                                     the second sentence
                                                     of current Sec.
                                                     73.56(a)(4), which
                                                     permits licensees
                                                     to accept part of
                                                     an authorization
                                                     program used by its
                                                     contractors,
                                                     vendors, or other
                                                     affected
                                                     organizations and
                                                     substitute,
                                                     supplement, or
                                                     duplicate any
                                                     portion of the
                                                     program as
                                                     necessary to meet
                                                     the requirements of
                                                     this section. The
                                                     proposed change
                                                     would retain the
                                                     meaning of the
                                                     current provision,
                                                     but would clarify
                                                     the intent of the
                                                     provision in
                                                     response to
                                                     implementation
                                                     questions from
                                                     licensees. The
                                                     phrase, ``program
                                                     elements,'' would
                                                     replace ``part of
                                                     an access
                                                     authorization
                                                     program,'' to more
                                                     clearly convey that
                                                     the parts of an
                                                     authorization
                                                     program to which
                                                     this provision
                                                     refers are the
                                                     program elements
                                                     that are required
                                                     under current and
                                                     proposed Sec.
                                                     73.56, including a
                                                     background
                                                     investigation;
                                                     psychological
                                                     assessment;
                                                     behavioral
                                                     observation; a
                                                     review procedure
                                                     for adverse
                                                     determinations
                                                     regarding an
                                                     individual's
                                                     trustworthiness and
                                                     reliability;
                                                     audits; the
                                                     protection of
                                                     information; and
                                                     retaining and
                                                     sharing records.

[[Page 62736]]

 
                                                    The phrase, ``to the
                                                     extent that the
                                                     licensees and
                                                     applicants rely
                                                     upon C/V
                                                     authorization
                                                     programs or program
                                                     elements,'' would
                                                     be used in proposed
                                                     Sec.   73.56(a)(6)
                                                     to clarify that C/
                                                     Vs need only meet
                                                     the requirements of
                                                     this section for
                                                     those authorization
                                                     program elements
                                                     upon which
                                                     licensees and
                                                     applicants who are
                                                     subject to this
                                                     section rely. This
                                                     change would be
                                                     made to address two
                                                     issues. First, ``to
                                                     the extent that''
                                                     would be used to
                                                     indicate that C/Vs
                                                     need not implement
                                                     every element of an
                                                     AA program in order
                                                     for licensees to
                                                     rely on the program
                                                     elements that a C/V
                                                     does implement in
                                                     accordance with the
                                                     requirements of
                                                     this section. For
                                                     example, if a C/V
                                                     conducts background
                                                     investigations upon
                                                     which licensees
                                                     rely in making
                                                     unescorted access
                                                     authorization
                                                     determinations, the
                                                     background
                                                     investigations must
                                                     meet the
                                                     requirements of
                                                     current Sec.
                                                     73.56(b)(2)(i) [or
                                                     proposed Sec.
                                                     73.56(d)]. However,
                                                     the C/V need not
                                                     also perform
                                                     psychological
                                                     assessments or any
                                                     other services for
                                                     licensees in order
                                                     for licensees to
                                                     rely on the
                                                     background
                                                     investigations that
                                                     the C/V performs.
                                                     Second, the phrase,
                                                     ``to the extent
                                                     that,'' would also
                                                     indicate that any
                                                     elements of an
                                                     authorization
                                                     program that a C/V
                                                     implements that are
                                                     not relied upon by
                                                     licensees need not
                                                     meet the
                                                     requirements of
                                                     this section.
                                                    For example, if the
                                                     same C/V in the
                                                     previous example
                                                     also offers
                                                     psychological
                                                     assessment
                                                     services, in
                                                     addition to
                                                     conducting
                                                     background
                                                     investigations for
                                                     licensees, but no
                                                     licensees or
                                                     applicants who are
                                                     subject to this
                                                     section rely on
                                                     those psychological
                                                     assessment services
                                                     to make unescorted
                                                     access
                                                     authorization
                                                     decisions, then the
                                                     C/V need not meet
                                                     the requirements of
                                                     current Sec.
                                                     73.56(b)(2)(ii) [or
                                                     proposed Sec.
                                                     73.56(e)] for
                                                     conducting those
                                                     psychological
                                                     assessments. These
                                                     proposed changes to
                                                     the terms used in
                                                     current Sec.
                                                     73.56(a)(4) would
                                                     be made for
                                                     increased clarity
                                                     in the language of
                                                     the rule.
                              (b) Individuals who   A new Sec.
                               are subject to an     73.56(b)
                               authorization         [Individuals who
                               program.              are subject to an
                              (b)(1) The following   AA program] would
                               individuals shall     specify the
                               be subject to an      individuals who
                               authorization         must be subject to
                               program:.             an AA program,
                                                     based on their job
                                                     duties and
                                                     responsibilities.
                                                     Current Sec.
                                                     73.56 requires only
                                                     that individuals
                                                     who have unescorted
                                                     access to protected
                                                     and vital areas
                                                     shall be subject to
                                                     an AA program. The
                                                     proposed rule would
                                                     add several
                                                     categories of
                                                     individuals who
                                                     would be subject to
                                                     the proposed AA
                                                     program, for the
                                                     reasons discussed
                                                     with respect to
                                                     each paragraph that
                                                     addresses the
                                                     additional
                                                     categories of
                                                     individuals who
                                                     would be covered.
                                                    Proposed Sec.
                                                     73.56(b) would be
                                                     added for clarity
                                                     in the organization
                                                     of the proposed
                                                     section by grouping
                                                     together in one
                                                     list the
                                                     individuals who
                                                     would be subject to
                                                     the proposed
                                                     regulations.

[[Page 62737]]

 
Sec.   73.56(b) General       (b)(1)(i) Any         Proposed Sec.
 performance objective and     individual to whom    73.56(b)(1)(i)
 requirements. (1) The         a licensee or         would retain the
 licensee shall establish      applicant grants      current requirement
 and maintain an access        unescorted access     that any individual
 authorization program         to nuclear power      who has unescorted
 granting individuals          plant protected and   access to nuclear
 unescorted access to          vital areas.          power plant
 protected and vital areas *                         protected and vital
 * *.                                                areas shall be
                                                     subject to an AA
                                                     program that meets
                                                     the requirements of
                                                     this section. The
                                                     current requirement
                                                     is embedded in the
                                                     first sentence of
                                                     current Sec.
                                                     73.56(b) [General
                                                     performance
                                                     objective and
                                                     requirements]. The
                                                     proposed paragraph
                                                     would list this
                                                     category of
                                                     individuals
                                                     separately for
                                                     organizational
                                                     clarity in the
                                                     rule.
                              (b)(1)(ii) Any        A new Sec.
                               individual whose      73.56(b)(1)(ii)
                               assigned duties and   would require that
                               responsibilities      individuals who are
                               permit the            assigned duties and
                               individual to take    responsibilities
                               actions by            that permit them to
                               electronic means,     take actions by
                               either onsite or      electronic means
                               remotely, that        that could
                               could adversely       adversely impact a
                               impact a licensee's   licensee's or
                               or applicant's        applicant's
                               operational safety,   operational safety,
                               security, or          security, or
                               emergency response    emergency response
                               capabilities; and     capabilities would
                                                     be subject to an AA
                                                     program.
                                                    The proposed
                                                     provision would be
                                                     consistent with the
                                                     intent of current
                                                     Sec.   73.56, which
                                                     is to ensure that
                                                     anyone who has
                                                     unescorted access
                                                     to equipment that
                                                     is important to the
                                                     operational safety
                                                     and security of
                                                     plant operations
                                                     must be trustworthy
                                                     and reliable. As
                                                     discussed in
                                                     Section IV.3,
                                                     because of the
                                                     increased use of
                                                     digital systems and
                                                     advanced
                                                     communications
                                                     technologies in
                                                     nuclear power
                                                     plants, the current
                                                     regulations, which
                                                     focus on
                                                     individuals who
                                                     have physical
                                                     access to equipment
                                                     within protected
                                                     and vital areas, do
                                                     not provide
                                                     adequate assurance
                                                     of the
                                                     trustworthiness and
                                                     reliability of
                                                     persons whose job
                                                     duties and
                                                     responsibilities
                                                     permit them to take
                                                     actions through
                                                     electronic means
                                                     that can affect
                                                     operational safety,
                                                     security, and
                                                     emergency response
                                                     capabilities, but
                                                     who, because of
                                                     advances in
                                                     electronic
                                                     communications, may
                                                     not require
                                                     physical access to
                                                     protected and vital
                                                     areas. For example,
                                                     some licensees have
                                                     installed systems
                                                     that permit
                                                     engineers or
                                                     information
                                                     technology
                                                     technicians to take
                                                     actions from remote
                                                     locations that may
                                                     affect the
                                                     operability of
                                                     safety-related
                                                     components, or
                                                     affect the
                                                     functionality of
                                                     operating systems.
                                                    Because the
                                                     potential impact of
                                                     actions taken
                                                     through electronic
                                                     means may be as
                                                     serious as actions
                                                     taken by an
                                                     individual who is
                                                     physically present
                                                     within a protected
                                                     or vital area, the
                                                     NRC has determined
                                                     that subjecting
                                                     this additional
                                                     category of
                                                     individuals to the
                                                     AA program is
                                                     necessary.

[[Page 62738]]

 
                              (b)(1)(iii) Any       Proposed Sec.
                               individual who has    73.56(b)(1)(iii)
                               responsibilities      would require that
                               for implementing a    certain individuals
                               licensee's or         who are members of
                               applicant's           the licensee's or
                               protective            applicant's
                               strategy,             security
                               including, but not    organization shall
                               limited to, armed     be subject to an AA
                               security force        program, based on
                               officers, alarm       their
                               station operators,    responsibilities
                               and tactical          for implementing a
                               response team         licensee's
                               leaders; and          protective
                                                     strategy. Current
                                                     Sec.   73.55
                                                     requires that any
                                                     armed members of
                                                     the security
                                                     organization must
                                                     be subject to an AA
                                                     program, but the
                                                     proposed rule would
                                                     also list them here
                                                     for clarity and
                                                     completeness in the
                                                     requirements of
                                                     this section. The
                                                     proposed paragraph
                                                     would also include
                                                     any individual who
                                                     has
                                                     responsibilities
                                                     for implementing
                                                     the licensee's
                                                     protective
                                                     strategy, which may
                                                     include individuals
                                                     who are not armed.
                                                     In practice, the
                                                     NRC is not aware of
                                                     any licensees,
                                                     applicants, or C/Vs
                                                     who do not subject
                                                     this broader
                                                     category of
                                                     individuals to an
                                                     AA program.
                                                    However, the
                                                     proposed rule would
                                                     specify that these
                                                     individuals shall
                                                     be subject to an AA
                                                     program because of
                                                     their critical
                                                     responsibilities
                                                     with respect to
                                                     plant security and,
                                                     therefore, the need
                                                     for high assurance
                                                     that they are
                                                     trustworthy and
                                                     reliable.
                              (b)(1)(iv) The        Proposed Sec.
                               licensee's,           73.56(b)(1)(iv)
                               applicant's, or C/    would introduce a
                               V's reviewing         new term,
                               official.             ``reviewing
                                                     official,'' to Sec.
                                                       73.56 to refer to
                                                     an individual who
                                                     is designated by a
                                                     licensee,
                                                     applicant, or C/V
                                                     to be responsible
                                                     for reviewing and
                                                     evaluating
                                                     information about
                                                     persons who are
                                                     applying for
                                                     unescorted access
                                                     authorization and
                                                     determining whether
                                                     to grant, deny,
                                                     maintain, or
                                                     unfavorably
                                                     terminate
                                                     unescorted access
                                                     authorization. The
                                                     proposed paragraph
                                                     would require
                                                     reviewing officials
                                                     to be subject to
                                                     the AA program
                                                     because of the key
                                                     role these
                                                     individuals play in
                                                     providing high
                                                     assurance that
                                                     persons who are
                                                     granted unescorted
                                                     access to protected
                                                     areas and
                                                     electronic access
                                                     to operational
                                                     safety, security,
                                                     or emergency
                                                     response systems
                                                     within protected or
                                                     vital areas are
                                                     trustworthy and
                                                     reliable.
                                                    In addition,
                                                     reviewing
                                                     officials' actions
                                                     affect the
                                                     confidence that the
                                                     public, management,
                                                     the NRC, and
                                                     individuals who are
                                                     subject to the AA
                                                     program have in the
                                                     integrity of the
                                                     program and the
                                                     accuracy and
                                                     reliability of the
                                                     authorization
                                                     decisions that are
                                                     made under the
                                                     program. Therefore,
                                                     the NRC believes
                                                     that reviewing
                                                     officials must meet
                                                     the highest
                                                     standards for
                                                     trustworthiness and
                                                     reliability,
                                                     including the
                                                     requirements of an
                                                     AA program.

[[Page 62739]]

 
                              (b)(2) At the         Proposed Sec.
                               licensee's,           73.56(b)(2) would
                               applicant's, or C/    recognize the long-
                               V's discretion,       standing industry
                               other individuals     practice, which has
                               who are designated    been endorsed by
                               in access             the NRC, of
                               authorization         subjecting
                               program procedures    additional
                               may be subject to     individuals to
                               an authorization      authorization
                               program that meets    requirements during
                               the requirements of   periods when those
                               this section.         individuals do not
                                                     require and have
                                                     not been granted
                                                     unescorted access
                                                     to protected or
                                                     vital areas. For
                                                     example, some C/Vs,
                                                     whose personnel may
                                                     be called upon by a
                                                     licensee to work at
                                                     a licensee's site
                                                     under contract,
                                                     implement full
                                                     authorization
                                                     programs to cover
                                                     those personnel.
                                                     Similarly, some
                                                     licensees require
                                                     employees who are
                                                     normally stationed
                                                     at their corporate
                                                     headquarters to be
                                                     subject to an
                                                     authorization
                                                     program, for such
                                                     access, is referred
                                                     to as having
                                                     ``unescorted
                                                     access'' (UA).
                                                    The proposed
                                                     paragraph would be
                                                     added to give
                                                     licensees,
                                                     applicants, and C/
                                                     Vs who implement
                                                     authorization
                                                     programs that meet
                                                     the requirements of
                                                     this part the
                                                     authority to do so
                                                     under the proposed
                                                     rule.
Sec.   73.56(b) General       (c) General           Proposed Sec.
 performance objective and     performance           73.56(c) would
 requirements. (1) The         objective. Access     retain the meaning
 licensee shall establish      authorization         of the current
 and maintain an access        programs must         program performance
 authorization program         provide high          objective, which is
 granting individuals          assurance that the    embedded in current
 unescorted access to          individuals who are   Sec.   73.56(b),
 protected and vital areas     specified in          but would separate
 with the objective of         paragraph (b)(1) of   it from the
 providing high assurance      this section, and,    requirement in the
 that individuals granted      if applicable,        current paragraph
 unescorted access are         (b)(2) of this        for licensees to
 trustworthy and reliable,     section are           establish and
 and do not constitute an      trustworthy and       maintain an AA
 unreasonable risk to the      reliable, such that   program. The
 health and safety of the      they do not           requirement to
 public including a            constitute an         establish and
 potential to commit           unreasonable risk     maintain AA
 radiological sabotage.        to public health      programs would be
                               and safety or the     moved to proposed
                               common defense and    Sec.   73.56(a),
                               security, including   where it would be
                               the potential to      imposed on each
                               commit radiological   entity who would be
                               sabotage.             subject to the
                                                     section, for
                                                     organizational
                                                     clarity. The
                                                     performance
                                                     objective would be
                                                     revised to add
                                                     cross-references to
                                                     the categories of
                                                     individuals who
                                                     must be subject to
                                                     an authorization
                                                     program, as
                                                     specified in
                                                     proposed Sec.
                                                     73.56(b), because
                                                     the proposed rule
                                                     would require that
                                                     certain
                                                     individuals, in
                                                     addition to those
                                                     who have unescorted
                                                     physical access to
                                                     protected and vital
                                                     areas of a nuclear
                                                     power plant, would
                                                     be subject to the
                                                     AA program, as
                                                     discussed with
                                                     respect to Sec.
                                                     73.56(b).
                                                    In addition, the
                                                     phrase, ``common
                                                     defense and
                                                     security,'' would
                                                     be added to the
                                                     proposed paragraph
                                                     to convey the
                                                     purpose of
                                                     authorization
                                                     programs more
                                                     specifically, which
                                                     would include
                                                     protection of the
                                                     public from the
                                                     potential insider
                                                     activities defined
                                                     in current Sec.
                                                     73.1(a)(1)(B) and
                                                     (a)(2)(B).

[[Page 62740]]

 
Sec.   73.56(2) Except as     (d) Background        Proposed Sec.
 provided for in paragraphs    investigation. In     73.56(d) would
 (c) and (d) of this           order to grant        amend current Sec.
 section, the unescorted       unescorted access      73.56(b)(2)(i),
 access authorization          authorization to an   which requires
 program must include the      individual, the       authorization
 following: (i) A background   licensees,            programs to include
 investigation designed to     applicants and C/Vs   a background
 identify past actions which   specified in          investigation and
 are indicative of an          paragraph (a) of      describes the
 individual's future           this section shall    aspects of an
 reliability within a          ensure that the       individual's
 protected or vital area of    individual has been   background to be
 a nuclear power reactor. As   subject to a          investigated.
 a minimum, the background     background            Proposed Sec.
 investigation must verify     investigation. The    73.56(d) would
 an individual's * * *.        background            retain the
                               investigation must    requirements of the
                               include, but is not   current paragraph,
                               limited to, the       but increase the
                               following elements:   level of detail
                                                     with which they are
                                                     specified in
                                                     response to
                                                     implementation
                                                     questions from
                                                     licensees and in
                                                     order to increase
                                                     consistency among
                                                     authorization
                                                     programs, as
                                                     discussed in
                                                     Section IV.3.
                                                     Because the
                                                     requirements in the
                                                     proposed rule would
                                                     be more detailed,
                                                     the current
                                                     paragraph would be
                                                     restructured and
                                                     subdivided to
                                                     present
                                                     requirements for
                                                     each element of the
                                                     background
                                                     investigation in a
                                                     separate paragraph.
                                                     This change would
                                                     be made for
                                                     increased clarity
                                                     in the organization
                                                     of the rule. The
                                                     cross-references to
                                                     paragraphs (c) and
                                                     (d) in the current
                                                     provision would be
                                                     deleted because
                                                     they would no
                                                     longer apply in the
                                                     reorganized
                                                     section.
                                                    The proposed
                                                     provision would use
                                                     the phrase,
                                                     ``ensure that the
                                                     individual has been
                                                     subject to a
                                                     background
                                                     investigation,''
                                                     because completion
                                                     of every element of
                                                     a background
                                                     investigation may
                                                     not be required
                                                     each time an
                                                     individual applies
                                                     for UAA. As
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.46(h)(1)
                                                     and (h)(2), the
                                                     proposed rule would
                                                     permit licensees,
                                                     applicants, and C/
                                                     Vs, in order to
                                                     meet the
                                                     requirements of
                                                     this section, to
                                                     accept and rely on
                                                     certain background
                                                     investigation
                                                     elements,
                                                     psychological
                                                     assessments, and
                                                     behavioral
                                                     observation
                                                     training conducted
                                                     by other licensees,
                                                     applicants, and C/
                                                     Vs who are subject
                                                     this section. This
                                                     permission would
                                                     reduce unnecessary
                                                     regulatory burden
                                                     by eliminating
                                                     redundancies in
                                                     authorization
                                                     program elements
                                                     that cover the same
                                                     subject matter and
                                                     periods of time.
                                                     However, as
                                                     discussed with
                                                     respect to proposed
                                                     paragraphs (h) and
                                                     (i)(1) of this
                                                     section, the
                                                     proposed rule would
                                                     establish time
                                                     limits on the
                                                     permission to
                                                     accept and rely on
                                                     authorization
                                                     program elements to
                                                     which the
                                                     individual was
                                                     previously subject,
                                                     based upon how far
                                                     in the past the
                                                     background
                                                     investigation
                                                     element,
                                                     psychological
                                                     assessment, and
                                                     behavioral
                                                     observation
                                                     training was
                                                     conducted.
                                                    These time limits
                                                     are discussed in
                                                     more detail with
                                                     respect to the
                                                     specific provisions
                                                     in the proposed
                                                     rule that address
                                                     them.

[[Page 62741]]

 
                              (d)(1) Informed       Proposed Sec.
                               consent. The          73.56(d)(1) would
                               licensees,            require the
                               applicants, and C/    entities who are
                               Vs specified in       subject to this
                               paragraph (a) of      section to obtain
                               this section may      written consent
                               not initiate any      from any individual
                               element of a          who is applying for
                               background            UAA before the
                               investigation         licensee,
                               without the           applicant, or C/V
                               knowledge and         initiates any
                               written consent of    element of the
                               the subject           background
                               individual.           investigation that
                               Licensees,            is required in this
                               applicants, and C/    section. The
                               Vs shall inform the   practice of
                               individual of his     obtaining the
                               or her right to       individual's
                               review information    written consent for
                               collected to assure   the background
                               its accuracy and      investigation has
                               provide the           been endorsed by
                               individual with an    the NRC and
                               opportunity to        incorporated into
                               correct any           licensees' Physical
                               inaccurate or         Security Plans
                               incomplete            since Sec.   73.56
                               information that is   was first
                               developed by          promulgated. It is
                               licensees,            necessary to
                               applicants, and C/    protect the privacy
                               Vs about the          rights of
                               individual.           individuals who are
                                                     applying for UAA.
                                                     The proposed
                                                     paragraph would
                                                     also require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to inform the
                                                     individual of his
                                                     or her right to
                                                     review information
                                                     that is developed
                                                     by the licensee,
                                                     applicant, or C/V
                                                     to verify its
                                                     accuracy, and have
                                                     the opportunity to
                                                     correct any
                                                     misinformation.
                                                    Proposed Sec.
                                                     73.56(o)(6) would
                                                     further require the
                                                     licensee,
                                                     applicant, or C/V
                                                     to ensure that any
                                                     necessary
                                                     corrections are
                                                     made to information
                                                     about the
                                                     individual that has
                                                     been recorded in
                                                     the information-
                                                     sharing mechanism
                                                     that would be
                                                     required under
                                                     proposed Sec.
                                                     73.56(o)(6), as
                                                     discussed with
                                                     respect to that
                                                     paragraph. These
                                                     are also industry
                                                     practices that have
                                                     been endorsed by
                                                     the NRC and
                                                     incorporated into
                                                     licensees' Physical
                                                     Security Plans.
                                                     Permitting the
                                                     individual to
                                                     review and have the
                                                     opportunity to
                                                     correct personal
                                                     information that is
                                                     collected about him
                                                     or her is necessary
                                                     to maintain
                                                     individuals'
                                                     confidence in the
                                                     fairness of
                                                     authorization
                                                     programs by
                                                     protecting
                                                     individuals from
                                                     possible adverse
                                                     employment actions
                                                     that may result
                                                     from an inability
                                                     to gain unescorted
                                                     access to protected
                                                     areas, based upon
                                                     incorrect
                                                     information.
                                                     Requiring the
                                                     entities who are
                                                     subject to this
                                                     section to correct
                                                     information
                                                     contained in the
                                                     information-sharing
                                                     mechanism, as would
                                                     be required under
                                                     proposed Sec.
                                                     73.56(o)(6), is
                                                     necessary to
                                                     maintain the
                                                     integrity of the
                                                     personal
                                                     information shared
                                                     among the entities
                                                     who would be
                                                     subject to the
                                                     proposed section,
                                                     and the
                                                     effectiveness of AA
                                                     programs.

[[Page 62742]]

 
                              (d)(1)(i) The         Proposed Sec.
                               subject individual    73.56(d)(1)(i)
                               may withdraw his or   would specify that
                               her consent at any    an individual who
                               time. The licensee,   has given his or
                               applicant or C/V to   her written consent
                               whom the individual   for a background
                               has applied for       investigation under
                               unescorted access     proposed Sec.
                               authorization shall   73.56(d)(1) may
                               inform the            withdraw that
                               individual that--     consent at any
                              (A) Withdrawal of      time. However,
                               his or her consent    because a
                               will withdraw the     background
                               individual's          investigation is
                               current application   one of the
                               for access            requirements for
                               authorization under   granting UAA, and
                               the licensee's,       because the
                               applicant's or C/     background
                               V's authorization     investigation
                               program; and.         cannot be completed
                              (B) Other licensees,   without the subject
                               applicants and C/Vs   individual's
                               will have access to   consent, proposed
                               information           Sec.
                               documenting the       73.56(d)(1)(i)(A)
                               withdrawal through    would specify that
                               the information-      the licensee,
                               sharing mechanism     applicant, or C/V
                               required under        to whom the
                               paragraph (o)(6) of   individual has
                               this section..        applied for UAA
                                                     must inform the
                                                     individual who has
                                                     withdrawn consent
                                                     that withdrawal of
                                                     consent will
                                                     terminate the
                                                     individual's
                                                     current application
                                                     for UAA. In
                                                     addition, the
                                                     licensee,
                                                     applicant, or C/V
                                                     would be required
                                                     by proposed Sec.
                                                     73.56(d)(1)(i)(B)
                                                     to notify the
                                                     individual that
                                                     other licensees,
                                                     applicants, and C/
                                                     Vs will have access
                                                     to information
                                                     documenting the
                                                     withdrawal through
                                                     the information-
                                                     sharing mechanism
                                                     required under
                                                     proposed Sec.
                                                     73.56(o)(6). That
                                                     proposed paragraph
                                                     would require that
                                                     information
                                                     specified in the
                                                     licensee's or
                                                     applicant's
                                                     Physical Security
                                                     Plan about
                                                     individuals who
                                                     have applied for
                                                     UAA, must be
                                                     recorded and
                                                     retained in a
                                                     database that is
                                                     administered as an
                                                     information-sharing
                                                     mechanism by
                                                     licensees and
                                                     applicants subject
                                                     to Sec.   73.56.
                              (d)(1)(ii) If an      Proposed Sec.
                               individual            73.56(d)(1)(ii)
                               withdraws his or      would establish
                               her consent, the      several
                               licensees,            requirements
                               applicants and C/Vs   related to a
                               specified in          withdrawal of
                               paragraph (a) of      consent by an
                               this section may      individual who has
                               not initiate any      applied for UAA.
                               elements of the       The proposed
                               background            paragraph would
                               investigation that    require the
                               were not in           entities who are
                               progress at the       subject to this
                               time the individual   section to document
                               withdrew his or her   the individual's
                               consent, but shall    withdrawal of
                               complete any          consent, and
                               background            complete and
                               investigation         document any
                               elements that are     elements of the
                               in progress at the    background
                               time consent is       investigation that
                               withdrawn. In the     had been initiated
                               information-sharing   before the time at
                               mechanism required    which an individual
                               under paragraph       withdraws his or
                               (o)(6) of this        her consent, and
                               section, the          would prohibit the
                               licensee,             initiation of any
                               applicant, or C/V     element that was
                               shall record the      not in progress.
                               individual's          For example, if a
                               application for       licensee had
                               unescorted access     submitted a request
                               authorization; his    to a credit history
                               or her withdrawal     reporting agency
                               of consent for the    before an
                               background            individual withdrew
                               investigation; the    his or her consent,
                               reason given by the   the proposed
                               individual for the    paragraph would
                               withdrawal, if any;   require the
                               and any pertinent     licensee to
                               information           document the credit
                               collected from the    history information
                               background            that is obtained
                               investigation         about the
                               elements that were    individual, even if
                               completed.            the licensee
                                                     receives the credit
                                                     history report
                                                     after the date on
                                                     which the
                                                     individual withdrew
                                                     his or her consent.
                                                     However, if the
                                                     licensee had not
                                                     yet requested
                                                     information about
                                                     the individual's
                                                     military service
                                                     history at the time
                                                     the individual
                                                     withdraws consent,
                                                     the proposed
                                                     provision would
                                                     prohibit the
                                                     licensee from
                                                     initiating a
                                                     request for
                                                     military service
                                                     history
                                                     information. There
                                                     are many reasons
                                                     that an individual
                                                     may withdraw his or
                                                     her consent for the
                                                     background
                                                     investigation.

[[Page 62743]]

 
                                                    In most instances,
                                                     the reason that an
                                                     individual
                                                     withdraws his or
                                                     her consent is
                                                     legitimate, such as
                                                     a change in the
                                                     individual's work
                                                     assignment.
                                                     However, in some
                                                     instances, the NRC
                                                     is aware that
                                                     individuals have
                                                     withdrawn consent
                                                     for the background
                                                     investigation in
                                                     order to attempt to
                                                     prevent the
                                                     discovery of
                                                     adverse information
                                                     or the sharing of
                                                     adverse information
                                                     already discovered
                                                     about the
                                                     individual by the
                                                     licensee with other
                                                     licensees. If the
                                                     licensee were to
                                                     stop all
                                                     information
                                                     gathering at the
                                                     time at which the
                                                     individual withdrew
                                                     his or her consent,
                                                     the likelihood that
                                                     the adverse
                                                     information would
                                                     be discovered would
                                                     be reduced. As a
                                                     result, the
                                                     individual could be
                                                     afforded an
                                                     opportunity to
                                                     create a risk to
                                                     public health and
                                                     safety and the
                                                     common defense and
                                                     security by having
                                                     physical access to
                                                     a protected or
                                                     vital area, and
                                                     most importantly,
                                                     be in a position to
                                                     observe the
                                                     licensee's security
                                                     posture by
                                                     obtaining access to
                                                     a licensee facility
                                                     under escort,
                                                     because a rigorous
                                                     background
                                                     investigation is
                                                     not required for
                                                     individuals who
                                                     ``visit'' a nuclear
                                                     power plant under
                                                     escort.
                                                    Similarly, if
                                                     information that
                                                     had been requested
                                                     by the licensee,
                                                     such as a criminal
                                                     history report
                                                     under proposed Sec.
                                                       73.57
                                                     [Requirements for
                                                     criminal history
                                                     checks of
                                                     individuals granted
                                                     unescorted access
                                                     to a nuclear power
                                                     facility or access
                                                     to safeguards
                                                     information by
                                                     power reactor
                                                     licensees] of this
                                                     chapter or the
                                                     credit history
                                                     report under
                                                     proposed Sec.
                                                     73.56(d)(5), was
                                                     received by the
                                                     licensee after the
                                                     time the individual
                                                     withdrew consent
                                                     and contained
                                                     adverse
                                                     information, but
                                                     that adverse
                                                     information was not
                                                     documented in the
                                                     information-sharing
                                                     mechanism required
                                                     under proposed
                                                     paragraph (o)(6) of
                                                     this section, the
                                                     individual also
                                                     could be
                                                     inappropriately
                                                     permitted to visit
                                                     under escort the
                                                     same or another
                                                     site because the
                                                     adverse information
                                                     would not be
                                                     available for
                                                     review. Therefore,
                                                     the proposed
                                                     provisions would be
                                                     necessary to
                                                     maintain the
                                                     effectiveness of AA
                                                     programs in
                                                     protecting public
                                                     health and safety
                                                     and the common
                                                     defense and
                                                     security by
                                                     ensuring that all
                                                     available
                                                     information about
                                                     individuals who
                                                     have applied for
                                                     UAA is documented
                                                     and shared, while
                                                     also protecting the
                                                     privacy rights of
                                                     individuals by
                                                     initiating no
                                                     further elements of
                                                     the background
                                                     investigation when
                                                     an individual
                                                     withdraws his or
                                                     her consent.
                                                    The proposed
                                                     paragraph would
                                                     also require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to create a
                                                     record, accessible
                                                     to other licensees,
                                                     applicants, and C/
                                                     Vs, of the fact
                                                     that an individual
                                                     withdrew his or her
                                                     consent to the
                                                     background
                                                     investigation and
                                                     the reason for the
                                                     withdrawal. This
                                                     record would need
                                                     to be created in
                                                     the information-
                                                     sharing mechanism
                                                     required by
                                                     proposed Sec.
                                                     73.56(o)(6), in
                                                     order for
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to carry out the
                                                     notice requirement
                                                     in proposed Sec.
                                                     73.56(d)(1)(i)(B).

[[Page 62744]]

 
Sec.   73.56(4) Failure by    (d)(1)(iii) The
 an individual to report any   licensees,
 previous suspension,          applicants, and C/
 revocation, or denial of      Vs specified in
 unescorted access to          paragraph (a) of
 nuclear power reactors is     this section shall
 considered sufficient cause   inform, in writing,
 for denial of unescorted      any individual who
 access authorization.         is applying for
                               unescorted access
                               authorization that
                               the following
                               actions related to
                               providing and
                               sharing the
                               personal
                               information under
                               this section are
                               sufficient cause
                               for denial or
                               unfavorable
                               termination of
                               unescorted access
                               authorization:
                              (A) Refusal to
                               provide written
                               consent for the
                               background
                               investigation;.
                              (B) Refusal to
                               provide or the
                               falsification of
                               any personal
                               history information
                               required under this
                               section, including
                               the failure to
                               report any previous
                               denial or
                               unfavorable
                               termination of
                               unescorted access
                               authorization;
                               Proposed Sec.
                               73.56(d)(1)(iii)
                               would replace
                               current Sec.
                               73.56(b)(4). The
                               proposed paragraph
                               would retain the
                               intent of the
                               current provision
                               in proposed Sec.
                               73.56(d)(4), but
                               would add other
                               actions related to
                               providing and
                               sharing personal
                               information that
                               would be sufficient
                               cause for a
                               reviewing official
                               to deny or
                               unfavorably
                               terminate an
                               individual's UAA.
                               Proposed paragraph
                               (d)(1)(iii)(B) of
                               this section would
                               add falsification
                               of any personal
                               history information
                               as a sufficient
                               reason to deny or
                               unfavorably
                               terminate UAA in
                               order to deter
                               falsification
                               attempts..
                              (C) Refusal to        Proposed paragraph
                               provide written       (d)(1)(iii)(D) of
                               consent for the       this section would
                               sharing of personal   add failure to
                               information with      comply with the
                               other licensees,      arrest-reporting
                               applicants, or C/Vs   requirements of
                               required under        proposed paragraph
                               paragraph (d)(4)(v)   (g) of this section
                               of this section;      as a sufficient
                               and                   reason to deny or
                              (D) Failure to         unfavorably
                               report any arrests    terminate UAA in
                               or formal actions     order to deter
                               specified in          individuals from
                               paragraph (g) of      delaying or failing
                               this section..        to report such
                                                     incidents. The
                                                     additional actions
                                                     that would be
                                                     sufficient cause
                                                     for denial or
                                                     unfavorable
                                                     termination would
                                                     include: refusing
                                                     to provide written
                                                     consent for the
                                                     background
                                                     investigation that
                                                     would be required
                                                     under proposed
                                                     paragraph
                                                     (d)(1)(iii)(A) of
                                                     this section;
                                                     refusing to provide
                                                     personal history
                                                     information
                                                     required under
                                                     paragraph (d)(2) of
                                                     this section, in
                                                     proposed
                                                     (d)(1)(iii)(B); and
                                                     refusing to provide
                                                     written consent for
                                                     the individual's
                                                     personal
                                                     information to be
                                                     shared among the
                                                     entities who would
                                                     be subject to this
                                                     section that would
                                                     be required under
                                                     paragraph (d)(4)(v)
                                                     of this section, in
                                                     proposed paragraph
                                                     (d)(1)(iii)(C).

[[Page 62745]]

 
                                                    The proposed rule
                                                     would specify these
                                                     requirements for
                                                     the disclosure and
                                                     sharing of personal
                                                     information because
                                                     implementation of
                                                     the AA programs
                                                     required under this
                                                     section requires
                                                     individuals to
                                                     disclose and permit
                                                     the sharing of such
                                                     personal
                                                     information,
                                                     subject to the
                                                     protections of such
                                                     information that
                                                     would be provided
                                                     in proposed Sec.
                                                     73.56(m). The
                                                     proposed paragraph
                                                     would also require
                                                     the entities who
                                                     are subject to this
                                                     section to inform
                                                     individuals of the
                                                     potential
                                                     consequences of
                                                     these actions so
                                                     that individuals
                                                     understand the
                                                     requirements to
                                                     which they are
                                                     subject and,
                                                     therefore, would be
                                                     more likely to
                                                     comply with them.
                                                     The proposed
                                                     paragraph would
                                                     delete the terms,
                                                     ``suspension'' and
                                                     ``revocation,'' and
                                                     replace them with
                                                     the term,
                                                     ``unfavorable
                                                     termination.''
                                                     Historically, there
                                                     have been some
                                                     inconsistencies
                                                     between Sec.
                                                     73.56 access
                                                     authorization
                                                     requirements and
                                                     related
                                                     requirements in 10
                                                     CFR part 26 that
                                                     have led to
                                                     implementation
                                                     questions from
                                                     licensees, as well
                                                     as inconsistencies
                                                     in how the
                                                     licensees have
                                                     implemented the
                                                     requirements.
                                                    During the public
                                                     meetings discussed
                                                     in Section IV.3,
                                                     the stakeholders
                                                     provided examples
                                                     of ambiguities in
                                                     the terms used in
                                                     Sec.   73.56 and
                                                     how these
                                                     ambiguities and
                                                     lack of clarity in
                                                     Sec.   73.56 had
                                                     resulted in
                                                     unintended
                                                     consequences.
                                                     Therefore, to
                                                     address stakeholder
                                                     requests for
                                                     clarity and
                                                     consistently
                                                     describe the
                                                     actions of denying
                                                     UAA to an
                                                     individual and
                                                     terminating an
                                                     individual's UAA
                                                     for cause in
                                                     proposed Sec.
                                                     73.56, only the
                                                     terms, ``deny or
                                                     denial'' and
                                                     ``unfavorably
                                                     terminate or
                                                     unfavorable
                                                     termination,''
                                                     would be used in
                                                     the proposed
                                                     paragraph and
                                                     throughout the
                                                     proposed section.
                              (d)(2) Personal       Proposed Sec.
                               history disclosure.   73.56(d)(2) would
                              (i) Any individual     require an
                               who is applying for   individual who is
                               unescorted access     applying for UAA to
                               authorization shall   provide the
                               disclose the          personal
                               personal history      information that is
                               information that is   required under the
                               required by the       licensee's,
                               licensee's,           applicant's, or C/
                               applicant's, or C/    V's authorization
                               V's authorization     program, and any
                               program and any       information that
                               information that      may be necessary
                               may be necessary      for the reviewing
                               for the reviewing     official to
                               official to make a    evaluate the
                               determination of      individual's
                               the individual's      trustworthiness and
                               trustworthiness and   reliability. The
                               reliability..         proposed provision
                                                     would be added to
                                                     impose a
                                                     requirement on
                                                     individuals to
                                                     divulge personal
                                                     information in
                                                     order to be granted
                                                     UAA, in response to
                                                     stakeholder
                                                     requests at the
                                                     public meetings
                                                     discussed in
                                                     Section IV.3.

[[Page 62746]]

 
                                                    The proposed
                                                     paragraph would not
                                                     specify the nature
                                                     of the information
                                                     that individuals
                                                     may be required to
                                                     disclose because
                                                     the information may
                                                     vary widely,
                                                     depending upon a
                                                     number of factors,
                                                     including, but not
                                                     limited to, whether
                                                     or not the
                                                     individual has
                                                     previously held
                                                     UAA; the length of
                                                     time that has
                                                     elapsed since his
                                                     or her last period
                                                     of UAA was
                                                     terminated; the job
                                                     duties and
                                                     responsibilities
                                                     that the individual
                                                     would perform for
                                                     which UAA is
                                                     required; and
                                                     whether any adverse
                                                     information about
                                                     the individual is
                                                     disclosed or
                                                     discovered as a
                                                     result of the
                                                     background
                                                     investigation,
                                                     psychological
                                                     assessment, or the
                                                     suitable inquiry
                                                     and drug and
                                                     alcohol testing
                                                     required under part
                                                     26 of this chapter.
                                                     Although the amount
                                                     and nature of
                                                     information to be
                                                     disclosed would
                                                     vary depending on
                                                     the factors
                                                     described,
                                                     individuals
                                                     applying for UAA
                                                     would be required
                                                     to disclose some
                                                     personal history
                                                     information each
                                                     time he or she
                                                     applies for UAA, as
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(h)
                                                     [Granting
                                                     unescorted access
                                                     authorization].
                              (d)(2)(ii)            Proposed Sec.
                               Licensees,            73.56(d)(2)(ii)
                               applicants, and C/    would prohibit a
                               Vs may not require    licensee,
                               an individual to      applicant, or C/V
                               disclose an           from requiring an
                               administrative        individual to
                               withdrawal of         report an
                               unescorted access     administrative
                               authorization under   withdrawal of UAA
                               the requirements of   that may be
                               paragraphs (g),       required under
                               (h)(7), or            proposed Sec.
                               (i)(1)(v) of this     73.56(g), (h)(7),
                               section, if the       or (i)(1)(v),
                               individual's          except if the
                               unescorted access     information
                               authorization was     developed or
                               not subsequently      discovered about
                               denied or             the individual
                               terminated            during the period
                               unfavorably by a      of the
                               licensee,             administrative
                               applicant, or C/V.    withdrawal resulted
                                                     in a denial or
                                                     unfavorable
                                                     termination of the
                                                     individual's UAA.
                                                     The proposed
                                                     paragraph would
                                                     ensure that a
                                                     temporary
                                                     administrative
                                                     withdrawal of an
                                                     individual's UAA,
                                                     caused by an
                                                     administrative
                                                     delay in completing
                                                     an evaluation of
                                                     any formal legal
                                                     action, or any
                                                     portion of a
                                                     background
                                                     investigation, re-
                                                     investigation, or
                                                     psychological
                                                     assessment or re-
                                                     assessment that is
                                                     not under the
                                                     individual's
                                                     control, would not
                                                     be treated as an
                                                     unfavorable
                                                     termination, except
                                                     if the reviewing
                                                     official determines
                                                     that the delayed
                                                     information
                                                     requires denial or
                                                     unfavorable
                                                     termination of the
                                                     individual's UAA.
                                                     This proposed
                                                     provision would be
                                                     necessary to
                                                     maintain the
                                                     public's and
                                                     individuals'
                                                     confidence in the
                                                     fairness of AA
                                                     programs by
                                                     protecting
                                                     individuals from
                                                     possible adverse
                                                     employment actions
                                                     that may be based
                                                     upon administrative
                                                     delays for which
                                                     they are not
                                                     responsible.

[[Page 62747]]

 
Sec.   73.56(b)(2)(i) * * *   (d)(3) Verification   Proposed Sec.
 true identity, and develop    of true identity.     73.56(d)(3) would
 information concerning an     Licensees,            expand on the
 individual's employment       applicants, and C/    portion of current
 history, education history,   Vs shall verify the   Sec.
 credit history, criminal      true identity of an   73.56(b)(2)(i) that
 history, military service,    individual who is     requires licensees
 and verify an individual's    applying for          to verify an
 character and reputation.     unescorted access     individual's true
                               authorization in      identity. The
                               order to ensure       proposed paragraph
                               that the applicant    would require the
                               is the person that    entities who are
                               he or she has         subject to this
                               claimed to be. At a   section, at a
                               minimum, licensees,   minimum, to
                               applicants, and C/    validate the social
                               Vs shall validate     security number, or
                               the social security   in the case of
                               number that the       foreign nationals,
                               individual has        the alien
                               provided, and, in     registration
                               the case of foreign   number, that the
                               nationals, the        individual has
                               alien registration    provided to the
                               number that the       licensee, applicant
                               individual            or C/V. The term,
                               provides. In          ``validation,''
                               addition,             would be used in
                               licensees,            the proposed
                               applicants, and C/    paragraph to
                               Vs shall also         indicate that
                               determine whether     licensees,
                               the results of the    applicants and C/Vs
                               fingerprinting        would be required
                               required under Sec.   to take steps to
                                 73.21 confirm the   access information
                               individual's          in addition to that
                               claimed identity,     provided by the
                               if such results are   individual from
                               available.            other reliable
                                                     sources to ensure
                                                     that the personal
                                                     identifying
                                                     information the
                                                     individual has
                                                     provided to the
                                                     licensee is
                                                     authentic. This
                                                     validation could be
                                                     achieved through a
                                                     variety of means,
                                                     including, but not
                                                     limited to,
                                                     accessing
                                                     information from
                                                     databases that are
                                                     maintained by the
                                                     Federal Government,
                                                     or evaluating an
                                                     accumulation of
                                                     information, such
                                                     as comparing the
                                                     social security
                                                     number the
                                                     individual provided
                                                     to the social
                                                     security number(s)
                                                     included in a
                                                     credit history
                                                     report and
                                                     information
                                                     obtained from other
                                                     sources.
                                                    The proposed
                                                     paragraph would
                                                     also require using
                                                     the information
                                                     obtained from
                                                     fingerprinting
                                                     individuals, as
                                                     required under
                                                     proposed Sec.
                                                     73.21, to confirm
                                                     an individual's
                                                     identity, if that
                                                     information is
                                                     available. The
                                                     proposed
                                                     requirement
                                                     clarifies the NRC's
                                                     intent with respect
                                                     to this portion of
                                                     the background
                                                     investigation.
Sec.   73.56(b)(2)(i) * * *   (d)(4) Employment     Proposed Sec.
 and develop information       history evaluation.   73.56(d)(4) would
 concerning an individual's    Licensees,            amend the portion
 employment history * * *.     applicants, and C/    of current Sec.
                               Vs shall ensure       73.56(b)(2)(i) that
                               that an employment    requires licensees
                               history evaluation    to develop
                               has been completed,   information
                               by questioning the    concerning an
                               individual's          individual's
                               present and former    employment history,
                               employers, and by     education history,
                               determining the       and military
                               activities of         service. This
                               individuals while     paragraph would be
                               unemployed.           added in response
                                                     to many
                                                     implementation
                                                     questions about
                                                     these requirements
                                                     from licensees.
                                                     Because the
                                                     proposed paragraph
                                                     would add several
                                                     clarifications of
                                                     the current
                                                     requirements, it
                                                     would be subdivided
                                                     to present each
                                                     requirement
                                                     separately for
                                                     organizational
                                                     clarity in the
                                                     rule. Considered
                                                     together, the
                                                     requirements of
                                                     proposed Sec.
                                                     73.56(d)(4) would
                                                     clarify the NRC's
                                                     intent that periods
                                                     of unemployment,
                                                     education, and
                                                     military service
                                                     must be evaluated
                                                     only if the
                                                     individual claims
                                                     them instead of
                                                     typical civilian
                                                     employment.

[[Page 62748]]

 
                                                    Proposed Sec.
                                                     73.56(d)(4) would
                                                     require licensees,
                                                     applicants, and C/
                                                     Vs to demonstrate a
                                                     best effort to
                                                     complete the
                                                     employment history
                                                     evaluation. The
                                                     term, ``best
                                                     effort,'' would be
                                                     added to clarify
                                                     the requirements
                                                     and increase
                                                     consistency between
                                                     Sec.   73.56 and
                                                     related
                                                     requirements in 10
                                                     CFR 26.27(a). The
                                                     best effort
                                                     criterion
                                                     recognizes
                                                     licensees',
                                                     applicants', and C/
                                                     Vs' status as
                                                     commercial entities
                                                     with no legal
                                                     authority to
                                                     require the release
                                                     of the information
                                                     from other private
                                                     employers and
                                                     educational
                                                     institutions.
                                                     Because of privacy
                                                     and potential
                                                     litigation
                                                     concerns, some
                                                     private employers
                                                     and educational
                                                     institutions may be
                                                     unable or unwilling
                                                     to release
                                                     qualitative
                                                     information about a
                                                     former employee or
                                                     student. Therefore,
                                                     the best effort
                                                     criterion would
                                                     first require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to seek
                                                     employment
                                                     information from
                                                     the primary source
                                                     (e.g. a company,
                                                     private employer,
                                                     or educational
                                                     institution that
                                                     the applicant has
                                                     listed on his or
                                                     her employment
                                                     history), but
                                                     recognizes that it
                                                     may not be
                                                     forthcoming. In
                                                     this case a
                                                     licensee,
                                                     applicant, or C/V
                                                     would be required
                                                     to seek information
                                                     from an alternate,
                                                     secondary source
                                                     when the
                                                     information from
                                                     the primary source
                                                     is unavailable.
                                                    The proposed
                                                     provision would use
                                                     the phrase,
                                                     ``ensure that the
                                                     employment history
                                                     evaluation has been
                                                     completed,''
                                                     because a licensee,
                                                     applicant, or C/V
                                                     may not be required
                                                     to conduct an
                                                     employment history
                                                     evaluation for
                                                     every individual
                                                     who applies for
                                                     UAA. As discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(h)(3) and
                                                     (h)(4), the
                                                     proposed rule would
                                                     permit licensees,
                                                     applicants, and C/
                                                     Vs to accept and
                                                     rely on elements of
                                                     the background
                                                     investigations,
                                                     psychological
                                                     assessments, and
                                                     behavioral
                                                     observation
                                                     training conducted
                                                     by other entities
                                                     who are subject to
                                                     this section to
                                                     meet the
                                                     requirements of
                                                     this section.
                                                     Therefore, the need
                                                     for and extent of
                                                     the employment
                                                     history evaluation
                                                     would vary,
                                                     depending upon how
                                                     much recent
                                                     information was
                                                     available to the
                                                     licensee,
                                                     applicant, or C/V
                                                     from any previous
                                                     periods during
                                                     which the
                                                     individual may have
                                                     held UAA. In the
                                                     case of individuals
                                                     whose UAA has been
                                                     interrupted for 30
                                                     or fewer days,
                                                     proposed Sec.
                                                     73.56(h) would not
                                                     require an
                                                     employment history
                                                     evaluation for the
                                                     reasons discussed
                                                     with respect to
                                                     that paragraph.

[[Page 62749]]

 
                                                    However, proposed
                                                     Sec.   73.56(h)
                                                     would establish
                                                     time limits on the
                                                     permission to
                                                     accept and rely on
                                                     AA program elements
                                                     to which the
                                                     individual was
                                                     previously subject,
                                                     based upon how far
                                                     in the past the
                                                     background
                                                     investigation,
                                                     psychological
                                                     assessment, and
                                                     behavioral
                                                     observation
                                                     training elements
                                                     were completed.
                                                     These time limits
                                                     are discussed in
                                                     more detail with
                                                     respect to the
                                                     specific provisions
                                                     in the proposed
                                                     rule that address
                                                     them. The proposed
                                                     provision would
                                                     also require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to determine the
                                                     activities of
                                                     individuals during
                                                     periods in which
                                                     the individual was
                                                     unemployed. The
                                                     proposed rule would
                                                     add this
                                                     requirement to make
                                                     certain that,
                                                     during the periods
                                                     that individuals
                                                     claim to have been
                                                     unemployed, (1)
                                                     they were not
                                                     engaged in
                                                     activities that may
                                                     reflect adversely
                                                     on their
                                                     trustworthiness and
                                                     reliability, such
                                                     as confinement for
                                                     periods of
                                                     incarceration or in-
                                                     patient drug or
                                                     alcohol treatment,
                                                     or (2) they
                                                     intentionally
                                                     failed to disclose
                                                     periods of
                                                     employment that
                                                     were ended
                                                     unfavorably.
                              (d)(4)(i) For the     A new Sec.
                               claimed employment    73.56(d)(4)(i)
                               period, the           would specify the
                               employment history    purpose of the
                               evaluation must       employment history
                               ascertain the         evaluation, which
                               reason for            would be to
                               termination,          ascertain
                               eligibility for       information about
                               rehire, and other     the individual's
                               information that      trustworthiness and
                               could reflect on      reliability, and
                               the individual's      the types of
                               trustworthiness and   information that
                               reliability.          the licensee,
                                                     applicant, or C/V
                                                     would seek from
                                                     employers regarding
                                                     an individual who
                                                     is applying for
                                                     UAA. The proposed
                                                     paragraph would
                                                     require the
                                                     entities who are
                                                     subject to this
                                                     section to
                                                     ascertain,
                                                     consistent with the
                                                     ``best effort''
                                                     criterion
                                                     established in
                                                     proposed Sec.
                                                     73.56(d)(4), the
                                                     reason that the
                                                     individual's
                                                     employment was
                                                     terminated, his or
                                                     her eligibility for
                                                     rehire, and other
                                                     information that
                                                     could reflect on
                                                     the individual's
                                                     trustworthiness and
                                                     reliability. The
                                                     term,
                                                     ``ascertain,''
                                                     would be used in
                                                     the proposed
                                                     paragraph because
                                                     it is consistent
                                                     with the
                                                     terminology used by
                                                     the industry to
                                                     refer to the
                                                     actions taken with
                                                     respect to
                                                     conducting the
                                                     employment history
                                                     evaluation and
                                                     would, therefore,
                                                     improve the clarity
                                                     of this requirement
                                                     for those who must
                                                     implement it.
                                                    In addition, there
                                                     may be instances in
                                                     which it is
                                                     unnecessary for a
                                                     licensee,
                                                     applicant, or C/V
                                                     to conduct the
                                                     employment history
                                                     evaluation, as
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(d)(4),
                                                     because proposed
                                                     Sec.   73.56(h)(2)
                                                     would permit the
                                                     entities who
                                                     implement
                                                     authorization
                                                     programs to rely on
                                                     employment history
                                                     evaluations
                                                     conducted by other
                                                     entities who are
                                                     subject to this
                                                     section. In such
                                                     cases, the
                                                     licensee's,
                                                     applicant's, or C/
                                                     V's reviewing
                                                     official would not
                                                     review information
                                                     that was developed
                                                     under his or her AA
                                                     program, but would
                                                     ascertain the
                                                     subject
                                                     individual's
                                                     employment history
                                                     by reviewing
                                                     information that
                                                     had been collected
                                                     by others. The
                                                     proposed
                                                     requirement would
                                                     be added in
                                                     response to
                                                     implementation
                                                     questions that have
                                                     arisen about the
                                                     employment history
                                                     check that is
                                                     required in current
                                                     Sec.
                                                     73.56(b)(2)(i).

[[Page 62750]]

 
Sec.   73.56(b)(2)(i) * * *   (d)(4)(ii) If the     Proposed Sec.
 the background                claimed employment    73.56(d)(4)(ii)
 investigation must * * *      was military          would amend the
 develop information           service, the          portion of current
 concerning an individual's    licensee,             Sec.   73.56(2)(i)
 * * * military service * *    applicant, or C/V     that requires
 *.                            who is conducting     licensees to
                               the employment        develop information
                               history evaluation    about an
                               shall request a       individual's
                               characterization of   military service.
                               service, reason for   The proposed
                               separation, and any   paragraph would
                               disciplinary          clarify the NRC's
                               actions that could    intent that
                               affect a              verification and
                               trustworthiness and   characterization of
                               reliability           the individual's
                               determination.        military service
                                                     would be required
                                                     only if the
                                                     individual claims
                                                     military service as
                                                     employment within
                                                     the periods during
                                                     which the
                                                     individual would be
                                                     required to
                                                     disclose his or her
                                                     employment history,
                                                     as specified in
                                                     proposed Sec.
                                                     73.56(h) [Granting
                                                     unescorted access
                                                     authorization].
                                                     This clarification
                                                     would respond to
                                                     implementation
                                                     questions from
                                                     licensees and
                                                     stakeholder
                                                     requests at the
                                                     public meetings
                                                     discussed in
                                                     Section IV.3.
Sec.   73.56(b)(2)(i) * * *   (d)(4)(iii) Periods   Proposed Sec.
 and develop information       of self-employment    73.56(d)(4)(iii)
 concerning an individual's    or unemployment may   would be added at
 * * * education history, *    be verified by any    the request of
 * *.                          reasonable method.    stakeholders at the
                               If education is       public meetings
                               claimed in lieu of    discussed in
                               employment, the       Section IV.3 to
                               licensee,             clarify the NRC's
                               applicant, or C/V     intent with respect
                               shall request         to periods of self-
                               information that      employment,
                               could reflect on      unemployment, or
                               the individual's      education, if the
                               trustworthiness and   individual claims
                               reliability and, at   such activities
                               a minimum, verify     within the periods
                               that the individual   during which the
                               was actively          individual would be
                               participating in      required to
                               the educational       disclose his or her
                               process during the    employment history,
                               claimed period.       as specified in
                                                     proposed Sec.
                                                     73.56(h).
                                                    The proposed
                                                     paragraph would
                                                     permit licensees,
                                                     applicants, and C/
                                                     Vs to use any
                                                     reasonable means,
                                                     consistent with the
                                                     ``best effort''
                                                     criterion discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(d)(4), to
                                                     verify the
                                                     individual's
                                                     activities during
                                                     claimed periods of
                                                     self-employment and
                                                     unemployment.
                                                     Reasonable means to
                                                     verify the
                                                     individual's
                                                     activities may
                                                     include, but would
                                                     not be limited to,
                                                     a review of
                                                     business or tax
                                                     records documenting
                                                     the individual's
                                                     self-employment,
                                                     copies of
                                                     unemployment
                                                     compensation
                                                     checks, or
                                                     interviews with
                                                     business associates
                                                     or acquaintances.
                                                     To verify education
                                                     in lieu of
                                                     employment, the
                                                     proposed paragraph
                                                     would require the
                                                     entities who are
                                                     subject to this
                                                     section to request
                                                     information from
                                                     the claimed
                                                     educational
                                                     institution that
                                                     could reflect on
                                                     the individual's
                                                     trustworthiness and
                                                     reliability.
                                                     However, for
                                                     reasons that are
                                                     similar to those
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(d)(4),
                                                     the NRC recognizes
                                                     that it may be
                                                     difficult to obtain
                                                     information from an
                                                     educational
                                                     institution about
                                                     the individual's
                                                     behavior while a
                                                     student. Therefore,
                                                     the proposed
                                                     paragraph would
                                                     permit licensees,
                                                     applicants, and C/
                                                     Vs to verify, at a
                                                     minimum, that the
                                                     applicant was
                                                     attending and
                                                     actively
                                                     participating in
                                                     school during the
                                                     claimed period(s).

[[Page 62751]]

 
                              (d)(4)(iv) If a       Proposed Sec.
                               company, previous     73.56(d)(4)(iv)
                               employer, or          would further
                               educational           clarify the NRC's
                               institution to whom   intent with respect
                               the licensee,         to the actions that
                               applicant, or C/V     licensees,
                               has directed a        applicants, and C/
                               request for           Vs would take to
                               information refuses   meet the best
                               to provide            effort criterion in
                               information or        proposed Sec.
                               indicates an          73.56(d)(4), in
                               inability or          response to many
                               unwillingness to      implementation
                               provide information   questions received
                               within 3 business     from licensees. The
                               days of the           proposed paragraph
                               request, the          would address
                               licensee,             circumstances in
                               applicant, or C/V     which a primary
                               shall document this   source of
                               refusal, inability,   information refuses
                               or unwillingness in   to provide
                               the licensee's,       employment
                               applicant's, or C/    information or
                               V's record of the     indicates an
                               investigation, and    inability or
                               obtain a              unwillingness to
                               confirmation of       provide it within 3
                               employment or         days of the
                               educational           request. Licensees
                               enrollment and        and other entities
                               attendance from at    would be required
                               least one alternate   to document that
                               source, with          the request for
                               questions answered    information was
                               to the best of the    directed to the
                               alternate source's    primary source and
                               ability. This         the nature of the
                               alternate source      response (i.e., a
                               may not have been     refusal, inability,
                               previously used by    or unwillingness).
                               the licensee,         If a licensee,
                               applicant, or C/V     applicant, or C/V
                               to obtain             encounters such
                               information about     circumstances, the
                               the individual's      proposed paragraph
                               character and         would require the
                               reputation. If the    licensee,
                               licensee,             applicant, permit,
                               applicant, or C/V     or C/V to seek
                               uses an alternate     employment history
                               source because        information from an
                               employment            alternate source,
                               information is not    to the extent of
                               forthcoming within    the alternate
                               3 business days of    source's ability to
                               the request, the      provide the
                               licensee,             information. An
                               applicant, or C/V     alternate source
                               need not delay        may include, but
                               granting unescorted   would not be
                               access                limited to, a co-
                               authorization to      worker or
                               wait for any          supervisor at the
                               employer response,    same company who
                               but shall evaluate    had personal
                               and document the      knowledge of the
                               response if it is     applicant, if such
                               received.             an individual could
                                                     be located.
                                                    However, the
                                                     proposed rule would
                                                     prohibit the
                                                     licensee,
                                                     applicant, or C/V
                                                     from using the
                                                     alternate source of
                                                     employment
                                                     information to meet
                                                     the requirements in
                                                     proposed Sec.
                                                     73.56(d)(6) for a
                                                     character
                                                     reference, in order
                                                     to ensure that the
                                                     scope of the
                                                     background
                                                     investigation is
                                                     sufficiently broad
                                                     to provide high
                                                     assurance that
                                                     individuals who are
                                                     granted UAA are
                                                     trustworthy and
                                                     reliable. The
                                                     proposed paragraph
                                                     would permit
                                                     licensees and other
                                                     entities to grant
                                                     UAA, if warranted,
                                                     when a response has
                                                     been obtained from
                                                     an alternate
                                                     source, without
                                                     waiting more than 3
                                                     days after the
                                                     request for
                                                     information was
                                                     directed to a
                                                     primary source. The
                                                     3-day period would
                                                     be established
                                                     because industry
                                                     and NRC experience
                                                     in implementing
                                                     current Sec.
                                                     73.56 has shown
                                                     that if an employer
                                                     or educational
                                                     institution intends
                                                     to respond to the
                                                     request for
                                                     information, the
                                                     response will be
                                                     forthcoming within
                                                     this period.
                                                     Therefore, there is
                                                     no added benefit to
                                                     public health and
                                                     safety or the
                                                     common defense and
                                                     security in
                                                     requiring
                                                     licensees,
                                                     applicants, or C/Vs
                                                     to wait longer than
                                                     3 days before
                                                     implementing the
                                                     alternative methods
                                                     of meeting the
                                                     employment history
                                                     evaluation
                                                     requirements that
                                                     would be permitted
                                                     in the proposed
                                                     paragraph.

[[Page 62752]]

 
                                                    However, should the
                                                     licensee,
                                                     applicant, or C/V
                                                     receive an employer
                                                     response to the
                                                     request for
                                                     information after
                                                     the 3-day period,
                                                     the proposed
                                                     paragraph would
                                                     require that the
                                                     implications of the
                                                     information must be
                                                     evaluated with
                                                     respect to the
                                                     individual's
                                                     trustworthiness and
                                                     reliability and the
                                                     information
                                                     documented, so that
                                                     it is available to
                                                     other licensees,
                                                     applicants, and C/
                                                     Vs. These changes
                                                     would be made to
                                                     reduce unnecessary
                                                     regulatory burden
                                                     while maintaining
                                                     high assurance that
                                                     individuals who are
                                                     subject to an AA
                                                     program are
                                                     trustworthy and
                                                     reliable.
                              (d)(4)(v) When any    Proposed Sec.
                               licensee,             73.56(d)(v) would
                               applicant, or C/V     require licensees,
                               specified in          applicants, and C/
                               paragraph (a) of      Vs who are subject
                               this section is       to this section to
                               legitimately          share employment
                               seeking the           history information
                               information           that they have
                               required for an       collected, if
                               unescorted access     contacted by
                               authorization         another licensee,
                               decision under this   applicant, or C/V
                               section and has       who has a release
                               obtained a signed     signed by the
                               release from the      individual who is
                               subject individual    applying for UAA
                               authorizing the       that would permit
                               disclosure of such    the sharing of that
                               information, a        information. This
                               licensee,             proposed provision
                               applicant, or C/V     would amend the
                               who is subject to     requirement to
                               this section shall    release employment
                               disclose whether      history information
                               the subject           in current Sec.
                               individual's          73.56(f)(2) and
                               unescorted access     would be consistent
                               authorization was     with related
                               denied or             requirements in 10
                               terminated            CFR part 26. The
                               unfavorably. The      proposed provision
                               licensee,             would also clarify
                               applicant, or C/V     that the
                               who receives the      information must
                               request for           also be released to
                               information shall     C/Vs who have
                               make available the    authorization to
                               information upon      programs when the C/
                               which the denial or   V has obtained the
                               unfavorable           required signed
                               termination of        release from the
                               unescorted access     applicant. This
                               authorization was     proposed
                               based.                clarification is
                                                     necessary because
                                                     some licensees have
                                                     misinterpreted
                                                     current Sec.
                                                     73.56(f)(2) as
                                                     prohibiting the
                                                     release of
                                                     employment history
                                                     information to C/Vs
                                                     who administer
                                                     authorization
                                                     programs under this
                                                     section. These
                                                     requirements are
                                                     necessary to ensure
                                                     that adequate
                                                     information to
                                                     serve as a basis
                                                     for UAA decisions
                                                     can be obtained by
                                                     a licensee,
                                                     applicant, or C/V.
                              (d)(4)(vi) In         Proposed Sec.
                               conducting an         73.56(d)(4)(vi)
                               employment history    would permit
                               evaluation, the       licensees,
                               licensee,             applicants, and C/
                               applicant, or C/V     Vs to use
                               may obtain            electronic means of
                               information and       obtaining the
                               documents by          employment history
                               electronic means,     information to
                               including, but not    increase the
                               limited to,           efficiency with
                               telephone,            which licensees,
                               facsimile, or         applicants, and C/V
                               email. The            could obtain the
                               licensee,             employment history
                               applicant, or C/V     information. The
                               shall make a record   proposed paragraph
                               of the contents of    would be added in
                               the telephone call    response to
                               and shall retain      stakeholder
                               that record, and      requests at the
                               any documents or      public meetings
                               files obtained        discussed in
                               electronically, in    Section IV.3, and
                               accordance with       would be consistent
                               paragraph (o) of      with related
                               this section.         requirements in 10
                                                     CFR part 26. The
                                                     proposed paragraph
                                                     would also add a
                                                     cross-reference to
                                                     the applicable
                                                     records retention
                                                     requirement in
                                                     proposed Sec.
                                                     73.56(o) [Records]
                                                     to ensure that
                                                     licensees,
                                                     applicants, and C/
                                                     Vs are aware of the
                                                     applicability of
                                                     these requirements
                                                     to the employment
                                                     history information
                                                     obtained
                                                     electronically.

[[Page 62753]]

 
Sec.   73.56(b)(2)(i) * * *   (d)(5) Credit         Proposed Sec.
 and develop information       history evaluation.   73.56(d)(5) would
 concerning an individual's    The licensees,        retain the
 * * * credit history, * * *.  applicants, and C/    requirement for a
                               Vs specified in       credit history
                               paragraph (a) of      evaluation that is
                               this section shall    embedded in current
                               ensure that the       Sec.
                               full credit history   73.56(b)(2)(i) and
                               of any individual     provide more
                               who is applying for   detailed
                               unescorted access     requirements, in
                               authorization has     response to
                               been evaluated. A     stakeholder
                               full credit history   requests at the
                               evaluation must       public meetings
                               include, but would    discussed in
                               not be limited to,    Section IV.3. The
                               an inquiry to         proposed paragraph
                               detect potential      would require the
                               fraud or misuse of    credit history
                               social security       evaluation to
                               numbers or other      include an inquiry
                               financial             to detect any past
                               identifiers, and a    instances of fraud
                               review and            or misuse of social
                               evaluation of all     security numbers or
                               of the information    other financial
                               that is provided by   identifiers. This
                               a national credit-    requirement would
                               reporting agency      be added because
                               about the             most credit-
                               individual's credit   reporting agencies
                               history.              require a specific
                                                     request for this
                                                     information before
                                                     they report it, and
                                                     the NRC has
                                                     determined that
                                                     instances of fraud
                                                     or misuse of
                                                     financial
                                                     identifiers, such
                                                     as social security
                                                     numbers or the
                                                     names that an
                                                     individual has
                                                     used, may provide
                                                     important
                                                     information about
                                                     an individual's
                                                     trustworthiness and
                                                     reliability. The
                                                     proposed paragraph
                                                     would also require
                                                     the entities who
                                                     are subject to this
                                                     section to review
                                                     all of the
                                                     information that is
                                                     provided by the
                                                     national credit-
                                                     reporting agency,
                                                     as part of the
                                                     background
                                                     investigation
                                                     process.
                                                    The proposed
                                                     paragraph would use
                                                     the term, ``full''
                                                     to convey that
                                                     there is no time
                                                     limit on the number
                                                     of years of credit
                                                     history information
                                                     that the reviewing
                                                     official would
                                                     consider or other
                                                     limitations on
                                                     using information
                                                     contained in the
                                                     credit history
                                                     report to assist in
                                                     determining the
                                                     individual's
                                                     trustworthiness and
                                                     reliability. In the
                                                     past, licensees' AA
                                                     program procedures
                                                     limited the number
                                                     of years of the
                                                     individual's credit
                                                     history that
                                                     reviewing officials
                                                     were required to
                                                     consider in
                                                     determining an
                                                     individual's
                                                     trustworthiness and
                                                     reliability. As a
                                                     result, some
                                                     reviewing officials
                                                     may not have
                                                     considered credit
                                                     history information
                                                     for several years,
                                                     even if the
                                                     reporting agency
                                                     provided it. As a
                                                     result, individuals
                                                     who were subject to
                                                     different
                                                     authorization
                                                     programs were
                                                     evaluated
                                                     inconsistently.
                                                     Furthermore, credit
                                                     history reporting
                                                     agencies also
                                                     provide employment
                                                     data that can be
                                                     compared to the
                                                     information
                                                     disclosed by the
                                                     applicant for UAA
                                                     to validate the
                                                     individual's
                                                     disclosure.
                                                     However, some AA
                                                     program procedures
                                                     did not require the
                                                     reviewing official
                                                     to make this
                                                     comparison.
                                                    Therefore, the
                                                     proposed paragraph
                                                     would require the
                                                     reviewing official
                                                     to consider the
                                                     ``full'' credit
                                                     history report, in
                                                     order to strengthen
                                                     the effectiveness
                                                     of the credit
                                                     history evaluation
                                                     element of AA
                                                     programs and
                                                     increase the
                                                     consistency with
                                                     which licensees,
                                                     applicants, and C/
                                                     Vs would conduct
                                                     the credit history
                                                     evaluation.

[[Page 62754]]

 
Sec.   73.56(b)(2)(i) * * *   (d)(6) Character and  Proposed Sec.
 and develop information       reputation. The       73.56(d)(6) would
 concerning an individual's    licensees,            expand on the
 * * * character and           applicants, and C/    requirement in
 reputation.                   Vs specified in       current Sec.
                               paragraph (a) of      73.56(b)(2)(i) for
                               this section shall    licensees to verify
                               ascertain the         an individual's
                               character and         character and
                               reputation of an      reputation. The
                               individual who has    proposed provision
                               applied for           would require the
                               unescorted access     entities who
                               authorization by      implement AA
                               conducting            programs to develop
                               reference checks.     information about
                               Reference checks      an individual's
                               may not be            trustworthiness and
                               conducted with any    reliability by
                               person who is known   contacting and
                               to be a close         interviewing
                               member of the         associates of the
                               individual's          individual who
                               family, including     would have
                               but not limited to,   knowledge of his or
                               the individual's      her character and
                               spouse, parents,      reputation, but who
                               siblings, or          would not be a
                               children, or any      member of the
                               individual who        individual's
                               resides in the        immediate family or
                               individual's          reside in his or
                               permanent             her household.
                               household. The        Family and
                               reference checks      household members
                               must focus on the     would be excluded
                               individual's          because these
                               reputation for        individuals are
                               trustworthiness and   typically reluctant
                               reliability.          to reveal any
                                                     adverse
                                                     information, if it
                                                     exists. The term,
                                                     ``ascertain,''
                                                     would replace
                                                     ``verify,'' in the
                                                     proposed paragraph
                                                     because it is
                                                     consistent with the
                                                     terminology used by
                                                     the industry to
                                                     refer to the
                                                     actions taken with
                                                     respect to
                                                     determining an
                                                     individual's
                                                     character and
                                                     reputation and
                                                     would, therefore,
                                                     improve the clarity
                                                     of this requirement
                                                     for those who must
                                                     implement it.
                                                    In addition, there
                                                     would be instances
                                                     in which it is
                                                     unnecessary for a
                                                     licensee,
                                                     applicant, or C/V
                                                     to conduct the
                                                     character and
                                                     reputation
                                                     evaluation because
                                                     proposed Sec.
                                                     73.56(h)(4) would
                                                     permit the entities
                                                     who implement AA
                                                     programs to rely on
                                                     the background
                                                     investigations
                                                     conducted by other
                                                     entities who are
                                                     subject to this
                                                     section. In such
                                                     cases, the
                                                     licensee's,
                                                     applicant's, or C/
                                                     V's reviewing
                                                     official would not
                                                     review information
                                                     that was collected
                                                     under his or her AA
                                                     program, but would
                                                     ascertain the
                                                     subject
                                                     individual's
                                                     character and
                                                     reputation by
                                                     reviewing
                                                     information that
                                                     had been collected
                                                     by others. The last
                                                     sentence of the
                                                     proposed paragraph
                                                     would clarify that
                                                     the scope of the
                                                     reference checks
                                                     would be limited to
                                                     developing
                                                     information that
                                                     would be useful to
                                                     the reviewing
                                                     official in
                                                     determining the
                                                     individual's
                                                     trustworthiness and
                                                     reliability for the
                                                     UAA decision. This
                                                     requirement would
                                                     be added in
                                                     response to
                                                     stakeholder
                                                     requests at the
                                                     public meetings
                                                     discussed in
                                                     Section IV.3 for
                                                     increased clarity
                                                     and specificity in
                                                     the regulation's
                                                     requirements.

[[Page 62755]]

 
Sec.   73.56(b)(2)(i) * * *   (d)(7) Criminal       Proposed Sec.
 and develop information       history review. The   73.56(d)(7) would
 concerning an individual's    licensee's,           amend the
 * * * criminal history * *    applicant's, or C/    requirement in
 *.                            V's reviewing         current Sec.
                               official shall        73.56(b)(2)(i) for
                               evaluate the entire   licensees to
                               criminal history      develop information
                               record of an          about an
                               individual who is     individual's
                               applying for          criminal history.
                               unescorted access     The proposed
                               authorization to      provision would
                               assist in             eliminate the
                               determining whether   current requirement
                               the individual has    to develop criminal
                               a record of           history information
                               criminal activity     because proposed
                               that may adversely    Sec.   73.57
                               impact his or her     [Requirements for
                               trustworthiness and   criminal history
                               reliability. The      checks of
                               criminal history      individuals granted
                               record must be        unescorted access
                               obtained in           to a nuclear power
                               accordance with the   facility or access
                               requirements of       to Safeguards
                               Sec.   73.57.         Information by
                                                     power reactor
                                                     licensees] would
                                                     establish the
                                                     methods by which
                                                     criminal history
                                                     information about
                                                     individuals who are
                                                     applying for UAA
                                                     would be obtained
                                                     and it is
                                                     unnecessary to
                                                     repeat those
                                                     requirements in
                                                     this section. The
                                                     proposed paragraph
                                                     would require the
                                                     reviewing official
                                                     to review the
                                                     individual's entire
                                                     criminal history
                                                     record. This
                                                     requirement would
                                                     be necessary
                                                     because, in the
                                                     past, some
                                                     licensees limited
                                                     the criminal
                                                     history review to
                                                     the individual's
                                                     history over the
                                                     past 5 or fewer
                                                     years, but did not
                                                     consider criminal
                                                     history information
                                                     from earlier years,
                                                     even if the
                                                     reporting agency
                                                     provided it.
                                                     However, the NRC
                                                     has determined that
                                                     a review of all of
                                                     the criminal
                                                     history information
                                                     that is provided in
                                                     a criminal history
                                                     record provides
                                                     higher assurance
                                                     that any instances
                                                     or patterns of
                                                     lawlessness are
                                                     considered when
                                                     determining whether
                                                     an individual is
                                                     trustworthy and
                                                     reliable.
                                                    Therefore, the
                                                     proposed rule would
                                                     incorporate this
                                                     requirement in
                                                     order to strengthen
                                                     the effectiveness
                                                     of AA programs.
Sec.   73.56(d) Requirements  Deleted.............  Current Sec.
 during cold shutdown. (1)                           73.56(d)
 The licensee may grant                              [Requirements
 unescorted access during                            during cold
 cold shutdown to an                                 shutdown] would be
 individual who does not                             eliminated from the
 possess an access                                   proposed rule.
 authorization granted in                            Because of an
 accordance with paragraph                           increased concern
 (b) of this section                                 with a potential
 provided the licensee                               insider threat, as
 develops and incorporates                           discussed in
 into its Physical Security                          Section IV.3, the
 Plan measures to be taken                           NRC has determined
 to ensure that the                                  that the relaxation
 functional capability of                            of UAA requirements
 equipment in areas for                              permitted in the
 which the access                                    current provision
 authorization requirement                           does not meet the
 has been relaxed has not                            Commission's
 been impaired by relaxation                         objective of
 of that requirement. (2)                            providing high
 Prior to incorporating such                         assurance that
 measures into its Physical                          individuals who
 Security Plan the licensee                          have unescorted
 shall submit those plan                             access to protected
 changes to the NRC for                              areas in nuclear
 review and approval                                 power plants are
 pursuant to Sec.   50.90.                           trustworthy and
 (3) Any provisions in                               reliable.
 licensees' security plans                           Therefore, the
 that allow for relaxation                           current permission
 of access authorization                             to grant unescorted
 requirements during cold                            access to an
 shutdown are superseded by                          individual without
 this rule. Provisions in                            meeting all of the
 licensees' Physical                                 requirements of
 Security Plans on April 25,                         proposed Sec.
 1991 that provide for                               73.56 would be
 devitalization (that is, a                          eliminated from the
 change from vital to                                proposed rule.
 protected area status)                              Licensees and
 during cold shutdown are                            applicants would
 not affected.                                       continue to be
                                                     permitted to seek
                                                     an exemption from
                                                     the requirements of
                                                     proposed Sec.
                                                     73.56 under current
                                                     Sec.   73.5
                                                     [Specific
                                                     exemptions].

[[Page 62756]]

 
Sec.   73.56(b)(2)(ii) A      (e) Psychological     Proposed Sec.
 psychological assessment      assessment. In        73.56(e) would
 designed to evaluate the      order to assist in    amend current Sec.
 possible impact of any        determining an         73.56(b)(2)(ii),
 noted psychological           individual's          which requires AA
 characteristics which may     trustworthiness and   programs to include
 have a bearing on             reliability, the      a psychological
 trustworthiness and           licensees,            assessment, by
 reliability.                  applicants, and C/    adding several
                               Vs specified in       requirements to the
                               paragraph (a) of      current rule.
                               this section shall    Because the
                               ensure that a         requirements in the
                               psychological         proposed rule would
                               assessment has been   be more detailed,
                               completed of the      the current
                               individual who is     paragraph would be
                               applying for          restructured and
                               unescorted access     subdivided to
                               authorization. The    present the new
                               psychological         requirements in
                               assessment must be    separate
                               designed to           paragraphs. This
                               evaluate the          change would be
                               possible adverse      made for increased
                               impact of any noted   clarity in the
                               psychological         organization of the
                               characteristics on    rule. The proposed
                               the individual's      paragraph would
                               trustworthiness and   retain the current
                               reliability.          requirement for the
                                                     psychological
                                                     assessment to be
                                                     designed to
                                                     evaluate the
                                                     implications of the
                                                     individual's
                                                     psychological
                                                     characteristics on
                                                     his or her
                                                     trustworthiness and
                                                     reliability in a
                                                     separate sentence
                                                     for clarity. For
                                                     the same reason,
                                                     ``adverse'' would
                                                     be added to more
                                                     clearly describe
                                                     the intended
                                                     purpose of the
                                                     psychological
                                                     assessment. The
                                                     proposed provision
                                                     would retain the
                                                     intent of the
                                                     current requirement
                                                     for AA programs to
                                                     include a
                                                     psychological
                                                     assessment, but
                                                     would use the
                                                     phrase, ``has been
                                                     completed,''
                                                     because licensees,
                                                     applicants, and C/
                                                     Vs may not be
                                                     required to
                                                     complete the
                                                     psychological
                                                     assessment each
                                                     time that an
                                                     individual applies
                                                     for UAA.
                                                    As discussed with
                                                     respect to proposed
                                                     Sec.   73.56(h)(1),
                                                     AA programs would
                                                     be permitted to
                                                     rely on
                                                     psychological
                                                     assessments that
                                                     were completed by
                                                     other AA programs.
                                                     Individuals who
                                                     have been subject
                                                     to a psychological
                                                     assessment, which
                                                     was conducted in
                                                     accordance with
                                                     requirements of
                                                     this proposed
                                                     section and
                                                     resulted in the
                                                     granting of UAA,
                                                     within the time
                                                     period specified in
                                                     the licensee's or
                                                     applicant's
                                                     Physical Security
                                                     Plan [as discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(i)(1)(v)],
                                                     would not be
                                                     required to be
                                                     assessed again in
                                                     order to be granted
                                                     UAA.
                              (e)(1) A licensed     Proposed Sec.
                               clinical              73.56(e)(1) would
                               psychologist or       establish minimum
                               psychiatrist shall    requirements for
                               conduct the           the credentials of
                               psychological         individuals who
                               assessment.           perform the
                                                     psychological
                                                     assessments that
                                                     are required under
                                                     current Sec.
                                                     73.56(b)(2)(ii),
                                                     which are not
                                                     addressed in the
                                                     current rule. The
                                                     proposed provision
                                                     would require a
                                                     licensed clinical
                                                     psychologist or
                                                     psychiatrist to
                                                     conduct the
                                                     psychological
                                                     assessment, because
                                                     the extensive
                                                     education,
                                                     training, and
                                                     supervised clinical
                                                     experience that
                                                     these professionals
                                                     must possess in
                                                     order to be
                                                     licensed under
                                                     State laws would
                                                     provide high
                                                     assurance that they
                                                     are qualified to
                                                     conduct the
                                                     psychological
                                                     assessments that
                                                     are required under
                                                     the rule.
                                                    The proposed rule
                                                     would impose this
                                                     new requirement
                                                     because of the key
                                                     role that the
                                                     psychological
                                                     assessment element
                                                     of AA programs
                                                     plays in assuring
                                                     the public health
                                                     and safety and
                                                     common defense and
                                                     security when
                                                     determining whether
                                                     an individual is
                                                     trustworthy and
                                                     reliable.
                                                     Therefore, the
                                                     proposed provision
                                                     would be added to
                                                     strengthen the
                                                     effectiveness of AA
                                                     programs.

[[Page 62757]]

 
                              (e)(2) The            A new Sec.
                               psychological         73.56(e)(2) would
                               assessment must be    require
                               conducted in          psychological
                               accordance with the   assessments to be
                               applicable ethical    conducted in
                               principles for        accordance with
                               conducting such       ethical principles
                               assessments           for conducting such
                               established by the    assessments that
                               American              are established by
                               Psychological         the American
                               Association or        Psychological
                               American              Association or the
                               Psychiatric           American
                               Association.          Psychiatric
                                                     Association, as
                                                     applicable. In
                                                     order to meet State
                                                     licensure
                                                     requirements,
                                                     clinical
                                                     psychologists and
                                                     psychiatrists are
                                                     required to
                                                     practice in
                                                     accordance with the
                                                     applicable
                                                     professional
                                                     standards. However,
                                                     the proposed rule
                                                     would add a
                                                     reference to these
                                                     professional
                                                     standards to
                                                     emphasize the
                                                     importance that the
                                                     NRC places on the
                                                     proper conduct of
                                                     psychological
                                                     assessments, in
                                                     order to ensure the
                                                     rights of
                                                     individuals,
                                                     consistent
                                                     treatment, and the
                                                     effectiveness of
                                                     the psychological
                                                     assessment
                                                     component of AA
                                                     programs.
                              (e)(3) At a minimum,  Proposed Sec.
                               the psychological     73.56(e)(3) would
                               assessment must       establish new
                               include the           requirements for
                               administration and    the psychological
                               interpretation of a   testing that
                               standardized,         licensees,
                               objective,            applicants, and C/
                               professionally        Vs would conduct as
                               accepted              part of the
                               psychological test    psychological
                               that provides         assessment. The
                               information to        proposed paragraph
                               identify              would require the
                               indications of        administration and
                               disturbances in       interpretation of
                               personality or        an objective
                               psychopathology       psychological test
                               that may have         that provides
                               implications for an   information to aid
                               individual's          in identifying
                               trustworthiness and   personality
                               reliability.          disturbances and
                               Predetermined         psychopathology.
                               thresholds must be    The proposed rule
                               applied in            would specify
                               interpreting the      psychological tests
                               results of the        that are designed
                               psychological test,   to identify
                               to determine          indications of
                               whether an            personality
                               individual shall be   disturbances and
                               interviewed by a      psychopathology
                               psychiatrist or       because some of
                               licensed clinical     these conditions
                               psychologist under    may reflect
                               paragraph (e)(4)(i)   adversely on an
                               of this section.      individual's
                                                     trustworthiness and
                                                     reliability. The
                                                     proposed rule would
                                                     not prohibit the
                                                     use of other types
                                                     of psychological
                                                     tests, such as
                                                     personality
                                                     inventories and
                                                     tests of abilities,
                                                     in the
                                                     psychological
                                                     assessment process,
                                                     but would establish
                                                     the minimum
                                                     requirement for a
                                                     test that
                                                     identifies
                                                     indications of
                                                     personality
                                                     disturbances and
                                                     psychopathology
                                                     because the
                                                     identification of
                                                     these conditions is
                                                     most relevant to
                                                     the purpose of the
                                                     psychological
                                                     assessment element
                                                     of AA programs. The
                                                     proposed provision
                                                     would also require
                                                     the use of
                                                     standardized,
                                                     objective
                                                     psychological tests
                                                     to reduce potential
                                                     variability in the
                                                     testing that is
                                                     conducted under
                                                     this section.

[[Page 62758]]

 
                                                    Decreasing potential
                                                     variability in
                                                     testing is
                                                     important to
                                                     provide greater
                                                     assurance than in
                                                     the past that
                                                     individuals who are
                                                     applying for or
                                                     maintaining UAA are
                                                     treated
                                                     consistently under
                                                     the proposed rule.
                                                     The proposed rule
                                                     would not prohibit
                                                     the use of other
                                                     types of
                                                     psychological
                                                     tests, such as
                                                     projective tests,
                                                     in the
                                                     psychological
                                                     assessment process,
                                                     but would establish
                                                     the minimum
                                                     requirement for a
                                                     standardized,
                                                     objective test to
                                                     facilitate the
                                                     psychological re-
                                                     assessments that
                                                     would be required
                                                     under proposed Sec.
                                                       73.56(i)(1)(v).
                                                     Comparing scores on
                                                     a standardized,
                                                     objective test to
                                                     identify
                                                     indications of any
                                                     adverse changes in
                                                     the individual's
                                                     psychological
                                                     status is
                                                     simplified when the
                                                     testing that is
                                                     performed for a re-
                                                     assessment is
                                                     similar to or the
                                                     same as previous
                                                     testing that was
                                                     conducted under
                                                     this section,
                                                     particularly when
                                                     the clinician who
                                                     conducts the re-
                                                     assessment did not
                                                     conduct the
                                                     previous testing.
                                                     The proposed
                                                     paragraph would
                                                     also require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to establish
                                                     thresholds in
                                                     interpreting the
                                                     results of the
                                                     psychological test,
                                                     to aid in
                                                     determining whether
                                                     an individual would
                                                     be required to be
                                                     interviewed by a
                                                     psychiatrist or
                                                     licensed clinical
                                                     psychologist under
                                                     proposed paragraph
                                                     (e)(4)(ii) of this
                                                     section.
                                                    The NRC is aware of
                                                     substantial
                                                     variability in the
                                                     thresholds used by
                                                     authorization
                                                     programs in the
                                                     past to determine
                                                     whether an
                                                     individual's test
                                                     results provided
                                                     indications of
                                                     personality
                                                     disturbances or
                                                     psychopathology.
                                                     Different clinical
                                                     psychologists
                                                     providing services
                                                     to the same or
                                                     different AA
                                                     programs would vary
                                                     in the thresholds
                                                     they applied in
                                                     determining whether
                                                     an individual's
                                                     test results
                                                     indicated the need
                                                     for further
                                                     evaluation in a
                                                     clinical interview.
                                                     As a consequence,
                                                     whether or not
                                                     individuals who had
                                                     the same patterns
                                                     of scores on the
                                                     psychological test
                                                     would be subject to
                                                     a clinical
                                                     interview would
                                                     vary both within
                                                     and between AA
                                                     programs. The
                                                     proposed rule would
                                                     add a requirement
                                                     for predetermined
                                                     thresholds to
                                                     reduce this
                                                     variability in
                                                     order to protect
                                                     the rights of
                                                     individuals who are
                                                     subject to AA
                                                     programs to fair
                                                     and consistent
                                                     treatment.

[[Page 62759]]

 
                              (e)(4) The            A new Sec.
                               psychological         73.56(e)(4) would
                               assessment must       establish
                               include a clinical    requirements for
                               interview--           the conditions
                              (i) If an              under which the
                               individual's scores   psychological
                               on the                assessment must
                               psychological test    include a clinical
                               in paragraph (e)(3)   interview. Proposed
                               of this section       Sec.
                               identify              73.56(e)(4)(i)
                               indications of        would require a
                               disturbances in       clinical interview
                               personality or        if an individual's
                               psychopathology       scores on the
                               that may have         psychological test
                               implications for an   identified
                               individual's          indications of
                               trustworthiness and   disturbances in
                               reliability; or.      personality or
                              (ii) If the            psychopathology
                               licensee's or         that would
                               applicant's           necessitate further
                               Physical Security     assessment. The
                               Plan requires a       clinical interview
                               clinical interview    would be performed
                               based on job          by a licensed
                               assignments..         clinical
                                                     psychologist or
                                                     psychiatrist,
                                                     consistent with the
                                                     ethical principles
                                                     for conducting
                                                     psychological
                                                     assessments that
                                                     are established by
                                                     the American
                                                     Psychological
                                                     Association or the
                                                     American
                                                     Psychiatric
                                                     Association. The
                                                     purposes of the
                                                     clinical interview
                                                     would include, but
                                                     would not be
                                                     limited to,
                                                     validating the test
                                                     results and
                                                     assessing their
                                                     implications for
                                                     the individual's
                                                     trustworthiness and
                                                     reliability.
                                                     Proposed Sec.
                                                     73.56(e)(4)(ii)
                                                     would also require
                                                     a clinical
                                                     interview for some
                                                     individuals who
                                                     would be identified
                                                     in the licensee's
                                                     or applicant's
                                                     Physical Security
                                                     Plan. In general,
                                                     the individuals who
                                                     would always
                                                     receive a clinical
                                                     interview before
                                                     being granted UAA
                                                     would be those who
                                                     perform critical
                                                     operational and
                                                     security-related
                                                     functions at the
                                                     licensee's site.
                                                    The proposed
                                                     requirements are
                                                     necessary to ensure
                                                     that any noted
                                                     psychological
                                                     characteristics of
                                                     individuals who are
                                                     applying for or
                                                     maintaining UAA do
                                                     not adversely
                                                     affect their
                                                     trustworthiness and
                                                     reliability.
                              (e)(5) If, in the     A new Sec.
                               course of             73.56(e)(5) would
                               conducting the        require the
                               psychological         psychologist or
                               assessment, the       psychiatrist who
                               licensed clinical     conducts the
                               psychologist or       psychological
                               psychiatrist          assessment to
                               identifies            report to the
                               indications of, or    reviewing official
                               information related   any information
                               to, a medical         obtained through
                               condition that        conducting the
                               could adversely       assessment that
                               impact the            indicates the
                               individual's          individual may have
                               fitness for duty or   a medical condition
                               trustworthiness and   that could
                               reliability, the      adversely affect
                               psychologist or       his or her fitness
                               psychiatrist shall    for duty or
                               inform the            trustworthiness and
                               reviewing official,   reliability. For
                               who shall ensure      example, some
                               that an appropriate   psychological tests
                               evaluation of the     identify
                               possible medical      indications of a
                               condition is          substance abuse
                               conducted under the   problem. Or, an
                               requirements of       individual may
                               part 26 of this       disclose during the
                               chapter.              clinical interview
                                                     that he or she is
                                                     taking prescription
                                                     medications that
                                                     could cause
                                                     impairment. In
                                                     these instances,
                                                     the proposed rule
                                                     would require the
                                                     reviewing official
                                                     to ensure that the
                                                     potential impact of
                                                     any possible
                                                     medical condition
                                                     on the individual's
                                                     fitness for duty or
                                                     trustworthiness and
                                                     reliability is
                                                     evaluated. The
                                                     term,
                                                     ``appropriate,''
                                                     would be used with
                                                     respect to the
                                                     medical evaluation
                                                     to recognize that
                                                     healthcare
                                                     professionals vary
                                                     in their
                                                     qualifications.

[[Page 62760]]

 
                                                    For example, a
                                                     psychiatrist who
                                                     conducts the
                                                     assessment would be
                                                     qualified to assess
                                                     the potential
                                                     impacts on an
                                                     individual's
                                                     fitness for duty of
                                                     any psychoactive
                                                     medications the
                                                     individual may be
                                                     taking, whereas a
                                                     substance abuse
                                                     professional, nurse
                                                     practitioner, or
                                                     other licensed
                                                     physician may not.
                                                     The NRC is aware of
                                                     instances in which
                                                     indications of a
                                                     substance problem
                                                     or other medical
                                                     condition that
                                                     could adversely
                                                     affect an
                                                     individual's
                                                     fitness for duty or
                                                     trustworthiness and
                                                     reliability were
                                                     identified during
                                                     the psychological
                                                     assessment, but
                                                     were not
                                                     communicated to
                                                     fitness-for-duty
                                                     program personnel
                                                     and, therefore,
                                                     were not evaluated
                                                     as part of the
                                                     access
                                                     authorization
                                                     decision. The
                                                     proposed paragraph
                                                     would be added to
                                                     ensure that
                                                     information about
                                                     potential medical
                                                     conditions is
                                                     communicated and
                                                     evaluated. This
                                                     provision would be
                                                     added to strengthen
                                                     the effectiveness
                                                     of the access
                                                     authorization
                                                     process.
Sec.   73.56(b)(2)(iii)       (f) Behavioral        Proposed Sec.
 Behavioral observation,       observation. Access   73.56(f)
 conducted by supervisors      authorization         [Behavioral
 and management personnel,     programs must         observation] would
 designed to detect            include a             replace current
 individual behavioral         behavioral            Sec.
 changes which, if left        observation element   73.56(b)(2)(iii),
 unattended, could lead to     that is designed to   which requires
 acts detrimental to the       detect behaviors or   licensees' AA
 public health and safety.     activities that may   programs to include
                               constitute an         a behavioral
                               unreasonable risk     observation
                               to the health and     element, to be
                               safety of the         conducted by
                               public and common     supervisors and
                               defense and           management
                               security, including   personnel, and
                               a potential threat    designed to detect
                               to commit             individual
                               radiological          behavioral changes
                               sabotage.             which, if left
                                                     unattended, could
                                                     lead to acts
                                                     detrimental to the
                                                     public health and
                                                     safety. The
                                                     proposed paragraph
                                                     would amend the
                                                     requirements of the
                                                     current paragraph
                                                     and add others.
                                                     Proposed Sec.
                                                     73.56(f) would
                                                     amend the objective
                                                     of the behavioral
                                                     observation element
                                                     of AA programs in
                                                     the current
                                                     provision. The
                                                     proposed paragraph
                                                     would eliminate the
                                                     current reference
                                                     to behavior changes
                                                     which, if left
                                                     unattended, could
                                                     lead to detrimental
                                                     acts. Although
                                                     detecting and
                                                     evaluating behavior
                                                     changes in order to
                                                     determine whether
                                                     they may lead to
                                                     acts detrimental to
                                                     the public health
                                                     and safety is
                                                     important, the
                                                     behavioral
                                                     observation element
                                                     of fitness-for-duty
                                                     programs that is
                                                     required under 10
                                                     CFR 26.22(a)(4)
                                                     also addresses this
                                                     objective.
                                                     Therefore, the
                                                     proposed paragraph
                                                     would be revised,
                                                     in part, to
                                                     eliminate this
                                                     redundancy.

[[Page 62761]]

 
                                                    In addition, the
                                                     current provision's
                                                     requirement for
                                                     behavioral
                                                     observation to
                                                     focus only on
                                                     detecting behavior
                                                     changes is too
                                                     narrow. The NRC
                                                     intends that
                                                     behavioral
                                                     observation must
                                                     also be conducted
                                                     in order to
                                                     increase the
                                                     likelihood that
                                                     potentially adverse
                                                     behavior patterns
                                                     and actions will be
                                                     detected and
                                                     evaluated before
                                                     there is an
                                                     opportunity for
                                                     such behavior
                                                     patterns or acts to
                                                     result in
                                                     detrimental
                                                     consequences. For
                                                     example, experience
                                                     in other industries
                                                     has shown that an
                                                     individual's
                                                     unusual interest in
                                                     an organization's
                                                     security activities
                                                     and operations that
                                                     are outside the
                                                     scope of the
                                                     individual's normal
                                                     work assignments
                                                     may be an
                                                     indication that the
                                                     individual is
                                                     gathering
                                                     intelligence for
                                                     adversarial
                                                     purposes. If the
                                                     behavioral
                                                     observation element
                                                     of AA programs
                                                     focuses only on
                                                     behavior changes,
                                                     and an individual
                                                     has demonstrated a
                                                     pattern of
                                                     ``unusual
                                                     interest'' since
                                                     starting work for
                                                     the licensee, other
                                                     persons who are
                                                     aware of the
                                                     individual's
                                                     behavior pattern
                                                     may not consider
                                                     the behavior to be
                                                     a potential concern
                                                     and, therefore, may
                                                     not raise the
                                                     concern. As a
                                                     result, an
                                                     opportunity to
                                                     detect and evaluate
                                                     this behavior
                                                     pattern would be
                                                     lost.
                                                    Therefore, in order
                                                     to increase the
                                                     effectiveness of
                                                     the behavioral
                                                     observation element
                                                     of AA programs and
                                                     more clearly convey
                                                     the NRC's intent,
                                                     the proposed
                                                     paragraph would be
                                                     revised to clarify
                                                     that the objective
                                                     of behavioral
                                                     observation is to
                                                     detect behavior or
                                                     activities that
                                                     have the potential
                                                     to constitute an
                                                     unreasonable risk
                                                     to the health and
                                                     safety of the
                                                     public and common
                                                     defense and
                                                     security, including
                                                     a potential threat
                                                     to commit
                                                     radiological
                                                     sabotage. The
                                                     portion of current
                                                     Sec.
                                                     73.56(b)(2)(iii)
                                                     that addresses who
                                                     must conduct
                                                     behavioral
                                                     observation (i.e.,
                                                     supervisors and
                                                     management
                                                     personnel) would be
                                                     moved to a separate
                                                     paragraph for
                                                     increased
                                                     organizational
                                                     clarity in this
                                                     section, and would
                                                     be amended for the
                                                     reasons discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(f)(2).
                              (f)(1) The            Proposed Sec.
                               licensees,            73.56(f)(1) would
                               applicants, and C/    clarify the intent
                               Vs specified in       of the current
                               paragraph (a) of      requirement by
                               this section shall    specifying the
                               ensure that the       individuals who
                               individuals           must be subject to
                               specified in          behavioral
                               paragraph (b)(1) of   observation. The
                               this section and,     proposed paragraph
                               if applicable,        would be added to
                               (b)(2) of this        address stakeholder
                               section are subject   requests at the
                               to behavioral         public meetings
                               observation.          discussed in
                                                     Section IV.3, for
                                                     increased
                                                     specificity in the
                                                     language of the
                                                     rule.

[[Page 62762]]

 
                              (f)(2) The            The proposed
                               individuals           paragraph would
                               specified in          amend the portion
                               paragraph (b)(1)      of current Sec.
                               and, if applicable,   73.56(b)(2)(iii)
                               (b)(2) of this        that requires only
                               section shall         supervisors and
                               observe the           management
                               behavior of other     personnel to
                               individuals. The      conduct behavioral
                               licensees,            observation by
                               applicants, and C/    requiring all
                               Vs specified in       individuals who are
                               paragraph (a) of      subject to an
                               this section shall    authorization
                               ensure that           program to conduct
                               individuals who are   behavioral
                               subject to this       observation.
                               section also          Increasing the
                               successfully          number of
                               complete behavioral   individuals who
                               observation           conduct behavioral
                               training.             observation would
                                                     enhance the
                                                     effectiveness of AA
                                                     programs by
                                                     increasing the
                                                     likelihood of
                                                     detecting behavior
                                                     or activities that
                                                     may be adverse to
                                                     the safe operation
                                                     and security of the
                                                     facility and may,
                                                     therefore,
                                                     constitute an
                                                     unreasonable risk
                                                     to the health and
                                                     safety and common
                                                     defense and
                                                     security. This
                                                     change is necessary
                                                     to address the
                                                     NRC's increased
                                                     concern with a
                                                     potential insider
                                                     threat discussed in
                                                     Section IV.3.
                                                     Proposed Sec.
                                                     73.56(f)(2) also
                                                     would require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to ensure that
                                                     individuals who are
                                                     subject to an
                                                     authorization
                                                     program
                                                     successfully
                                                     complete behavioral
                                                     observation
                                                     training. The means
                                                     by which licensees,
                                                     applicants, and C/
                                                     Vs would
                                                     demonstrate that an
                                                     individual has
                                                     successfully
                                                     completed the
                                                     training would be
                                                     through the
                                                     administration of
                                                     the comprehensive
                                                     examination
                                                     discussed with
                                                     respect to proposed
                                                     Sec.
                                                     73.56(f)(2)(iii).
                                                    Because all
                                                     individuals who are
                                                     subject to the AA
                                                     program would be
                                                     required to conduct
                                                     behavioral
                                                     observation,
                                                     training is
                                                     necessary to ensure
                                                     that individuals
                                                     have the knowledge,
                                                     skills, and
                                                     abilities necessary
                                                     to do so.
                              (f)(2)(i) Behavioral  Proposed Sec.
                               observation           73.56(f)(2)(i)
                               training must be      would require all
                               completed before      personnel who are
                               the licensee,         subject to this
                               applicant, or C/V     section to complete
                               grants an initial     behavioral
                               unescorted access     observation
                               authorization, as     training before the
                               defined in            licensee,
                               paragraph (h)(5) of   applicant, or C/V
                               this section, and     grants initial
                               must be current       unescorted access
                               before the            authorization to
                               licensee,             the individual, as
                               applicant, or C/V     defined in proposed
                               grants an             paragraph (h)(5)
                               unescorted access     [Initial unescorted
                               authorization         access
                               update, as defined    authorization]. The
                               in paragraph (h)(6)   proposed rule would
                               of this section, or   also require that
                               an unescorted         an individual's
                               access                training must be
                               authorization         current before the
                               reinstatement, as     licensee,
                               defined in            applicant, or C/V
                               paragraph (h)(7) of   grants an
                               this section;         unescorted access
                                                     authorization
                                                     update or
                                                     reinstatement to
                                                     the individual, as
                                                     defined in proposed
                                                     paragraphs (h)(6)
                                                     [Updated unescorted
                                                     access
                                                     authorization] and
                                                     (h)(7)
                                                     [Reinstatement of
                                                     unescorted access
                                                     authorization
                                                     reinstatement] of
                                                     this section,
                                                     respectively.
                                                     Annual refresher
                                                     training, which
                                                     would be the means
                                                     by which licensees,
                                                     applicants, and C/
                                                     Vs would meet the
                                                     requirement for
                                                     training to be
                                                     ``current,'' would
                                                     be addressed in
                                                     proposed Sec.
                                                     73.56(f)(2)(ii).
                                                    The proposed
                                                     requirement to
                                                     complete behavioral
                                                     observation
                                                     training before
                                                     initial unescorted
                                                     access
                                                     authorization is
                                                     granted is
                                                     necessary to ensure
                                                     that individuals
                                                     have the knowledge,
                                                     skills, and
                                                     abilities required
                                                     to meet their
                                                     responsibilities
                                                     for conducting
                                                     behavioral
                                                     observation under
                                                     proposed paragraph
                                                     (f)(2)(i). The
                                                     basis for requiring
                                                     refresher training
                                                     is discussed with
                                                     respect to proposed
                                                     paragraph
                                                     (f)(2)(ii) of this
                                                     section.

[[Page 62763]]

 
                              (f)(2)(ii)            Proposed Sec.
                               Individuals shall     73.45(f)(2)(ii)
                               complete refresher    would require
                               training on a         annual refresher
                               nominal 12-month      training in
                               frequency, or more    behavioral
                               frequently where      observation, at a
                               the need is           minimum, with more
                               indicated.            frequent refresher
                               Individuals may       training when the
                               take and pass a       need is indicated.
                               comprehensive         The proposed
                               examination that      paragraph would
                               meets the             require annual or
                               requirements of       more frequent
                               paragraph             refresher training
                               (f)(2)(iii) of this   in order to ensure
                               section in lieu of    that individuals
                               completing annual     retain the
                               refresher training;   knowledge, skills,
                                                     and abilities
                                                     gained through
                                                     initial training.
                                                     Refresher training
                                                     may also be
                                                     necessary if an
                                                     individual
                                                     demonstrates a
                                                     failure to
                                                     implement
                                                     behavioral
                                                     observation
                                                     requirements in
                                                     accordance with AA
                                                     program procedures
                                                     or new information
                                                     is added to the
                                                     behavioral
                                                     observation
                                                     training
                                                     curriculum.
                                                    The proposed
                                                     paragraph would
                                                     also permit
                                                     individuals who
                                                     pass a
                                                     comprehensive
                                                     ``challenge''
                                                     examination that
                                                     demonstrates their
                                                     continued
                                                     understanding of
                                                     behavioral
                                                     observation to be
                                                     excused from the
                                                     refresher training
                                                     that would
                                                     otherwise be
                                                     required under the
                                                     proposed paragraph.
                                                     The proposed rule
                                                     would require that
                                                     the ``challenge''
                                                     examination must
                                                     meet the
                                                     examination
                                                     requirements
                                                     specified in
                                                     proposed paragraph
                                                     (f)(2)(iii) of this
                                                     section and
                                                     individuals who did
                                                     not pass would
                                                     undergo remedial
                                                     training.
                                                     Permitting
                                                     individuals to pass
                                                     a comprehensive
                                                     ``challenge''
                                                     examination rather
                                                     than take refresher
                                                     training each year
                                                     would ensure that
                                                     they are retaining
                                                     their knowledge,
                                                     skills, and
                                                     abilities while
                                                     reducing some costs
                                                     associated with
                                                     meeting the annual
                                                     refresher training
                                                     requirement.
                              (f)(2)(iii)           Proposed Sec.
                               Individuals shall     73.56(f)(2)(iii)
                               demonstrate the       would require
                               successful            individuals to
                               completion of         demonstrate that
                               behavioral            they have
                               observation           successfully
                               training by passing   completed
                               a comprehensive       behavioral
                               examination that      observation
                               addresses the         training by passing
                               knowledge and         a comprehensive
                               abilities necessary   examination. The
                               to detect behavior    proposed provision
                               or activities that    would require
                               have the potential    remedial training
                               to constitute an      and re-testing for
                               unreasonable risk     individuals who
                               to the health and     fail to achieve a
                               safety of the         passing score on
                               public and common     the examination.
                               defense and           These proposed
                               security, including   requirements would
                               a potential threat    be modeled on other
                               to commit             required training
                               radiological          programs that have
                               sabotage. Remedial    been successful in
                               training and re-      ensuring that
                               testing are           examinations are
                               required for          valid and
                               individuals who       individuals have
                               fail to               achieved an
                               satisfactorily        adequate
                               complete the          understanding of
                               examination.          the subject matter.
                              (f)(2)(iv) Initial    Proposed Sec.
                               and refresher         73.56(f)(2)(iv)
                               training may be       would permit the
                               delivered using a     use of various
                               variety of media      media for
                               (including, but not   administering
                               limited to,           training in order
                               classroom lectures,   to achieve the
                               required reading,     efficiencies
                               video, or computer-   associated with
                               based training        computer-based
                               systems). The         training, for
                               licensee,             example, and other
                               applicant, or C/V     new training
                               shall monitor the     delivery
                               completion of         technologies that
                               training.             may become
                                                     available.
                                                     Permitting the use
                                                     of various media to
                                                     administer the
                                                     training would
                                                     improve the
                                                     efficiency of AA
                                                     programs and reduce
                                                     regulatory burden,
                                                     by providing
                                                     flexibility in the
                                                     methods that
                                                     licensees and other
                                                     entities may use to
                                                     administer the
                                                     required training.
                                                     The proposed
                                                     paragraph would
                                                     also require the
                                                     completion of
                                                     training to be
                                                     monitored by the
                                                     licensee,
                                                     applicant, or C/V.

[[Page 62764]]

 
                                                    This requirement is
                                                     necessary to ensure
                                                     that individuals
                                                     who are subject to
                                                     an authorization
                                                     program actively
                                                     participate in and
                                                     receive the
                                                     required training.
                                                     The NRC is aware
                                                     that some
                                                     individuals have
                                                     engaged in
                                                     successful
                                                     litigation against
                                                     licensees on the
                                                     basis that they
                                                     were not aware of
                                                     the requirements to
                                                     which they were
                                                     subject, in part,
                                                     because of
                                                     deficiencies in
                                                     licensee processes
                                                     for ensuring that
                                                     individuals are
                                                     trained. Therefore,
                                                     the proposed rule
                                                     would add this
                                                     requirement to
                                                     improve the
                                                     effectiveness of
                                                     the training
                                                     element of AA
                                                     programs.
                              (f)(3) Individuals    Proposed Sec.
                               who are subject to    73.56(f)(3) would
                               an authorization      require individuals
                               program under this    to report any
                               section shall         concerns arising
                               report to the         from behavioral
                               reviewing official    observation to the
                               any concerns          licensee's,
                               arising from          applicant's, or C/
                               behavioral            V's reviewing
                               observation,          official. This
                               including, but not    specificity is
                               limited to,           necessary because
                               concerns related to   the NRC is aware of
                               any questionable      past instances in
                               behavior patterns     which individuals
                               or activities of      reported concerns
                               others.               to supervisors or
                                                     other licensee
                                                     personnel who did
                                                     not then inform the
                                                     reviewing official
                                                     of the concern. As
                                                     a result, the
                                                     concern was not
                                                     addressed and any
                                                     implications of the
                                                     concern for the
                                                     individual's
                                                     trustworthiness and
                                                     reliability were
                                                     not evaluated.
                                                    Therefore, the
                                                     proposed rule would
                                                     require individuals
                                                     to report directly
                                                     to the reviewing
                                                     official, to ensure
                                                     that the reviewing
                                                     official is made
                                                     aware of the
                                                     concern, has the
                                                     opportunity to
                                                     evaluate it, and
                                                     determine whether
                                                     to grant, maintain,
                                                     administratively
                                                     withdraw, deny, or
                                                     terminate UAA. The
                                                     proposed provision
                                                     would be added to
                                                     clarify and
                                                     strengthen the
                                                     behavioral
                                                     observation element
                                                     of AA programs by
                                                     increasing the
                                                     likelihood that
                                                     questionable
                                                     behaviors or
                                                     activities are
                                                     appropriately
                                                     addressed by the
                                                     licensees and other
                                                     entities who are
                                                     subject to the
                                                     rule.
                              (g) Arrest            A new Sec.
                               reporting. Any        73.56(g) would
                               individual who has    establish
                               applied for or is     requirements
                               maintaining           related to the
                               unescorted access     arrest, indictment,
                               authorization under   filing of charges,
                               this section shall    or conviction of
                               promptly report to    any individual who
                               the reviewing         is applying for or
                               official any formal   maintaining UAA
                               action(s) taken by    under this section.
                               a law enforcement     The proposed
                               authority or court    paragraph would
                               of law to which the   require individuals
                               individual has been   to promptly report
                               subject, including    to the reviewing
                               an arrest, an         official any such
                               indictment, the       formal action(s) to
                               filing of charges,    ensure that the
                               or a conviction. On   reviewing official
                               the day that the      has an opportunity
                               report is received,   to evaluate the
                               the reviewing         implications of the
                               official shall        formal action(s)
                               evaluate the          with respect to the
                               circumstances         individual's
                               related to the        trustworthiness and
                               formal action(s)      reliability.
                               and determine
                               whether to grant,
                               maintain,
                               administratively
                               withdraw, deny, or
                               unfavorably
                               terminate the
                               individual's
                               unescorted access
                               authorization.

[[Page 62765]]

 
                                                    The proposed rule
                                                     includes other
                                                     provisions that
                                                     would also ensure
                                                     that the reviewing
                                                     official is aware
                                                     of and evaluates
                                                     the implications of
                                                     any formal
                                                     action(s) to which
                                                     an individual may
                                                     be subject,
                                                     including the
                                                     requirement for a
                                                     criminal history
                                                     review under
                                                     proposed Sec.
                                                     73.56(d)(7) and
                                                     regular updates to
                                                     the criminal
                                                     history review
                                                     under proposed Sec.
                                                       73.56(i)(1)(v).
                                                     However, these
                                                     proposed provisions
                                                     would not provide
                                                     for prompt
                                                     evaluation of any
                                                     formal action(s)
                                                     that arise in the
                                                     intervening time
                                                     period since a
                                                     criminal history
                                                     review was last
                                                     conducted.
                                                     Therefore, this
                                                     requirement would
                                                     be added to ensure
                                                     that the reviewing
                                                     official is made
                                                     aware of formal
                                                     actions at the time
                                                     that they occur,
                                                     has the opportunity
                                                     to evaluate the
                                                     implications of
                                                     these formal
                                                     actions with
                                                     respect to the
                                                     individual's
                                                     trustworthiness and
                                                     reliability, and,
                                                     if necessary, take
                                                     timely action to
                                                     deny or unfavorably
                                                     terminate the
                                                     individual's UAA,
                                                     if the reviewing
                                                     official determines
                                                     that the formal
                                                     actions cast doubt
                                                     on the individual's
                                                     trustworthiness and
                                                     reliability. The
                                                     proposed rule would
                                                     also specifically
                                                     require the formal
                                                     action(s) to be
                                                     reported to the
                                                     licensee's,
                                                     applicant's, or C/
                                                     V's reviewing
                                                     official.
                                                    This specificity is
                                                     necessary because
                                                     the NRC is aware of
                                                     past instances in
                                                     which individuals
                                                     reported formal
                                                     actions to
                                                     supervisors who did
                                                     not then inform the
                                                     reviewing official.
                                                     As a result, some
                                                     individuals were
                                                     granted or
                                                     maintained UAA
                                                     without the high
                                                     assurance that they
                                                     are trustworthy and
                                                     reliable that AA
                                                     programs must
                                                     provide, as
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(c)
                                                     [General
                                                     performance
                                                     objective].
                                                     Therefore, a
                                                     specific
                                                     requirement for
                                                     individuals to
                                                     report directly to
                                                     the reviewing
                                                     official is
                                                     necessary to ensure
                                                     that the reviewing
                                                     official is aware
                                                     of the actions, has
                                                     the opportunity to
                                                     evaluate the
                                                     circumstances
                                                     surrounding the
                                                     actions, and
                                                     determine whether
                                                     to grant, maintain,
                                                     administratively
                                                     withdraw, deny, or
                                                     terminate UAA. The
                                                     proposed paragraph
                                                     would not establish
                                                     a specific time
                                                     limit within which
                                                     an individual would
                                                     be required to
                                                     report a formal
                                                     action because the
                                                     time frames within
                                                     which different
                                                     formal actions
                                                     occur may vary
                                                     widely, depending
                                                     on the nature of
                                                     the formal action
                                                     and characteristics
                                                     of the locality in
                                                     which the formal
                                                     action is taken.
                                                     However, nothing in
                                                     the proposed
                                                     provision would
                                                     prohibit licensees,
                                                     applicants, and C/
                                                     Vs from
                                                     establishing, in
                                                     program procedures,
                                                     reporting time
                                                     limits that are
                                                     appropriate for
                                                     their local
                                                     circumstances.

[[Page 62766]]

 
                                                    The proposed rule
                                                     would use the term,
                                                     ``promptly,'' to
                                                     clarify the NRC's
                                                     intent that
                                                     individuals are
                                                     responsible for
                                                     reporting any
                                                     formal action(s) of
                                                     the type specified
                                                     in the proposed
                                                     paragraph without
                                                     delay. The proposed
                                                     paragraph would
                                                     also require the
                                                     reviewing official
                                                     to evaluate the
                                                     circumstances
                                                     related to the
                                                     formal action and
                                                     decide whether to
                                                     grant, maintain,
                                                     administratively
                                                     withdraw, deny, or
                                                     unfavorably
                                                     terminate the
                                                     individual's UAA on
                                                     the day that he or
                                                     she receives the
                                                     report of an
                                                     arrest, indictment,
                                                     the filing of
                                                     charges, or
                                                     conviction. The
                                                     proposed
                                                     requirement is
                                                     necessary because
                                                     the NRC is aware of
                                                     past instances in
                                                     which reviewing
                                                     officials have been
                                                     informed of a
                                                     formal action, but
                                                     have not acted
                                                     promptly to
                                                     evaluate the
                                                     information and
                                                     determine its
                                                     implications with
                                                     respect to the
                                                     individual's
                                                     trustworthiness and
                                                     reliability. As a
                                                     result, some
                                                     individuals were
                                                     granted or
                                                     maintained UAA
                                                     without the high
                                                     assurance that they
                                                     are trustworthy and
                                                     reliable that AA
                                                     programs must
                                                     provide, as
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(c)
                                                     [General
                                                     performance
                                                     objective].
                                                    The proposed
                                                     paragraph would
                                                     provide for the
                                                     administrative
                                                     withdrawal of UAA
                                                     without a positive
                                                     determination that
                                                     the individual is
                                                     trustworthy and
                                                     reliable (which
                                                     would permit the
                                                     granting or
                                                     maintaining of UAA)
                                                     or a negative
                                                     determination of
                                                     the individual's
                                                     trustworthiness and
                                                     reliability (which
                                                     would require the
                                                     denial or
                                                     unfavorable
                                                     termination of
                                                     UAA), because the
                                                     reviewing official
                                                     may not have
                                                     sufficient
                                                     information on the
                                                     day that the report
                                                     is received to make
                                                     the determination.
                                                     However, if, based
                                                     on the information
                                                     available to the
                                                     reviewing official,
                                                     he or she is unable
                                                     to make either a
                                                     positive or
                                                     negative
                                                     determination, the
                                                     proposed rule would
                                                     require the
                                                     administrative
                                                     withdrawal of UAA
                                                     until such a
                                                     determination can
                                                     be made. The
                                                     administrative
                                                     withdrawal of the
                                                     individual's UAA
                                                     would be necessary
                                                     to protect public
                                                     health and safety
                                                     and the common
                                                     defense and
                                                     security when the
                                                     trustworthiness and
                                                     reliability of an
                                                     individual cannot
                                                     be positively
                                                     determined.
Sec.   73.56(c) Existing,     (c)(1) Deleted......  The proposed rule
 reinstated, transferred,                            would eliminate
 and temporary access                                current Sec.
 authorization. (1)                                  73.56(c)(1), which
 Individuals who have had an                         permitted
 uninterrupted unescorted                            individuals who had
 access authorization for at                         an uninterrupted
 least 180 days on April 25,                         unescorted access
 1991 need not be further                            authorization for
 evaluated. Such individuals                         at least 180 days
 shall be subject to the                             on April 25, 1991,
 behavioral observation                              to retain
 requirements of this                                unescorted access
 section.                                            authorization and
                                                     required them to be
                                                     subject to
                                                     behavioral
                                                     observation. The
                                                     current paragraph
                                                     would be eliminated
                                                     because these
                                                     requirements no
                                                     longer apply.

[[Page 62767]]

 
Sec.   73.56(c) Existing,     (h) Granting          Proposed Sec.
 reinstated, transferred,      unescorted access     73.56(h) would
 and temporary access          authorization. The    replace and amend
 authorization.                licensees,            current Sec.
                               applicants, and C/    73.56(c), which
                               Vs specified in       permits AA programs
                               paragraph (a) of      to specify
                               this section shall    conditions for
                               implement the         reinstating an
                               requirements of       interrupted UAA,
                               this paragraph for    for transferring
                               granting initial      UAA from another
                               unescorted access     licensee, and for
                               authorization,        permitting
                               updated unescorted    temporary UAA. As
                               access                discussed in
                               authorization, and    Section IV.3, the
                               reinstatement of      requirements in
                               unescorted access     proposed Sec.
                               authorization.        73.56 are based
                                                     upon several
                                                     fundamental changes
                                                     to the NRC's
                                                     approach to access
                                                     authorization since
                                                     the terrorist
                                                     attacks of
                                                     September 11, 2001,
                                                     and an increased
                                                     concern for an
                                                     active or passive
                                                     insider who may
                                                     collude with
                                                     adversaries to
                                                     commit radiological
                                                     sabotage.
                                                    The primary concern,
                                                     which many of the
                                                     amendments to Sec.
                                                      73.56 are designed
                                                     to address, is the
                                                     necessity of
                                                     increasing the
                                                     rigor of the access
                                                     authorization
                                                     process to provide
                                                     high assurance that
                                                     any individual who
                                                     is granted and
                                                     maintains UAA is
                                                     trustworthy and
                                                     reliable. Proposed
                                                     Sec.   73.56(h)
                                                     would identify
                                                     three categories of
                                                     proposed
                                                     requirements for
                                                     granting UAA: (1)
                                                     Initial unescorted
                                                     access
                                                     authorization, (2)
                                                     updated unescorted
                                                     access
                                                     authorization, and
                                                     (3) reinstatement
                                                     of unescorted
                                                     access
                                                     authorization. The
                                                     proposed
                                                     categories, which
                                                     are based upon
                                                     whether an
                                                     individual who has
                                                     applied for UAA has
                                                     previously held UAA
                                                     under Sec.   73.56
                                                     and the length of
                                                     time that has
                                                     elapsed since the
                                                     individual's last
                                                     period of UAA
                                                     ended, would be
                                                     defined in proposed
                                                     Sec.   73.56(h)(5)
                                                     [Initial unescorted
                                                     access
                                                     authorization],
                                                     proposed Sec.
                                                     73.56(h)(6)
                                                     [Updated unescorted
                                                     access
                                                     authorization], and
                                                     proposed Sec.
                                                     73.56(h)(7)
                                                     [Reinstatement of
                                                     unescorted access
                                                     authorization].
                                                    Proposed Sec.
                                                     73.56(h) would
                                                     direct licensees,
                                                     applicants, and C/
                                                     Vs to use the
                                                     criteria for
                                                     granting UAA that
                                                     are found in
                                                     proposed Sec.
                                                     73.56(h)(5),
                                                     (h)(6), and (h)(7),
                                                     depending on which
                                                     of the proposed
                                                     paragraphs would
                                                     apply to the
                                                     individual seeking
                                                     UAA. Current Sec.
                                                     73.56 permits
                                                     authorization
                                                     programs to specify
                                                     conditions for
                                                     reinstating an
                                                     interrupted UAA or
                                                     transferring UAA
                                                     from another
                                                     licensee, but it
                                                     does not use the
                                                     concepts of
                                                     ``initial
                                                     unescorted access
                                                     authorization,''
                                                     ``updated
                                                     unescorted access
                                                     authorization,'' or
                                                     ``reinstatement of
                                                     unescorted access
                                                     authorization.''
                                                     These concepts
                                                     would be used in
                                                     proposed Sec.
                                                     73.56 to focus the
                                                     requirements for
                                                     UAA more precisely
                                                     on whether the
                                                     individual has
                                                     established a
                                                     ``track record'' in
                                                     the industry, and
                                                     to specify the
                                                     amount of original
                                                     information-
                                                     gathering that
                                                     licensees,
                                                     applicants, and C/
                                                     Vs would be
                                                     required to
                                                     perform, based on
                                                     whether previous AA
                                                     programs have
                                                     collected
                                                     information about
                                                     the individual.

[[Page 62768]]

 
                                                    For individuals who
                                                     have established a
                                                     favorable track
                                                     record in the
                                                     industry, the steps
                                                     that licensees,
                                                     applicants, and C/
                                                     Vs would complete
                                                     in order to grant
                                                     UAA to an
                                                     individual would
                                                     also depend upon
                                                     the length of time
                                                     that has elapsed
                                                     since the
                                                     individual's last
                                                     period of UAA was
                                                     terminated and the
                                                     amount of
                                                     supervision to
                                                     which the
                                                     individual was
                                                     subject during the
                                                     interruption. (the
                                                     term,
                                                     ``interruption,''
                                                     refers to the
                                                     interval of time
                                                     between periods
                                                     during which an
                                                     individual
                                                     maintains UAA under
                                                     Sec.   73.56 and
                                                     will be discussed
                                                     in reference to
                                                     Sec.   73.56
                                                     (h)(4)). In
                                                     general, the more
                                                     time that has
                                                     elapsed since an
                                                     individual's last
                                                     period of UAA
                                                     ended, the more
                                                     steps that the
                                                     proposed rule would
                                                     require licensees,
                                                     applicants, and C/
                                                     Vs to complete
                                                     before granting UAA
                                                     to the individual.
                                                     However, if the
                                                     individual was
                                                     subject to AA
                                                     program elements in
                                                     the recent past,
                                                     the proposed rule
                                                     would require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to complete
                                                     fewer steps in
                                                     order to grant UAA
                                                     to the individual.
                                                     Individuals who
                                                     have established a
                                                     favorable work
                                                     history in the
                                                     industry have
                                                     demonstrated their
                                                     trustworthiness and
                                                     reliability from
                                                     previous periods of
                                                     UAA, so they pose
                                                     less potential risk
                                                     to public health
                                                     and safety and the
                                                     common defense and
                                                     security than
                                                     individuals who are
                                                     new to the
                                                     industry.
                                                    Much is known about
                                                     these individuals.
                                                     Not only were they
                                                     subject to the
                                                     initial background
                                                     investigation
                                                     requirements before
                                                     they were initially
                                                     granted UAA, but,
                                                     while they were
                                                     working under an AA
                                                     program, they were
                                                     watched carefully
                                                     through ongoing
                                                     behavioral
                                                     observation, and
                                                     demonstrated the
                                                     ability to
                                                     consistently comply
                                                     with the many
                                                     procedural
                                                     requirements that
                                                     are necessary to
                                                     perform work safely
                                                     at nuclear power
                                                     plants. Therefore,
                                                     the proposed rule
                                                     would decrease the
                                                     unnecessary
                                                     regulatory burden
                                                     associated with
                                                     granting UAA under
                                                     Sec.   73.56 by
                                                     reducing the steps
                                                     that AA programs
                                                     would be required
                                                     to take in order to
                                                     grant UAA to such
                                                     individuals.

[[Page 62769]]

 
                              (h)(1) Accepting      Proposed Sec.
                               unescorted access     73.56(h)(1) would
                               authorization from    permit licensees,
                               other authorization   applicants, and C/
                               programs.             Vs to rely upon the
                               Licensees,            authorization
                               applicants, and C/    programs and
                               Vs who are seeking    program elements of
                               to grant unescorted   other licensees,
                               access                applicants or C/Vs,
                               authorization to an   as well as other
                               individual who is     authorization
                               subject to another    programs and
                               authorization         program elements
                               program that          that meet the
                               complies with this    requirements of
                               section may rely on   proposed Sec.
                               the program           73.56, to meet the
                               elements completed    requirements of
                               by the transferring   this section for
                               authorization         granting and
                               program to satisfy    maintaining UAA.
                               the requirements of   Proposed Sec.
                               this section. An      73.56(h)(1) would
                               individual may        update the
                               maintain his or her   terminology used in
                               unescorted access     current Sec.
                               authorization if he   73.56(a)(4), which
                               or she continues to   states that
                               be subject to         licensees may
                               either the            accept an AA
                               receiving             program used by its
                               licensee's,           C/Vs or other
                               applicant's, or C/    organizations
                               V's authorization     provided it meets
                               program or the        the requirements of
                               transferring          this section. The
                               licensee's,           proposed paragraph
                               applicant's, or C/    would also modify
                               V's authorization     current Sec.
                               program, or a         73.56(c)(2), which
                               combination of        permits AA programs
                               elements from both    to specify
                               programs that         conditions for
                               collectively          transferring UAA
                               satisfy the           from one licensee
                               requirements of       to another. The
                               this section. The     proposed paragraph
                               receiving             would require the
                               authorization         AA program who is
                               program shall         receiving an
                               ensure that the       unescorted access
                               program elements      authorization that
                               maintained by the     was granted under
                               transferring          another AA program
                               program remain        to ensure that each
                               current.              of the AA program
                                                     elements to which
                                                     individuals must be
                                                     subject, such as
                                                     behavioral
                                                     observation
                                                     training and
                                                     psychological re-
                                                     assessments, remain
                                                     current, including
                                                     situations in which
                                                     the individual is
                                                     subject to a
                                                     combination of
                                                     program elements
                                                     that are
                                                     administered
                                                     separately by the
                                                     receiving and
                                                     transferring AA
                                                     programs.
                                                    The proposed
                                                     paragraph would
                                                     increase the
                                                     specificity of the
                                                     requirements that
                                                     must be met by
                                                     licensees,
                                                     applicants, or C/Vs
                                                     for granting UAA
                                                     and establish
                                                     detailed minimum
                                                     standards that all
                                                     programs must meet.
                                                     These proposed
                                                     detailed minimum
                                                     standards are
                                                     designed to address
                                                     recent changes in
                                                     industry practices
                                                     that have resulted
                                                     in a more transient
                                                     workforce, as
                                                     discussed in
                                                     Section IV.3. The
                                                     authorization
                                                     programs of
                                                     licensees,
                                                     applicants, and C/
                                                     Vs would be
                                                     substantially more
                                                     consistent than in
                                                     the past under
                                                     these proposed
                                                     detailed standards.
                                                     Therefore,
                                                     permitting
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to rely on other
                                                     AA programs to meet
                                                     the proposed rule's
                                                     requirements is
                                                     reasonable and
                                                     appropriate. In
                                                     addition, the
                                                     proposed provisions
                                                     would reduce
                                                     unnecessary
                                                     regulatory burden
                                                     by eliminating
                                                     redundancies in the
                                                     steps required to
                                                     grant UAA to an
                                                     individual who is
                                                     transferring from
                                                     one program to
                                                     another.

[[Page 62770]]

 
                              (h)(2) Information    A new Sec.
                               sharing. To meet      73.56(h)(2) would
                               the requirements of   permit licensees
                               this section,         and other entities
                               licensees,            to rely upon
                               applicants, and C/    information that
                               Vs may rely upon      was gathered by
                               the information       previous licensees,
                               that other            applicants, and C/
                               licensees,            Vs to meet the
                               applicants, and C/    requirements of
                               Vs who are subject    this section.
                               to this section       Because information
                               have gathered about   will be shared
                               individuals who       among licensees,
                               have previously       applicants, and C/
                               applied for           Vs, this proposed
                               unescorted access     provision would
                               authorization and     substantially
                               developed about       decrease the
                               individuals during    likelihood that an
                               periods in which      individual would be
                               the individuals       inadvertently
                               maintained            granted UAA by
                               unescorted access     another licensee
                               authorization.        after having his or
                                                     her UAA denied or
                                                     unfavorably
                                                     terminated under
                                                     another program. It
                                                     also recognizes
                                                     that there have
                                                     been changes in
                                                     staffing practices
                                                     at power reactors,
                                                     including a greater
                                                     reliance on
                                                     personnel transfers
                                                     and temporary work
                                                     forces, as
                                                     discussed in detail
                                                     in Section IV.3.
                                                     For individuals who
                                                     have previously
                                                     been evaluated
                                                     under an
                                                     authorization
                                                     program, were
                                                     granted UAA within
                                                     the past 3 years,
                                                     and successfully
                                                     maintained UAA,
                                                     this proposed
                                                     provision would
                                                     eliminate the need
                                                     to repeat efforts
                                                     that were completed
                                                     as part of the
                                                     prior access
                                                     authorization
                                                     process, thereby
                                                     saving substantial
                                                     duplication of
                                                     effort and
                                                     expenditure of
                                                     resources. The
                                                     proposed provision
                                                     would work in
                                                     conjunction with
                                                     proposed Sec.
                                                     73.56(o)(6), which
                                                     would require a
                                                     mechanism for
                                                     information
                                                     sharing.
                                                    The provision is
                                                     consistent with the
                                                     recent access
                                                     authorization
                                                     orders and with NRC-
                                                     endorsed guidance,
                                                     as well as current
                                                     industry practices.
                              (h)(3) Requirements   Proposed Sec.
                               applicable to all     73.56(h)(3) would
                               unescorted access     establish
                               authorization         requirements that
                               categories. Before    the licensee,
                               granting unescorted   applicant, or C/V
                               access                would be required
                               authorization to      to meet before
                               individuals in any    granting UAA to
                               category, including   individuals in any
                               individuals whose     of the categories
                               unescorted access     described in
                               authorization has     paragraphs (h)(5),
                               been interrupted      (h)(6), or (h)(7)
                               for a period of 30    of this section,
                               or fewer days, the    including
                               licensee,             individuals whose
                               applicant, or C/V     UAA has been
                               shall ensure that--   interrupted for a
                                                     period of 30 or
                                                     fewer days. The
                                                     proposed paragraph
                                                     would clearly
                                                     specify that the
                                                     requirements for
                                                     granting UAA
                                                     contained in the
                                                     paragraph are
                                                     intended to be
                                                     applied without
                                                     exceptions to
                                                     individuals in the
                                                     specified
                                                     categories.

[[Page 62771]]

 
                              (h)(3)(i) The         Proposed Sec.
                               individual's          73.46(h)(3)(i)
                               written consent to    through (h)(3)(vii)
                               conduct a             would specify the
                               background            steps required to
                               investigation, if     grant UAA to any
                               necessary, has been   individual. The
                               obtained and the      proposed paragraph
                               individual's true     would require
                               identity has been     licensees,
                               verified, in          applicants, and C/
                               accordance with       Vs to ensure that
                               paragraphs (d)(2)     the individual's
                               and (d)(3) of this    written consent for
                               section,              the background
                               respectively;         investigation in
                              (ii) A credit          proposed paragraph
                               history evaluation    (h)(3)(i) of this
                               or re-evaluation      section has been
                               has been completed    obtained; complete
                               in accordance with    a verification of
                               the requirements of   the individual's
                               paragraphs (d)(5)     true identity in
                               or (i)(1)(v) of       proposed (h)(3)(ii)
                               this section, as      of this section;
                               applicable;.          ensure completion
                              (iii) The              of the credit
                               individual's          history evaluation
                               character and         or re-evaluation,
                               reputation have       as applicable, in
                               been ascertained,     proposed paragraph
                               in accordance with    (h)(3)(ii) of this
                               paragraph (d)(6) of   section; ensure
                               this section;.        completion of the
                              (iv) The               reference checks
                               individual's          required to
                               criminal history      ascertain the
                               record has been       individual's
                               obtained and          character and
                               reviewed or           reputation in
                               updated, in           proposed paragraph
                               accordance with       (h)(3)(iii) of this
                               paragraphs (d)(7)     section; ensure
                               and (i)(1)(v) of      completion of the
                               this section, as      initial or updated
                               applicable;.          criminal history
                              (v) A psychological    review, as
                               assessment or         applicable, in
                               reassessment of the   proposed paragraph
                               individual has been   (h)(3)(iv) of this
                               completed in          section; ensure
                               accordance with the   completion of the
                               requirements of       psychological
                               paragraphs (e) or     assessment or re-
                               (i)(1)(v) of this     assessment, as
                               section, as           applicable, in
                               applicable;.          proposed paragraph
                              (vi) The individual    (h)(3)(v) of this
                               has successfully      section; ensure
                               completed the         completion of
                               initial or            initial or
                               refresher, as         refresher training
                               applicable,           in proposed
                               behavioral            paragraph
                               observation           (h)(3)(vi) of this
                               training that is      section; and ensure
                               required under        that the individual
                               paragraph (f) of      has been informed,
                               this section; and.    in writing, or his
                                                     or her arrest-
                                                     reporting
                                                     responsibilities in
                                                     paragraph
                                                     (h)(3)(vii) of this
                                                     section.
                                 (vii) The          The bases for each
                                  individual has     of the proposed
                                  been informed,     requirements listed
                                  in writing, of     in proposed Sec.
                                  his or her         73.56(h)(3)(i)
                                  arrest-reporting   through (h)(3)(vii)
                                  responsibilities   are discussed in
                                  under paragraph    detail with respect
                                  (g) of this        to proposed Sec.
                                  section..          73.56(d)(2),
                                                     (d)(3), (d)(5)
                                                     through (d)(7), and
                                                     (e) through (g),
                                                     respectively. The
                                                     bases for the
                                                     proposed
                                                     requirements for
                                                     updates to the
                                                     credit history
                                                     evaluation,
                                                     criminal history
                                                     review, and
                                                     psychological
                                                     assessment are
                                                     discussed with
                                                     respect to proposed
                                                     Sec.
                                                     73.56(i)(1)(v). The
                                                     requirements that
                                                     authorization
                                                     programs would be
                                                     required to meet in
                                                     order to grant UAA
                                                     to individuals in
                                                     every access
                                                     authorization
                                                     category would be
                                                     listed in these
                                                     paragraphs, in
                                                     response to
                                                     stakeholder
                                                     requests at the
                                                     public meetings
                                                     discussed in
                                                     Section IV.3 for
                                                     increased clarity
                                                     in the
                                                     organizational
                                                     structure of
                                                     requirements for
                                                     granting UAA.

[[Page 62772]]

 
                              (h)(4) Interruptions  Proposed Sec.
                               in unescorted         73.56(h)(4) would
                               access                describe the term
                               authorization. For    ``interruption,''
                               individuals who       which would be used
                               have previously       in proposed Sec.
                               held unescorted       73.56(h)(5)
                               access                [Initial unescorted
                               authorization under   access
                               this section but      authorization],
                               whose unescorted      proposed Sec.
                               access                73.56(h)(6)
                               authorization has     [Updated unescorted
                               since been            access
                               terminated under      authorization], and
                               favorable             proposed Sec.
                               conditions, the       73.56(h)(7) and
                               licensee,             Sec.   73.56(h)(8)
                               applicant, or C/V     [Reinstatement of
                               shall implement the   unescorted access
                               requirements in       authorization] to
                               this paragraph for    refer to the
                               initial unescorted    interval of time
                               access                between periods
                               authorization in      during which an
                               paragraph (h)(5) of   individual holds
                               this section,         UAA under Sec.
                               updated unescorted    73.56. Licensees,
                               access                applicants, or C/Vs
                               authorization in      would calculate an
                               paragraph (h)(6) of   interruption in UAA
                               this section, or      as the total number
                               reinstatement of      of days falling
                               unescorted access     between the day
                               authorization in      upon which the
                               paragraph (h)(7) of   individual's last
                               this section, based   period of UAA or UA
                               upon the total        ended and the day
                               number of days that   upon which the
                               the individual's      licensee,
                               unescorted access     applicant, or C/V
                               authorization has     grants UAA to the
                               been interrupted,     individual. This
                               to include the day    change would be
                               after the             made to enhance and
                               individual's last     clarify the access
                               period of             authorization
                               unescorted access     requirement in
                               authorization was     current Sec.
                               terminated and the    73.56(c)(2), which
                               intervening days      does not define the
                               until the day upon    meaning of the term
                               which the licensee,   ``interrupted
                               applicant, or C/V     access
                               grants unescorted     authorization.''
                               access
                               authorization to
                               the individual. If
                               potentially
                               disqualifying
                               information is
                               disclosed or
                               discovered about an
                               individual,
                               licensees,
                               applicants, and C/
                               Vs shall take
                               additional actions,
                               as specified in the
                               licensee's or
                               applicant's
                               physical security
                               plan, in order to
                               grant or maintain
                               the individual's
                               unescorted access
                               authorization.
                              (h)(5) Initial        A new Sec.
                               unescorted access     73.56(h)(5)
                               authorization.        [Initial unescorted
                               Before granting       access
                               unescorted access     authorization]
                               authorization to an   would establish the
                               individual who has    category of
                               never held            ``initial
                               unescorted access     unescorted access
                               authorization under   authorization''
                               this section or       requirements to
                               whose unescorted      apply both to
                               access                individuals who
                               authorization has     have not previously
                               been interrupted      held UAA under this
                               for a period of 3     section and those
                               years or more and     whose UAA has been
                               whose last period     interrupted for a
                               of unescorted         period of 3 or more
                               access                years and whose
                               authorization was     last period of UAA
                               terminated under      ended favorably. In
                               favorable             general, the longer
                               conditions, the       the period of time
                               licensee,             since the
                               applicant, or C/V     individual's last
                               shall ensure that     period of UAA
                               an employment         ended, the greater
                               history evaluation    the possibility
                               has been completed    that the individual
                               in accordance with    may have undergone
                               paragraph (d)(4) of   significant changes
                               this section. The     in lifestyle or
                               period of the         character that
                               employment history    would diminish his
                               that the individual   or her
                               shall disclose, and   trustworthiness and
                               the licensee,         reliability.
                               applicant, or C/V     Therefore, this
                               shall evaluate,       paragraph would
                               must be the past 3    require an
                               years or since the    individual who has
                               individual's          not been subject to
                               eighteenth            an AA program for 3
                               birthday, whichever   or more years to
                               is shorter. For the   undergo the same
                               1-year period         full and extensive
                               immediately           screening to which
                               preceding the date    an individual who
                               upon which the        has never held UAA
                               individual applies    would be subject.
                               for unescorted        The proposed
                               access                paragraph would
                               authorization, the    require the
                               licensee,             licensee,
                               applicant, or C/V     applicant, or C/V,
                               shall ensure that     before granting UAA
                               the employment        to an individual,
                               history evaluation    to complete an
                               is conducted with     evaluation of the
                               every employer,       individual's
                               regardless of the     employment history
                               length of             over the past 3
                               employment.           years. The 3-year
                                                     time period to be
                                                     addressed in the
                                                     employment history
                                                     evaluation would be
                                                     consistent with
                                                     requirements
                                                     established in the
                                                     access
                                                     authorization
                                                     orders issued by
                                                     the NRC to nuclear
                                                     power plant
                                                     licensees on
                                                     January 7, 2003, as
                                                     discussed in
                                                     Section IV.3.

[[Page 62773]]

 
                              For the remaining 2-  In addition, this 3-
                               year period, the      year time period
                               licensee,             has been used
                               applicant, or C/V     successfully within
                               shall ensure that     AA programs since
                               the employment        Sec.   73.56 was
                               history evaluation    first promulgated
                               is conducted with     and has met the
                               the employer by       NRC's goal of
                               whom the individual   ensuring that
                               claims to have been   individuals who are
                               employed the          granted UAA are
                               longest within each   trustworthy and
                               calendar month, if    reliable.
                               the individual        Therefore, the 3-
                               claims employment     year time period
                               during the given      would be retained
                               calendar month.       in proposed Sec.
                                                     73.56. The
                                                     employment history
                                                     evaluation would
                                                     focus on the
                                                     individual's
                                                     employment record
                                                     during the year
                                                     preceding his or
                                                     her application for
                                                     UAA by requiring
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to make a ``best
                                                     effort,'' as
                                                     described with
                                                     respect to proposed
                                                     Sec.   73.56(d)(4),
                                                     to obtain and
                                                     evaluate employment
                                                     history information
                                                     from every employer
                                                     by whom the
                                                     individual claims
                                                     to have been
                                                     employed during the
                                                     year. The proposed
                                                     rule would require
                                                     this focus on the
                                                     year preceding the
                                                     individual's
                                                     application for UAA
                                                     because the
                                                     individual's
                                                     employment history
                                                     during the past
                                                     year provides
                                                     current information
                                                     related to the
                                                     individual's
                                                     trustworthiness and
                                                     reliability. For
                                                     the earlier 2 years
                                                     of the employment
                                                     history period, the
                                                     proposed paragraph
                                                     would require the
                                                     licensee,
                                                     applicant, or C/V
                                                     to conduct the
                                                     employment history
                                                     with every employer
                                                     by whom the
                                                     applicant claims to
                                                     have been employed
                                                     the longest within
                                                     each calendar month
                                                     that would fall
                                                     within that 2-year
                                                     period.
                                                    The proposed
                                                     provision would
                                                     permit this
                                                     ``sampling''
                                                     approach to the
                                                     employment history
                                                     evaluation for the
                                                     earlier 2-year
                                                     period because
                                                     industry experience
                                                     has shown that
                                                     employers are often
                                                     reluctant to
                                                     disclose adverse
                                                     information to
                                                     other private
                                                     employers about
                                                     former employees,
                                                     and that the longer
                                                     it has been since
                                                     an individual was
                                                     employed, the less
                                                     likely it is that a
                                                     former employer
                                                     will disclose
                                                     useful information.
                                                     Experience
                                                     implementing AA
                                                     programs has also
                                                     shown that the
                                                     shorter the time
                                                     period during which
                                                     an individual was
                                                     employed by an
                                                     employer, the less
                                                     likely it is that
                                                     the employer
                                                     retains any useful
                                                     information related
                                                     to the individual's
                                                     trustworthiness and
                                                     reliability.
                                                     Therefore, the
                                                     proposed paragraph
                                                     would not require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to conduct the
                                                     employment history
                                                     evaluation with
                                                     every employer by
                                                     whom the individual
                                                     claims to have been
                                                     employed, but,
                                                     rather, to contact
                                                     only the employer
                                                     by whom the
                                                     individual claims
                                                     to have been
                                                     employed the
                                                     longest within each
                                                     calendar month that
                                                     falls within that 2-
                                                     year period (i.e.,
                                                     the ``given''
                                                     calendar month).
                                                     Contacting these
                                                     employers would
                                                     increase the
                                                     likelihood that the
                                                     employers would
                                                     have knowledge of
                                                     the applicant and
                                                     would be willing to
                                                     disclose it.

[[Page 62774]]

 
                              (h)(6) Updated        Proposed Sec.
                               unescorted access     73.56(h)(6)
                               authorization.        [Updated unescorted
                               Before granting       access
                               unescorted access     authorization]
                               authorization to an   would establish a
                               individual whose      category of
                               unescorted access     ``updated
                               authorization has     unescorted access
                               been interrupted      authorization'' to
                               for more than 365     apply to
                               days but fewer than   individuals whose
                               3 years and whose     UAA has been
                               last period of        interrupted for
                               unescorted access     more than 365 days
                               authorization was     but less than 3
                               terminated under      years and whose
                               favorable             last period of UAA
                               conditions, the       was terminated
                               licensee,             favorably. The
                               applicant, or C/V     proposed
                               shall ensure that     requirements for
                               an employment         granting updated
                               history evaluation    UAA would be less
                               has been completed    stringent than the
                               in accordance with    proposed
                               paragraph (d)(4) of   requirements for
                               this section. The     granting initial
                               period of the         UAA. The proposed
                               employment history    requirements would
                               that the individual   be less stringent
                               shall disclose, and   because the
                               the licensee,         individual who is
                               applicant, or C/V     applying for
                               shall evaluate,       updated UAA would
                               must be the period    have a more recent
                               since unescorted      ``track record'' of
                               access                successful
                               authorization was     performance within
                               last terminated, up   the industry. Also
                               to and including      the licensee,
                               the day the           applicant, or C/V
                               applicant applies     would have access
                               for updated           to information
                               unescorted access     about the
                               authorization. For    individual seeking
                               the 1-year period     UAA from the
                               immediately           licensee,
                               preceding the date    applicant, or C/V
                               upon which the        who last granted
                               individual applies    UAA to the
                               for unescorted        individual as a
                               access                result of the
                               authorization, the    increased
                               licensee,             information-sharing
                               applicant, or C/V     requirements of the
                               shall ensure that     proposed rule.
                               the employment        However, the
                               history evaluation    licensee,
                               is conducted with     applicant, or C/V
                               every employer,       would not have
                               regardless of the     information about
                               length of             the individual's
                               employment.           activities from the
                                                     period during which
                                                     the individual's
                                                     UAA was
                                                     interrupted.
                                                     Therefore, the
                                                     proposed rule's
                                                     requirements for
                                                     updated UAA would
                                                     focus on gathering
                                                     and evaluating
                                                     information from
                                                     the interruption
                                                     period.
                              For the remaining     For example, in the
                               period since          case of an
                               unescorted access     individual whose
                               authorization was     last period of UAA
                               last terminated,      ended 2 years ago,
                               the licensee,         the licensee,
                               applicant, or C/V     applicant or C/V
                               shall ensure that     would gather
                               the employment        information about
                               history evaluation    the individual's
                               is conducted with     activities within
                               the employer by       the 2-year
                               whom the individual   interruption
                               claims to have been   period. Similarly,
                               employed the          if an individual's
                               longest within each   last period of UAA
                               calendar month, if    ended 13 months
                               the individual        ago, the licensee,
                               claims employment     applicant, or C/V
                               during the given      would gather
                               calendar month.       information about
                                                     the individual's
                                                     activities within
                                                     the past 13 months.
                                                     For the reasons
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(h)(5),
                                                     the proposed
                                                     paragraph would
                                                     require the
                                                     employment history
                                                     evaluation to be
                                                     conducted with
                                                     every employer in
                                                     the year preceding
                                                     the individual's
                                                     application for
                                                     updated UAA, and to
                                                     contact only the
                                                     employer by whom
                                                     the individual
                                                     claims to have been
                                                     employed the
                                                     longest within any
                                                     earlier calendar
                                                     month (i.e., the
                                                     ``given'' calendar
                                                     month) that would
                                                     fall within the
                                                     interruption
                                                     period.

[[Page 62775]]

 
                              (h)(7) Reinstatement  Proposed Sec.
                               of unescorted         73.56(h)(7)
                               access                [Reinstatement of
                               authorization (31     unescorted access
                               to 365 days). In      authorization]
                               order to grant        would establish a
                               authorization to an   category of
                               individual whose      ``reinstatement of
                               unescorted access     unescorted access
                               authorization has     authorization,''
                               been interrupted      which would apply
                               for a period of       to individuals
                               more than 30 days     whose UAA has been
                               but no more than      interrupted for a
                               365 days and whose    period of more than
                               last period of        30 days but no more
                               unescorted access     than 365 days and
                               authorization was     whose last period
                               terminated under      of UAA was
                               favorable             terminated
                               conditions, the       favorably. The
                               licensee,             proposed steps for
                               applicant, or C/V     reinstating an
                               shall ensure that     individual's UAA
                               an employment         after an
                               history evaluation    interruption of 365
                               has been completed    or fewer days would
                               in accordance with    be less stringent
                               the requirements of   than those required
                               paragraph (d)(4) of   for initial UAA or
                               this section within   an updated UAA.
                               5 business days of    This is because
                               reinstating           these individuals
                               unescorted access     have a recent,
                               authorization. The    positive ``track
                               period of the         record'' within the
                               employment history    industry and that
                               that the individual   record provides
                               shall disclose, and   evidence that the
                               the licensee,         risk to public
                               applicant, or C/V     health and safety
                               shall evaluate,       or the common
                               must be the period    defense and
                               since the             security posed by a
                               individual's          less rigorous
                               unescorted access     employment history
                               authorization was     evaluation is
                               terminated, up to     acceptable. The
                               and including the     proposed paragraph
                               day the applicant     would limit the
                               applies for           period of time to
                               reinstatement of      be addressed in the
                               unescorted access     employment history
                               authorization. The    to the period of
                               licensee,             the interruption in
                               applicant, or C/V     UAA and require
                               shall ensure that     that the employment
                               the employment        history evaluation
                               history evaluation    must be conducted
                               has been conducted    with the employer
                               with the employer     by whom the
                               by whom the           individual claims
                               individual claims     to have been
                               to have been          employed the
                               employed the          longest within each
                               longest within the    calendar month, if
                               calendar month, if    the individual
                               the individual        claims employment
                               claims employment     during a given
                               during a given        calendar month.
                               calendar month.
                              If the employment     An employment
                               history evaluation    history for earlier
                               is not completed      periods of time
                               within 5 business     would be
                               days due to           unnecessary because
                               circumstances that    the granting
                               are outside of the    licensee,
                               licensee's,           applicant, or C/V
                               applicant's, or C/    would have access
                               V's control and the   to information
                               licensee,             about the
                               applicant, or C/V     individual from the
                               is not aware of any   licensee,
                               potentially           applicant, or C/V
                               disqualifying         who had recently
                               information           terminated the
                               regarding the         individual's UAA.
                               individual within     However, the
                               the past 5 years,     licensee,
                               the licensee,         applicant, or C/V
                               applicant, or C/V     would not have
                               may maintain the      information about
                               individual's          the individual's
                               unescorted access     activities during
                               authorization for     the period of
                               an additional 5       interruption, so
                               business days. If     the proposed rule's
                               the employment        requirements for
                               history evaluation    reinstating UAA
                               is not completed      would focus on
                               within 10 business    gathering and
                               days of reinstating   evaluating
                               unescorted access     information only
                               authorization, the    from the
                               licensee,             interruption
                               applicant, or C/V     period. By contrast
                               may maintain the      to the proposed
                               individual's          requirements for an
                               unescorted access     initial UAA and an
                               authorization for     updated UAA,
                               an additional 5       proposed Sec.
                               business days. If     73.56(h)(7) would
                               the employment        permit the
                               history evaluation    licensee,
                               is not completed      applicant, or C/V
                               within 10 business    to reinstate an
                               days of reinstating   individual's UAA
                               unescorted access     without first
                               authorization, the    completing the
                               licensee,             employment history
                               applicant, or C/V     evaluation. As
                               shall                 would be required
                               administratively      for an updated UAA,
                               withdraw the          the proposed rule
                               individual's          would limit the
                               unescorted access     period of time to
                               authorization until   be addressed by the
                               the employment        employment history
                               history evaluation    evaluation to the
                               is completed.         interruption
                                                     period.

[[Page 62776]]

 
                                                    However, the
                                                     proposed paragraph
                                                     would permit the
                                                     licensee,
                                                     applicant, or C/V
                                                     to reinstate the
                                                     individual's UAA
                                                     before completing
                                                     the employment
                                                     history evaluation
                                                     because these
                                                     individuals have a
                                                     recent, positive
                                                     track record within
                                                     the industry and
                                                     that record
                                                     demonstrates that
                                                     they would pose an
                                                     acceptable risk to
                                                     public health and
                                                     safety or the
                                                     common defense and
                                                     security. If the
                                                     employment history
                                                     evaluation is not
                                                     completed within
                                                     the 5-day period
                                                     permitted, the
                                                     proposed paragraph
                                                     would permit the
                                                     licensee,
                                                     applicant, or C/V
                                                     to maintain the
                                                     individual's UAA
                                                     for up to 10 days
                                                     following the day
                                                     upon which UAA was
                                                     reinstated, but
                                                     only if the
                                                     licensee,
                                                     applicant, or C/V
                                                     is unaware of any
                                                     potentially
                                                     disqualifying
                                                     information about
                                                     the individual. If
                                                     the employment
                                                     history evaluation
                                                     is not completed
                                                     within the 10 days
                                                     permitted, the
                                                     proposed paragraph
                                                     would require the
                                                     licensee,
                                                     applicant, or C/V
                                                     to administratively
                                                     withdraw the
                                                     individual's UAA
                                                     until the
                                                     employment history
                                                     evaluation is
                                                     completed. The
                                                     proposed rule would
                                                     not establish
                                                     employment history
                                                     requirements for
                                                     individuals whose
                                                     UAA has been
                                                     interrupted for 30
                                                     or fewer days.
                                                    Proposed Sec.
                                                     73.56(h)(3) would
                                                     require the
                                                     entities who are
                                                     subject to this
                                                     section to obtain
                                                     and review a
                                                     personal history
                                                     disclosure from the
                                                     applicant for UAA
                                                     that would address
                                                     the period since
                                                     the individual's
                                                     last period of UAA
                                                     was terminated.
                                                     However, the
                                                     licensee,
                                                     applicant, or C/V
                                                     would be permitted
                                                     to forego
                                                     conducting an
                                                     employment history
                                                     evaluation for
                                                     individuals whose
                                                     UAA has been
                                                     interrupted for
                                                     such a short
                                                     period, because
                                                     there would be
                                                     little to be
                                                     learned.
Sec.   73.56(b)(3) The        (h)(8) Determination  Proposed Sec.
 licensee shall base its       basis. The            73.56(h)(8) would
 decision to grant, deny,      licensee's,           amend but retain
 revoke, or continue an        applicant's, or C/    the meaning of
 unescorted access             V's reviewing         current Sec.
 authorization on review and   official shall        73.56(b)(3), which
 evaluation of all pertinent   determine whether     requires licensees
 information developed.        to grant, deny,       to base a decision
                               unfavorably           to grant, deny,
                               terminate, or         revoke, or continue
                               maintain or amend     UAA on review and
                               an individual's       evaluation of all
                               unescorted access     pertinent
                               authorization         information
                               status, based on an   developed. The
                               evaluation of all     terms used in the
                               pertinent             proposed paragraph,
                               information that      such as
                               has been gathered     ``unfavorably
                               about the             terminate'' to
                               individual as a       replace ``revoke''
                               result of any         and ``maintain'' to
                               application for       replace
                               unescorted access     ``continue,'' would
                               authorization or      be updated for
                               developed during or   consistency with
                               following in any      the terms currently
                               period during which   used by the
                               the individual        industry and in
                               maintained            other portions of
                               unescorted access     the proposed
                               authorization.        section. In
                                                     addition, the
                                                     proposed paragraph
                                                     would include
                                                     references to the
                                                     reviewing official,
                                                     rather than the
                                                     licensee, to convey
                                                     more accurately
                                                     that the only
                                                     individual who is
                                                     authorized to make
                                                     access
                                                     authorization
                                                     decisions under
                                                     this section is the
                                                     designated
                                                     reviewing official.

[[Page 62777]]

 
                              The licensee's,       The terms, ``all
                               applicant's or C/     pertinent'' and
                               V's reviewing         ``accumulated
                               official may not      information,''
                               determine whether     would be used in
                               to grant unescorted   the proposed
                               access                paragraph because
                               authorization to an   some of the
                               individual or         information that a
                               maintain an           reviewing official
                               individual's          must have before
                               unescorted access     making a
                               authorization until   determination is
                               all of the required   gathered under the
                               information has       requirements of 10
                               been provided to      CFR part 26, such
                               the reviewing         as drug and alcohol
                               official and he or    test results and
                               she determines that   the results of the
                               the accumulated       suitable inquiry.
                               information           In addition, the
                               supports a positive   proposed paragraph
                               finding of            would expand on the
                               trustworthiness and   current requirement
                               reliability.          for a review and
                                                     evaluation of all
                                                     pertinent
                                                     information by
                                                     adding a
                                                     prohibition on
                                                     making an access
                                                     authorization
                                                     decision until all
                                                     of the required
                                                     information has
                                                     been provided to
                                                     the reviewing
                                                     official and the
                                                     reviewing official
                                                     has determined that
                                                     the information
                                                     indicates that the
                                                     subject individual
                                                     is trustworthy and
                                                     reliable. These
                                                     changes would be
                                                     made to more
                                                     clearly communicate
                                                     the NRC's intent by
                                                     improving the
                                                     specificity of the
                                                     language of the
                                                     rule.
Sec.   73.56(c)(3) The        (h)(9) Unescorted     Proposed Sec.
 licensee shall grant          access for NRC-       73.56(h)(9) would
 unescorted access             certified             update but retain
 authorization to all          personnel. The        the meaning of
 individuals who have been     licensees and         current Sec.
 certified by the Nuclear      applicants            73.56(c)(3), which
 Regulatory Commission as      specified in          requires licensees
 suitable for such access.     paragraph (a) of      to grant unescorted
                               this section shall    access to
                               grant unescorted      individuals who
                               access to all         have been certified
                               individuals who       by the NRC as
                               have been certified   suitable for such
                               by the NRC as         access. This
                               suitable for such     provision ensures
                               access including,     that licensees and
                               but not limited to,   applicants are
                               contractors to the    allowed to grant
                               NRC and NRC           UAA to individuals
                               employees.            whom the NRC has
                                                     determined require
                                                     such access, and
                                                     whom the NRC has
                                                     investigated and is
                                                     certifying as
                                                     suitable for
                                                     access, without
                                                     requiring the
                                                     licensees or
                                                     applicants to meet
                                                     all of the
                                                     requirements that
                                                     would otherwise be
                                                     necessary before
                                                     granting unescorted
                                                     access to these
                                                     individuals. In
                                                     addition to
                                                     avoiding
                                                     duplication of
                                                     effort, this
                                                     proposed provision
                                                     would help to
                                                     ensure that NRC-
                                                     certified
                                                     individuals will
                                                     obtain prompt
                                                     unescorted access
                                                     to protected and
                                                     vital areas, if
                                                     necessary. The
                                                     proposed paragraph
                                                     would update the
                                                     entities who are
                                                     subject to this
                                                     requirement by
                                                     adding applicants
                                                     to reflect the
                                                     NRC's new licensing
                                                     processes for
                                                     nuclear power
                                                     plants, as
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(a).

[[Page 62778]]

 
Sec.   73.56(b)(4) Failure    (h)(10) Access        A new Sec.
 by an individual to report    prohibited.           73.56(h)(10) would
 any previous suspension,      Licensees and         prohibit the
 revocation, or denial of      applicants may not    entities who are
 unescorted access to          permit an             subject to this
 nuclear power reactors is     individual, who is    section from
 considered sufficient cause   identified as         permitting any
 for denial of unescorted      having an access-     individual whose
 access authorization.         denied status in      most recent
                               the information-      application for UAA
                               sharing mechanism     has been denied or
                               required under        most recent period
                               paragraph (o)(6) of   of UAA was
                               this section, or      unfavorably
                               has an access         terminated from
                               authorization         entering any
                               status other than     protected or vital
                               favorably             area, or to have
                               terminated, to        the ability to use
                               enter any nuclear     nuclear power plant
                               power plant           digital systems
                               protected area or     that could
                               vital area, under     adversely impact
                               escort or             operational safety,
                               otherwise, or take    security, or
                               actions by            emergency response
                               electronic means      capabilities. The
                               that could impact     proposed paragraph
                               the licensee's or     would be added
                               applicant's           because the NRC is
                               operational safety,   aware that, in the
                               security, or          past, some
                               emergency response    licensees permitted
                               capabilities, under   individuals whose
                               supervision or        UAA was denied or
                               otherwise, except     unfavorably
                               if, upon review and   terminated to enter
                               evaluation, the       protected areas as
                               reviewing official    visitors.
                               determines that       Licensees' current
                               such access is        Physical Security
                               warranted.            Plans require that
                               Licensees and         any visitor to a
                               applicants shall      protected area or
                               develop               vital area must be
                               reinstatement         escorted and under
                               review procedures     the supervision of
                               for assessing         an individual who
                               individuals who       has UAA and,
                               have been in an       therefore, is
                               access-denied         trained in
                               status.               behavioral
                                                     observation, in
                                                     accordance with the
                                                     requirements of
                                                     this section and
                                                     related
                                                     requirements in
                                                     part 26. However,
                                                     in the current
                                                     threat environment,
                                                     the NRC believes
                                                     that permitting any
                                                     individual who has
                                                     been determined not
                                                     to be trustworthy
                                                     and reliable to
                                                     enter protected or
                                                     vital areas does
                                                     not adequately
                                                     protect public
                                                     health and safety
                                                     or the common
                                                     defense and
                                                     security.
                                                     Therefore, the
                                                     proposed paragraph
                                                     would prohibit this
                                                     practice.
                                                    The proposed
                                                     paragraph would
                                                     also prohibit
                                                     individuals whose
                                                     UAA has been denied
                                                     or unfavorably
                                                     terminated from
                                                     electronically
                                                     accessing
                                                     licensees' and
                                                     applicants'
                                                     operational safety,
                                                     security, and
                                                     emergency response
                                                     systems. The
                                                     proposed
                                                     prohibition on
                                                     electronic access
                                                     would be consistent
                                                     with other
                                                     requirements in the
                                                     proposed regulation
                                                     and is necessary
                                                     for the same
                                                     reasons that
                                                     physical access
                                                     would be
                                                     prohibited. An
                                                     individual whose
                                                     most recent
                                                     application for UAA
                                                     was denied, or
                                                     whose most recent
                                                     period of UAA was
                                                     terminated
                                                     unfavorably could
                                                     be considered again
                                                     for UAA, but only
                                                     if the applicable
                                                     requirements are
                                                     met, as specified
                                                     in the licensee's
                                                     or applicant's
                                                     Physical Security
                                                     Plan, and the
                                                     reviewing official
                                                     makes a positive
                                                     determination that
                                                     the individual is
                                                     trustworthy and
                                                     reliable, and,
                                                     therefore, that UAA
                                                     is warranted. These
                                                     provisions are
                                                     necessary to
                                                     strengthen the
                                                     effectiveness of AA
                                                     programs.
                              (i) Maintaining       A new Sec.
                               access                73.56(i)
                               authorization.        [Maintaining access
                                                     authorization]
                                                     would establish the
                                                     conditions that
                                                     must be met in
                                                     order for an
                                                     individual who has
                                                     been granted UAA to
                                                     maintain UAA under
                                                     this section, and
                                                     present them
                                                     together in one
                                                     paragraph for
                                                     organizational
                                                     clarity in the
                                                     rule. The proposed
                                                     paragraph would be
                                                     added in response
                                                     to stakeholder
                                                     requests for this
                                                     clarification at
                                                     the public meetings
                                                     discussed in
                                                     Section IV.3.

[[Page 62779]]

 
                              (i)(1) Individuals    Proposed Sec.
                               may maintain          73.56(i)(1)(i) and
                               unescorted access     (i)(1)(ii) would
                               authorization under   reiterate the
                               the following         requirements for
                               conditions:           subjecting
                              (i) The individual     individuals who are
                               remains subject to    maintaining UAA to
                               a behavioral          behavioral
                               observation program   observation in
                               that complies with    proposed paragraph
                               the requirements of   (f) of this section
                               paragraph (f) of      and for
                               this section;.        successfully
                              (ii) The individual    completing
                               successfully          refresher training
                               completes             or passing a
                               behavioral            ``challenge''
                               observation           examination each
                               refresher training    year during which
                               or testing on the     the individual
                               nominal 12-month      maintains UAA in
                               frequency required    proposed paragraph
                               in (f)(2)(ii) of      (f)(2)(ii) of this
                               this section;.        section. These
                                                     proposed
                                                     requirements would
                                                     be reiterated in
                                                     this paragraph to
                                                     emphasize their
                                                     applicability to
                                                     maintaining UAA for
                                                     organizational
                                                     clarity in the
                                                     proposed rule. The
                                                     bases for these
                                                     proposed
                                                     requirements are
                                                     discussed in detail
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(f) and
                                                     (f)(2)(ii),
                                                     respectively.
                              (i)(1)(iii) The       Proposed Sec.
                               individual complies   73.56(i)(1)(iii)
                               with the              would require an
                               licensee's,           individual, in
                               applicant's, or C/    order to maintain
                               V's authorization     UAA, to comply with
                               program policies      the policies and
                               and procedures to     procedures to which
                               which he or she is    the individual is
                               subject, including    subject, including
                               the arrest-           the arrest-
                               reporting             reporting
                               responsibility        requirement in
                               specified in          proposed paragraph
                               paragraph (g) of      Sec.   73.56(g).
                               this section;         The requirement to
                                                     comply with the
                                                     applicable
                                                     licensee's,
                                                     applicant's, and C/
                                                     V's policies and
                                                     procedures would be
                                                     added because
                                                     licensees and
                                                     applicants would
                                                     establish AA
                                                     policies and
                                                     implementing
                                                     procedures in their
                                                     Physical Security
                                                     Plans, required
                                                     under proposed Sec.
                                                       73.56(a), which
                                                     would include, but
                                                     would not be
                                                     limited to, a
                                                     description of the
                                                     conditions under
                                                     which an
                                                     individual's UAA
                                                     must be unfavorably
                                                     terminated. These
                                                     policies and
                                                     procedures would
                                                     prohibit certain
                                                     acts by
                                                     individuals, and
                                                     individuals would
                                                     be required to
                                                     avoid committing
                                                     such acts, in order
                                                     to maintain UAA. In
                                                     addition, part 26
                                                     requires licensees,
                                                     applicants, and C/
                                                     Vs also to develop,
                                                     implement, and
                                                     maintain fitness-
                                                     for-duty program
                                                     policies and
                                                     procedures with
                                                     which individuals
                                                     must comply in
                                                     order to maintain
                                                     UAA. For example,
                                                     10 CFR 26.27(b)(3)
                                                     requires the
                                                     unfavorable
                                                     termination of an
                                                     individual's UAA,
                                                     if the individual
                                                     has been involved
                                                     in the sale, use,
                                                     or possession of
                                                     illegal drugs
                                                     within a nuclear
                                                     power plant
                                                     protected area.
                                                    The proposed rule
                                                     would require
                                                     compliance with
                                                     these authorization
                                                     policies and
                                                     procedures, as well
                                                     the arrest-
                                                     reporting
                                                     requirement in
                                                     proposed Sec.
                                                     73.56(g), for
                                                     clarity in the
                                                     proposed rule. The
                                                     basis for the
                                                     arrest-reporting
                                                     requirement is
                                                     discussed with
                                                     respect to proposed
                                                     Sec.   73.56(g).
                              (i)(1)(iv) The        Proposed Sec.
                               individual is         73.56(i)(1)(iv)
                               subject to a          would require
                               supervisory           individuals, in
                               interview at a        order to maintain
                               nominal 12-month      UAA, to be subject
                               frequency,            to an annual
                               conducted in          supervisory review
                               accordance with the   during each year
                               requirements of the   that the individual
                               licensee's or         maintains UAA. The
                               applicant's           supervisory review
                               Physical Security     would be conducted
                               Plan; and             for the purposes
                                                     and in the manner
                                                     that licensees and
                                                     applicants would
                                                     specify in the
                                                     Physical Security
                                                     Plans required
                                                     under proposed Sec.
                                                       73.56(a). The
                                                     proposed paragraph
                                                     would include a
                                                     requirement for
                                                     these annual
                                                     supervisory reviews
                                                     for completeness
                                                     and organizational
                                                     clarity in the
                                                     proposed rule.

[[Page 62780]]

 
                              (i)(1)(v) The         A new Sec.
                               licensee,             73.56(i)(1)(v)
                               applicant, or C/V     would establish
                               determines that the   requirements for
                               individual            periodic updates of
                               continues to be       the criminal
                               trustworthy and       history review,
                               reliable. This        credit history
                               determination must    evaluation, and
                               be made as follows:   psychological
                              (A) The licensee,      assessment in order
                               applicant, or C/V     for an individual
                               shall complete a      to maintain UAA.
                               criminal history      The proposed rule
                               update, credit        would add these
                               history re-           update and re-
                               evaluation, and       evaluation
                               psychological re-     requirements
                               assessment of the     because it is
                               individual within 5   necessary to ensure
                               years of the date     that individuals
                               on which these        who are maintaining
                               elements were last    UAA over long
                               completed, or more    periods of time
                               frequently, based     remain trustworthy
                               on job assignment;.   and reliable. The
                              (B) The reviewing      proposed update
                               official shall        requirements would
                               complete an           also apply to
                               evaluation of the     transient workers
                               information           who, under the
                               obtained from the     proposed provisions
                               criminal history      for granting
                               update, credit        updated UAA in
                               history re-           proposed Sec.
                               evaluation,           73.56(h)(6) and a
                               psychological re-     reinstatement of
                               assessment, and the   UAA in proposed
                               supervisory           Sec.   73.56(h)(7),
                               interview required    may be granted UAA
                               under paragraph       without undergoing
                               (i)(1)(iv) of this    the criminal
                               section within 30     history review,
                               calendar days of      credit history
                               initiating any one    evaluation, and
                               of these elements;.   psychological
                              (C) The results of     assessment that are
                               the criminal          required to grant
                               history update,       initial UAA in
                               credit history re-    proposed Sec.
                               evaluation,           73.56(h)(5) each
                               psychological re-     time that the
                               assessment, and the   individual
                               supervisory           transfers between
                               interview required    licensee sites or
                               under paragraph       applies for UAA
                               (i)(1)(iv) of this    after an
                               section must          interruption
                               support a positive    period. It is also
                               determination of      necessary to ensure
                               the individual's      that these
                               continued             transient workers
                               trustworthiness and   remain trustworthy
                               reliability; and.     and reliable.
                                                     Proposed Sec.
                                                     73.56(i)(1)(v)(A)
                                                     would require that
                                                     the updates and re-
                                                     evaluation must
                                                     occur within 5
                                                     years of the date
                                                     on which the
                                                     program elements
                                                     were last
                                                     completed.
                              (D) If the criminal   The 5-year interval
                               history update,       is consistent with
                               credit history re-    the update
                               evaluation,           requirements of
                               psychological re-     other Federal
                               assessment, and       agencies and
                               supervisory review    private entities
                               have not been         who impose similar
                               completed and the     requirements on
                               information           individuals who
                               evaluated by the      must be trustworthy
                               reviewing official    and reliable. More
                               within 5 years of     frequent updates
                               the initial           and re-evaluations
                               completion of these   would be required
                               elements or the       for some
                               most recent update,   individuals, as
                               re-evaluation, and    specified in the
                               re-assessment under   licensee's or
                               this paragraph, or    applicant's
                               within the time       Physical Security
                               period specified in   Plan, based on the
                               the licensee's or     nature of their job
                               applicant's           assignments, for
                               Physical Security     the reasons
                               Plans, the            discussed with
                               licensee,             respect to proposed
                               applicant, or C/V     Sec.
                               shall                 73.56(e)(4)(ii).
                               administratively      The new Sec.
                               withdraw the          73.56(i)(1)(v)(B)
                               individual's          would also require
                               unescorted access     licensees,
                               authorization until   applicants, and C/
                               these requirements    Vs to conduct the
                               have been met.        required re-
                                                     evaluation
                                                     activities that are
                                                     specified in the
                                                     proposed paragraph,
                                                     and the supervisory
                                                     review required
                                                     under proposed Sec.
                                                       73.56(i)(1)(iv),
                                                     within 30 days of
                                                     the initiating any
                                                     one of these
                                                     elements. This
                                                     requirement is
                                                     necessary to ensure
                                                     that the reviewing
                                                     official has the
                                                     opportunity to
                                                     review the
                                                     information
                                                     collected in the
                                                     proper context,
                                                     comparing each
                                                     element to the
                                                     other, which would
                                                     then provide the
                                                     best possible
                                                     composite
                                                     representation of
                                                     the individual's
                                                     continued
                                                     trustworthiness and
                                                     reliability.

[[Page 62781]]

 
                                                    In a case in which a
                                                     medical evaluation
                                                     had been determined
                                                     to be necessary
                                                     through the conduct
                                                     of the
                                                     psychological re-
                                                     assessment, the
                                                     results of the
                                                     medical evaluation
                                                     would also become
                                                     part of the data
                                                     reviewed by the
                                                     reviewing official
                                                     during the 30 day
                                                     period. Proposed
                                                     Sec.
                                                     73.56(i)(1)(v)(C)
                                                     would require the
                                                     reviewing official
                                                     to determine that
                                                     the results of the
                                                     update support a
                                                     positive
                                                     determination of
                                                     the individual's
                                                     continuing
                                                     trustworthiness and
                                                     reliability in
                                                     order for the
                                                     individual to
                                                     maintain UAA.
                                                     Whereas, Sec.
                                                     73.56(i)(1)(v)(D)
                                                     would require the
                                                     reviewing official
                                                     to administratively
                                                     withdraw the
                                                     individual's UAA if
                                                     a positive
                                                     determination
                                                     cannot be made,
                                                     because the
                                                     information upon
                                                     which the
                                                     determination must
                                                     be made is not yet
                                                     available. These
                                                     requirements are
                                                     necessary to
                                                     provide high
                                                     assurance that any
                                                     individuals who are
                                                     maintaining UAA
                                                     have been
                                                     positively
                                                     determined to
                                                     continue to be
                                                     trustworthy and
                                                     reliable.
                              (i)(2) If an          Proposed Sec.
                               individual who has    73.56(i)(2) would
                               unescorted access     require licensees,
                               authorization is      applicants, and C/
                               not subject to an     Vs to terminate an
                               authorization         individual's UAA if
                               program that meets    the individual, for
                               the requirements of   more than 30
                               this part for more    [consecutive] days,
                               than 30 continuous    is not subject to
                               days, then the        an authorization
                               licensee,             program that meets
                               applicant, or C/V     the requirements of
                               shall terminate the   this section. The
                               individual's          requirements of the
                               unescorted access     proposed paragraph
                               authorization and     would permit an
                               the individual        individual to be
                               shall meet the        away from all
                               requirements in       elements of an AA
                               this section, as      program for 30
                               applicable, to        consecutive days in
                               regain unescorted     order to
                               access                accommodate
                               authorization.        vacations, extended
                                                     work assignments
                                                     away from the
                                                     individual's normal
                                                     work location, and
                                                     significant
                                                     illnesses when the
                                                     individual would
                                                     not be reasonably
                                                     available for
                                                     behavioral
                                                     observation. The
                                                     proposed paragraph
                                                     would be consistent
                                                     with industry
                                                     practices that have
                                                     been endorsed by
                                                     the NRC and related
                                                     requirements in
                                                     part 26, and added
                                                     in response to
                                                     stakeholder
                                                     requests at the
                                                     public meetings
                                                     discussed in
                                                     Section IV.3.

[[Page 62782]]

 
                              (j) Access to vital   Proposed Sec.
                               areas. Each           73.56(j) would
                               licensee and          amend, and move
                               applicant who is      into Sec.   73.56,
                               subject to this       current Sec.
                               section shall         73.55(d)(7)(i),
                               establish,            which establishes
                               implement, and        requirements for
                               maintain a list of    managing unescorted
                               individuals who are   access to nuclear
                               authorized to have    power plant vital
                               unescorted access     areas. The proposed
                               to specific nuclear   paragraph would be
                               power plant vital     moved into Sec.
                               areas to assist in    73.56 for
                               limiting access to    organizational
                               those vital areas     clarity in the
                               during non-           rule. The proposed
                               emergency             requirement is
                               conditions. The       necessary to
                               list must include     support the
                               only those            mitigation of the
                               individuals who       insider threat
                               require access to     postulated in 10
                               those specific        CFR 73.1.
                               vital areas in        Specifically,
                               order to perform      individuals' access
                               their duties and      to vital areas must
                               responsibilities.     be controlled to
                               The list must be      ensure that no-one
                               approved by a         may enter these
                               cognizant licensee    vital areas without
                               or applicant          having a work-
                               manager, or           related need, and
                               supervisor who is     when the need no
                               responsible for       longer exists,
                               directing the work    access to the vital
                               activities of the     areas must be
                               individual who is     terminated. The NRC
                               granted unescorted    is aware of many
                               access to each        circumstances in
                               vital area, and       the past in which
                               updated and re-       some licensees
                               approved no less      routinely allowed
                               frequently than       access to all vital
                               every 31 days.        areas for all
                                                     persons who had
                                                     been granted
                                                     unescorted access
                                                     to a licensee
                                                     protected area,
                                                     even during periods
                                                     when the
                                                     individuals were
                                                     not assigned to be
                                                     working at the
                                                     licensee site. The
                                                     defense-in-depth
                                                     required to
                                                     mitigate the
                                                     insider threat
                                                     requires that even
                                                     though persons have
                                                     been determined to
                                                     be trustworthy and
                                                     reliable for
                                                     unescorted access
                                                     to a protected area
                                                     and are under
                                                     behavioral
                                                     observation, access
                                                     to vital areas must
                                                     be restricted to
                                                     current work-
                                                     related need.
                              (k) Trustworthiness   A new Sec.
                               and reliability of    73.56(k) would
                               background            require licensees,
                               screeners and         applicants, and C/
                               authorization         Vs to ensure that
                               program personnel.    any individuals who
                               Licensees,            collect, process,
                               applicants, and C/    or have access to
                               Vs shall ensure       the sensitive
                               that any              personal
                               individuals who       information that is
                               collect, process,     required under this
                               or have access to     section are,
                               personal              themselves,
                               information that is   trustworthy and
                               used to make          reliable. The
                               unescorted access     proposed rule would
                               authorization         add this provision
                               determinations        because the
                               under this section    integrity and
                               have been             effectiveness of
                               determined to be      authorization
                               trustworthy and       programs depend, in
                               reliable.             large part, on the
                                                     accuracy of the
                                                     information that is
                                                     collected about
                                                     individuals who are
                                                     applying for or
                                                     maintaining UAA.
                                                     Therefore, it is
                                                     critical that any
                                                     individuals who
                                                     collect, process,
                                                     or have access to
                                                     the personal
                                                     information that is
                                                     used to make UAA
                                                     determinations are
                                                     not vulnerable to
                                                     compromise or
                                                     influence attempts
                                                     to falsify or alter
                                                     the personal
                                                     information that is
                                                     collected. Although
                                                     the NRC is not
                                                     aware of any
                                                     instances in which
                                                     individuals who
                                                     collected,
                                                     processed, or had
                                                     access to personal
                                                     information were
                                                     compromised or
                                                     subject to
                                                     influence attempts,
                                                     there have been
                                                     past circumstances
                                                     in which it was
                                                     discovered that
                                                     persons collecting
                                                     and reviewing such
                                                     personal
                                                     information were
                                                     found to have
                                                     extensive criminal
                                                     histories, which
                                                     clearly calls into
                                                     question their
                                                     trustworthiness and
                                                     reliability.
                                                     Therefore, the
                                                     proposed
                                                     requirements would
                                                     be added to
                                                     strengthen the
                                                     effectiveness of AA
                                                     programs.

[[Page 62783]]

 
                              (k)(1) Background     Proposed Sec.
                               screeners.            73.56(k)(1) would
                               Licensees,            impose new
                               applicants, and C/    requirements for
                               Vs who rely on        determining the
                               individuals who are   trustworthiness and
                               not directly under    reliability of the
                               their control to      employees of any
                               collect and process   subcontractors or
                               information that      vendors that
                               will be used by a     licensees,
                               reviewing official    applicants, or C/Vs
                               to make unescorted    rely upon to
                               access                collect sensitive
                               authorization         personal
                               determinations        information for the
                               shall ensure that a   purposes of
                               background check of   determining UAA.
                               such individuals      The majority of
                               has been completed    licensees contract
                               and determines that   (or subcontract, in
                               such individuals      the case of C/Vs)
                               are trustworthy and   with other
                               reliable. At a        businesses that
                               minimum, the          specialize in
                               following checks      background
                               are required:         investigation
                              (i) Verification of    services, typically
                               the individual's      focused on
                               identity;.            verifying the
                              (ii) A local           employment
                               criminal history      histories and
                               review and            character and
                               evaluation from the   reputation of
                               State of the          individuals who
                               individual's          have applied for
                               permanent             UAA. The proposed
                               residence;.           paragraph would
                              (iii) A credit         require that the
                               history review and    employees of these
                               evaluation;.          firms are
                              (iv) An employment     themselves
                               history review and    trustworthy and
                               evaluation for the    reliable, and would
                               past 3 years; and.    establish means by
                              (v) An evaluation of   which licensees,
                               character and         applicants, and C/
                               reputation..          Vs would obtain
                                                     verification from
                                                     the subcontractor
                                                     or vendor that the
                                                     employees meet the
                                                     trustworthiness and
                                                     reliability
                                                     standards of the
                                                     licensee,
                                                     applicant, and C/V.
                                                    Proposed Sec.
                                                     73.56(k)(1)(i)
                                                     through (v) would
                                                     require a
                                                     background
                                                     investigation of
                                                     these subcontractor
                                                     or vendor employees
                                                     to include a
                                                     verification of the
                                                     employee's
                                                     identity, a review
                                                     and evaluation of
                                                     the employee's
                                                     criminal history
                                                     record from the
                                                     State in which the
                                                     employee
                                                     permanently
                                                     resides, a credit
                                                     history review and
                                                     evaluation, an
                                                     employment history
                                                     review and
                                                     evaluation from the
                                                     past 3 years, and
                                                     an evaluation of
                                                     the employee's
                                                     character and
                                                     reputation,
                                                     respectively. These
                                                     requirements would
                                                     be added for the
                                                     reasons discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(k).
                              (k)(2) Authorization  A new Sec.
                               program personnel.    73.56(k)(2) would
                               Licensees,            require that
                               applicants and C/Vs   individuals who
                               shall ensure that     evaluate and have
                               any individual who    access to any
                               evaluates personal    personal
                               information for the   information that is
                               purpose of            collected for the
                               processing            purposes of this
                               applications for      section must be
                               unescorted access     determined to be
                               authorization         trustworthy and
                               including, but not    reliable, and
                               limited to a          establishes two
                               clinical              alternative methods
                               psychologist of       for making this
                               psychiatrist who      determination.
                               conducts              Proposed Sec.
                               psychological         73.56(k)(2)(i)
                               assessments under     would permit
                               paragraph (e) of      licensees,
                               this section; has     applicants, and C/
                               access to the         Vs to subject such
                               files, records, and   individuals to the
                               personal              process established
                               information           in this proposed
                               associated with       section for
                               individuals who       granting UAA.
                               have applied for      Proposed Sec.
                               unescorted access     73.56(k)(2)(ii)
                               authorization; or     would permit
                               is responsible for    licensees,
                               managing any          applicants, or C/Vs
                               databases that        to subject such
                               contain such files,   individuals to the
                               records, and          requirements for
                               personal              granting UAA in
                               information has       proposed paragraphs
                               been determined to    (d)(1) through
                               be trustworthy and    (d)(5) and (e) of
                               reliable, as          this section and a
                               follows:              local criminal
                              (i) The individual     history review and
                               is subject to an      evaluation from the
                               authorization         State of the
                               program that meets    individuals
                               requirements of       permanent
                               this section; or.     residence, rather
                              (ii) The licensee,     than the criminal
                               applicant, or C/V     history review
                               determines that the   specified in
                               individual is         proposed Sec.
                               trustworthy and       73.56(d)(7).
                               reliable based upon   Proposed Sec.
                               an evaluation that    73.56(k)(2)(ii)
                               meets the             recognizes that, in
                               requirements of       some cases,
                               paragraphs (d)(1)     licensees cannot
                               through (d)(5) and    legally obtain the
                               (e) of this section   same type of
                               and a local           criminal history
                               criminal history      information about
                               review and            authorization
                               evaluation from the   program personnel
                               State of the          as they are able to
                               individual's          obtain for other
                               permanent             individuals who are
                               residence..           subject to Sec.
                                                     73.56. Therefore,
                                                     this proposed
                                                     provision would
                                                     permit licensees,
                                                     applicants, and C/
                                                     Vs to rely on local
                                                     criminal history
                                                     checks in such
                                                     cases. These
                                                     requirements would
                                                     be added for the
                                                     reasons discussed
                                                     with respect to
                                                     proposed Sec.
                                                     73.56(k).

[[Page 62784]]

 
Sec.   73.56(e) Review        (l) Review            Proposed Sec.
 procedures. Each licensee     procedures. Each      73.56(l) would
 implementing an unescorted    licensee,             retain the meaning
 access authorization          applicant, and C/V    of current Sec.
 program under the             who is implementing   73.56(e) but update
 provisions of this section    an authorization      some of the terms
 shall include a procedure     program under this    used in the
 for the review, at the        section shall         provision. The
 request of the affected       include a procedure   proposed paragraph
 employee, of a denial or      for the review, at    would replace the
 revocation by the licensee    the request of the    term,
 of unescorted access          affected              ``revocation,''
 authorization of an           individual, of a      with the term,
 employee of the licensee,     denial or             ``unfavorable
 contractor, or vendor,        unfavorable           termination,'' for
 which adversely affects       termination of        the reasons
 employment. The procedure     unescorted access     discussed with
 must provide that the         authorization. The    respect to proposed
 employee is informed of the   procedure must        paragraph
 grounds for denial or         require that the      (d)(1)(iii) of this
 revocation and allow the      individual is         section. In
 employee an opportunity to    informed of the       addition, the
 provide additional relevant   grounds for the       proposed paragraph
 information, and provide an   denial or             would add
 opportunity for an            unfavorable           references to
 objective review of the       termination and       applicants to
 information on which the      allow the             reflect the NRC's
 denial or revocation was      individual an         new licensing
 based. The procedure may be   opportunity to        processes for
 an impartial and              provide additional    nuclear power
 independent internal          relevant              plants, as
 management review.            information, and      discussed with
 Unescorted access may not     provide an            respect to proposed
 be granted to the             opportunity for an    Sec.   73.56(a).
 individual during the         objective review of   Reference to C/Vs
 review process.               the information on    would also be added
                               which the denial or   for completeness,
                               unfavorable           as discussed with
                               termination of        respected to
                               unescorted access     proposed Sec.
                               authorization was     73.56(a)(3).
                               based. The
                               procedure may be an
                               impartial and
                               independent
                               internal management
                               review. Licensees
                               and applicants may
                               not grant or permit
                               the individual to
                               maintain unescorted
                               access
                               authorization
                               during the review
                               process.
Sec.   73.56(f) Protection    (m) Protection of     Proposed Sec.
 of information. (1) Each      information. Each     73.56(m) would
 licensee, contractor, or      licensee,             retain current Sec.
 vendor who collects           applicant, or C/V       73.56(f)(1) but
 personal information on an    who is subject to     update it to
 employee for the purpose of   this section who      include reference
 complying with this section   collects personal     to applicants and C/
 shall establish and           information about     Vs for internal
 maintain a system of files    an individual for     consistency in the
 and procedures for the        the purpose of        proposed rule. The
 protection of the personal    complying with this   current requirement
 information.                  section shall         for a system of
                               establish and         files and
                               maintain a system     procedures for the
                               of files and          protection of
                               procedures to         information would
                               protect the           be moved to
                               personal              proposed Sec.
                               information.          73.56(m)(5) for
                                                     organizational
                                                     clarity in the
                                                     rule.
Sec.   73.56(f)(2)            (f)(2) Deleted......  Current Sec.
 Licensees, contractors, and                         73.56(f)(2) would
 vendors small make                                  be deleted, but the
 available such personal                             intent of the
 information to another                              requirement would
 licensee, contractor, or                            be incorporated
 vendor provided that the                            into proposed Sec.
 request is accompanied by a                          73.56(m)(1) for
 signed release from the                             organizational
 individual.                                         clarity in the
                                                     rule.
Sec.   73.56(f)(3)            (m)(1) Licensees,     Proposed Sec.
 Licensees, contractors, and   applicants, and C/    73.56(m)(1) would
 vendors may not disclose      Vs shall obtain a     amend current Sec.
 the personal information      signed consent from    73.56(f)(3), which
 collected and maintained to   the subject           prohibits
 persons other than:           individual that       licensees,
(ii) NRC representatives;...   authorizes the        applicants, and C/
(iii) Appropriate law          disclosure of the     Vs from disclosing
 enforcement officials under   personal              personal
 court order;.                 information           information
(iv) The subject individual    collected and         collected under
 or his or her                 maintained under      this section to any
 representative;.              this section before   individuals other
(v) Those licensee             disclosing the        than those listed
 representatives who have a    personal              in the regulation.
 need to have access to the    information, except   The proposed
 information in performing     for disclosures to    paragraph would
 assigned duties, including    the following         continue to permit
 audits of licensee's,         individuals:          disclosure of the
 contractor's, and vendor's   (i) The subject        personal
 programs;.                    individual or his     information to the
(vi) Persons deciding          or her                listed individuals,
 matters on review or          representative,       but would add
 appeal; or.                   when the individual   permission for the
(vii) Other persons pursuant   has designated the    licensee,
 to court order. This          representative in     applicant, or C/V
 section does not authorize    writing for           to disclose the
 the licensee, contractor,     specified             personal
 or vendor to withhold         unescorted access     information to
 evidence of criminal          authorization         others if the
 conduct from law              matters;.             licensee or other
 enforcement officials..      (ii) NRC               entity has obtained
                               representatives;.     a signed release
                              (iii) Appropriate      for such a
                               law enforcement       disclosure from the
                               officials under       subject individual.
                               court order;.         The proposed
                              (iv) A licensees,      provision would be
                               applicant's or C/     added because some
                               V's representatives   licensees have
                               who have a need to    misinterpreted the
                               have access to the    current requirement
                               information in        as prohibiting them
                               performing assigned   from releasing the
                               duties, including     personal
                               determinations of     information under
                               trustworthiness and   any circumstances,
                               reliability, and      except to the
                               audits of             parties listed in
                               authorization         the current
                               programs;.            provision. In some
                              (v) The presiding      instances, such
                               officer in a          failures to release
                               judicial or           information have
                               administrative        inappropriately
                               proceeding that is    inhibited an
                               initiated by the      individual's
                               subject individual;.  ability to obtain
                              (vi) Persons           information that
                               deciding matters      was necessary for a
                               under the review      review or appeal of
                               procedures in         the licensee's
                               paragraph (k) of      determination for
                               this section; and.    UAA. Therefore, the
                              (vii) Other persons    explicit permission
                               pursuant to court     for licensees and
                               order..               other entities to
                                                     release personal
                                                     information when an
                                                     individual consents
                                                     to the release, in
                                                     writing, would be
                                                     to have access to a
                                                     full and complete
                                                     evidentiary record
                                                     in review
                                                     procedures and
                                                     legal proceedings.

[[Page 62785]]

 
                                                    Proposed Sec.
                                                     73.56(m)(1)(i)
                                                     through (m)(1)(vii)
                                                     would list in
                                                     separate paragraphs
                                                     the individuals to
                                                     whom licensees and
                                                     other entities
                                                     would be permitted
                                                     to release personal
                                                     information about
                                                     an individual.
                                                     Proposed Sec.
                                                     73.56(m)(1)(ii),
                                                     (m)(1)(iii), and
                                                     (m)(1)(vii) would
                                                     retain the current
                                                     Sec.   73.56
                                                     permission for the
                                                     release of
                                                     information to NRC
                                                     representatives,
                                                     appropriate law
                                                     enforcement
                                                     officials under
                                                     court order, and
                                                     other persons
                                                     pursuant to court
                                                     order. Proposed
                                                     Sec.
                                                     73.56(m)(1)(i)
                                                     would retain the
                                                     current permission
                                                     for the release of
                                                     information to the
                                                     subject individual
                                                     and his or her
                                                     designated
                                                     representative. The
                                                     proposed paragraph
                                                     would add
                                                     requirements for
                                                     the individual to
                                                     designate his or
                                                     her representative
                                                     in writing and
                                                     specify the UAA
                                                     matters to be
                                                     disclosed. The
                                                     proposed changes
                                                     would be made in
                                                     response to
                                                     implementation
                                                     questions from
                                                     licensees who have
                                                     sought guidance
                                                     from the NRC
                                                     related to the
                                                     manner in which an
                                                     individual must
                                                     ``designate'' a
                                                     representative.
                                                     Proposed Sec.
                                                     73.56 (m)(1)(iv)
                                                     would amend the
                                                     current reference
                                                     to licensee
                                                     representatives who
                                                     have a need to have
                                                     access to the
                                                     information in
                                                     performing assigned
                                                     duties. The current
                                                     rule refers only to
                                                     individuals who are
                                                     performing audits
                                                     of access.
                                                    The intent of the
                                                     provision was that
                                                     licensees and C/Vs
                                                     would be permitted
                                                     to release
                                                     information to
                                                     their
                                                     representatives who
                                                     must have access to
                                                     the personal
                                                     information in
                                                     order to perform
                                                     assigned job duties
                                                     related to the
                                                     administration of
                                                     the program.
                                                     Therefore, the
                                                     proposed rule would
                                                     clarify the
                                                     provision by adding
                                                     licensee
                                                     representatives who
                                                     perform
                                                     determinations of
                                                     trustworthiness and
                                                     reliability as a
                                                     further example of
                                                     individuals who may
                                                     be permitted access
                                                     to personal
                                                     information but
                                                     only to the extent
                                                     that such access is
                                                     required to perform
                                                     their assigned
                                                     functions. Proposed
                                                     Sec.
                                                     73.56(m)(1)(v) and
                                                     (m)(1)(vi) would
                                                     amend the portion
                                                     of current Sec.
                                                     73.56(f)(3)(vi)
                                                     that refers to
                                                     ``persons deciding
                                                     matters on review
                                                     or appeal.'' The
                                                     proposed changes
                                                     would be made in
                                                     response to
                                                     implementation
                                                     questions from
                                                     licensees,
                                                     including whether
                                                     the rule covers
                                                     persons deciding
                                                     matters in judicial
                                                     proceedings or only
                                                     the internal review
                                                     process specified
                                                     in current Sec.
                                                     73.56(e) [Review
                                                     procedures] as well
                                                     as whether
                                                     information could
                                                     be released in a
                                                     judicial proceeding
                                                     that was not
                                                     initiated by the
                                                     subject individual.
                                                     The proposed rule
                                                     would clarify that
                                                     the permission
                                                     includes
                                                     individuals who are
                                                     presiding in a
                                                     judicial or
                                                     administrative
                                                     proceeding, but
                                                     only if the
                                                     proceeding is
                                                     initiated by the
                                                     subject individual.

[[Page 62786]]

 
Sec.   73.56(f)(3)(i) Other   (m)(2) Personal       Proposed Sec.
 licensees, contractors, or    information that is   73.56(m)(2) would
 vendors, or their             collected under       enhance the current
 authorized representatives,   this section must     requirement for the
 legitimately seeking the      be disclosed to       disclosure of
 information as required by    other licensees,      relevant
 this section for unescorted   applicants, and C/    information to
 access decisions and who      Vs, or their          licensees,
 have obtained a signed        authorized            applicants, and C/
 release from the individual.  representatives,      Vs, and their
                               who are seeking the   authorized
                               information for       representatives who
                               unescorted access     have a legitimate
                               authorization         need for the
                               determinations        information and a
                               under this section    signed release from
                               and who have          an individual who
                               obtained a signed     is seeking UAA
                               release from the      under this part.
                               subject individual.   This proposed
                                                     provision would be
                                                     added to further
                                                     clarify current
                                                     Sec.   73.56
                                                     requirements
                                                     because some
                                                     licensees have
                                                     misinterpreted the
                                                     current provision
                                                     as prohibiting the
                                                     release of
                                                     information to C/Vs
                                                     who have licensee-
                                                     approved
                                                     authorization
                                                     programs and
                                                     require such
                                                     information in
                                                     determining
                                                     individuals'
                                                     trustworthiness and
                                                     reliability. The
                                                     proposed change
                                                     would be made in
                                                     order to further
                                                     clarify the NRC's
                                                     intent that C/Vs
                                                     shall have access
                                                     to personal
                                                     information for the
                                                     specified purposes.
                              (m)(3) Upon receipt   A new Sec.
                               of a written          73.56(m)(3) would
                               request by the        require the
                               subject individual    licensee,
                               or his or her         applicant, or C/V
                               designated            possessing the
                               representative, the   records specified
                               licensee, applicant   in Sec.   73.56(m)
                               or C/V possessing     to promptly provide
                               such records shall    copies of all
                               promptly provide      records pertaining
                               copies of all         to a denial or
                               records pertaining    unfavorable
                               to a denial or        termination of the
                               unfavorable           individual's UAA to
                               termination of the    the subject
                               individuals           individual or his
                               unescorted access     or her designated
                               authorization.        representative upon
                                                     written request.
                                                     This paragraph
                                                     would be added to
                                                     protect
                                                     individuals'
                                                     ability to have
                                                     access to a full
                                                     and complete
                                                     evidentiary record
                                                     in review
                                                     procedures and
                                                     legal proceedings.
                              (m)(4) A licensee's,  Proposed Sec.
                               applicant's, or C/    73.56(m)(4) would
                               V's contracts with    require that a
                               any individual or     licensee's,
                               organization who      applicant's, or C/
                               collects and          V's contracts with
                               maintains personal    any individual or
                               information that is   organization who
                               relevant to an        collects and
                               unescorted access     maintains personal
                               authorization         information that is
                               determination must    relevant to a UAA
                               require that such     determination must
                               records be held in    require that such
                               confidence, except    records be
                               as provided in        maintained in
                               paragraphs (m)(1)     confidence. The
                               through (m)(3) of     paragraph would
                               this section.         make an exception
                                                     for the disclosure
                                                     of information to
                                                     the individuals
                                                     identified in Sec.
                                                      73.56(m)(1)
                                                     through (m)(3).
                                                     This paragraph
                                                     would be added to
                                                     ensure that
                                                     entities who
                                                     collect and
                                                     maintain personal
                                                     information use and
                                                     maintain those
                                                     records with the
                                                     highest regard for
                                                     individual privacy.
                              (m)(5) Licensees,     A new Sec.
                               applicants, and C/    73.56(m)(5) would
                               Vs who collect and    require licensees,
                               maintain personal     applicants, and C/
                               information under     Vs, and any
                               this section, and     individual or
                               any individual or     organization who
                               organization who      collects and
                               collects and          maintains personal
                               maintains personal    information on
                               information on        their behalf, to
                               behalf of a           establish,
                               licensee, applicant   implement, and
                               or C/V, shall         maintain a system
                               establish,            and procedures to
                               implement, and        ensure that the
                               maintain a system     personal
                               and procedures for    information is
                               the secure storage    secure and cannot
                               and handling of the   be accessed by any
                               personal              unauthorized
                               information           individuals. The
                               collected.            proposed rule would
                                                     add this specific
                                                     requirement because
                                                     the NRC is aware of
                                                     circumstances in
                                                     which the personal
                                                     information of
                                                     individuals
                                                     applying for UAA
                                                     has been removed
                                                     from a C/V's
                                                     business location
                                                     and transported to
                                                     the personal
                                                     residences of its
                                                     employees.
                                                    The proposed
                                                     provision would
                                                     prohibit such
                                                     practices in order
                                                     to further protect
                                                     the privacy rights
                                                     of individuals who
                                                     are subject to the
                                                     proposed rule.

[[Page 62787]]

 
Sec.   73.56(f)(3)(vii)       (m)(6) This           Proposed Sec.
 Other persons pursuant to     paragraph does not    73.56(m)(5) would
 court order. This section     authorize the         retain the meaning
 does not authorize the        licensee,             of the second
 licensee, contractor, or      applicant, or C/V     sentence of current
 vendor to withhold evidence   to withhold           Sec.
 of criminal conduct from      evidence of           73.56(f)(3)(vii),
 law enforcement officials.    criminal conduct      which states that
                               from law              the protection of
                               enforcement           information
                               officials.            requirements in
                                                     current Sec.
                                                     73.56(f)(3)(vii) do
                                                     not authorize the
                                                     licensee to
                                                     withhold evidence
                                                     of criminal conduct
                                                     from law
                                                     enforcement
                                                     officers, but
                                                     renumber the second
                                                     sentence as a
                                                     separate paragraph.
                                                     The first sentence
                                                     of current Sec.
                                                     73.56(f)(3)(vii)
                                                     permits licensees
                                                     to release personal
                                                     information about
                                                     an individual
                                                     without his or her
                                                     written consent
                                                     under a court
                                                     order. Therefore,
                                                     the proposed rule
                                                     would present the
                                                     second sentence of
                                                     current Sec.
                                                     73.56(f)(3)(vii) is
                                                     a separate
                                                     paragraph to
                                                     emphasize that the
                                                     prohibition on
                                                     withholding
                                                     personal
                                                     information from
                                                     law enforcement
                                                     officials applies
                                                     to any information
                                                     that may be
                                                     developed under the
                                                     requirements of
                                                     this section. This
                                                     change would be
                                                     made to improve the
                                                     clarity of the
                                                     rule.
Sec.   73.56(g) Audits......  (n) Audits and        Proposed Sec.
Sec.   73.56(g)(2) Each        corrective action.    73.56(n) [Audits
 licensee retains              Each licensee and     and corrective
 responsibility for the        applicant who is      action] would
 effectiveness of any          subject to this       rename and amend
 contractor and vendor         section shall be      current Sec.
 program it accepts and the    responsible for the   73.56(g) [Audits].
 implementation of             continuing            The phrase, ``and
 appropriate corrective        effectiveness of      corrective
 action..                      the authorization     action,'' would be
                               program, including    added to the
                               authorization         section title to
                               program elements      emphasize the NRCs
                               that are provided     intent that
                               by C/Vs, and the      licensees,
                               authorization         applicants, and C/
                               programs of any C/    Vs must ensure that
                               Vs that are           comprehensive
                               accepted by the       corrective actions
                               licensee and          are taken in
                               applicant. Each       response to any
                               licensee,             violations of the
                               applicant, and C/V    requirements of
                               who is subject to     this section
                               this section shall    identified from an
                               ensure that           audit. The second
                               authorization         sentence of
                               programs and          proposed Sec.
                               program elements      73.56(n) would
                               are audited to        restate the
                               confirm compliance    requirement for AA
                               with the              program audits in
                               requirements of       current Sec.
                               this section and      73.56(g)(1) and add
                               that comprehensive    a requirement for
                               actions are taken     comprehensive
                               to correct any non-   corrective actions
                               conformance that is   to be taken to any
                               identified.           violations
                                                     identified as a
                                                     result of the
                                                     audits. These
                                                     changes would be
                                                     made because NRC is
                                                     aware that some
                                                     licensees have met
                                                     the requirements
                                                     for scheduling
                                                     audits in current
                                                     Sec.   73.56(g)(1),
                                                     but have not acted
                                                     promptly to resolve
                                                     violations that
                                                     were identified.
                                                     Therefore, the
                                                     proposed
                                                     requirements would
                                                     clarify the NRC's
                                                     intent that
                                                     comprehensive
                                                     corrective actions
                                                     must be taken in
                                                     response to audit
                                                     findings. The first
                                                     sentence of
                                                     proposed Sec.
                                                     73.56(n) would be
                                                     added to clarify
                                                     that licensees and
                                                     applicants are
                                                     responsible for the
                                                     continued
                                                     effectiveness of
                                                     their AA programs,
                                                     as well as those C/
                                                     V programs or
                                                     program elements
                                                     upon which they
                                                     rely to meet the
                                                     requirements of
                                                     this section.
                                                    The proposed
                                                     sentence would
                                                     retain the meaning
                                                     of the last
                                                     sentence of current
                                                     Sec.   73.56(g)(2),
                                                     which states that
                                                     each licensee
                                                     retains
                                                     responsibility for
                                                     the effectiveness
                                                     of any contractor
                                                     and vendor program
                                                     it accepts and the
                                                     implementation of
                                                     appropriate
                                                     corrective action,
                                                     but would move it
                                                     to proposed Sec.
                                                     73.56(n) for
                                                     organizational
                                                     clarity.

[[Page 62788]]

 
Sec.   73.56(g)(1) Each       (n)(1) Each           Proposed Sec.
 licensee shall audit its      licensee, applicant   73.56(n)(1) would
 access authorization          and C/V who is        retain the required
 program within 12 months of   subject to this       24-month audit
 the effective date of         section shall         frequency in
 implementation of this        ensure that their     current Sec.
 program and at least every    entire                73.56(g)(1).
 24 months thereafter to       authorization         Licensees,
 ensure that the               program is audited    applicants, and C/
 requirements of this          as needed, but no     Vs would be
 section are satisfied.        less frequently       required to monitor
                               than nominally        program performance
                               every 24 months.      indicators and
                               Licensees,            operating
                               applicants and C/Vs   experience, and
                               are responsible for   audit AA program
                               determining the       elements more
                               appropriate           frequently than
                               frequency, scope,     every 24 months, as
                               and depth of          needed. In
                               additional auditing   determining the
                               activities within     need for more
                               the nominal 24-       frequent audits,
                               month period based    the entities who
                               on the review of      are subject to this
                               program performance   section would
                               indicators, such as   consider the
                               the frequency,        frequency, nature,
                               nature, and           and severity of
                               severity of           discovered program
                               discovered            deficiencies,
                               problems, personnel   personnel or
                               or procedural         procedural changes,
                               changes, and          previous audit
                               previous audit        findings, as well
                               findings.             as ``lessons
                                                     learned.'' The
                                                     proposed change is
                                                     intended to promote
                                                     performance-based
                                                     rather than
                                                     compliance-based
                                                     audit activities
                                                     and clarify that
                                                     programs must be
                                                     audited following a
                                                     significant change
                                                     in personnel,
                                                     procedures, or
                                                     equipment as soon
                                                     as reasonably
                                                     practicable.
                                                    The NRC recognizes
                                                     that AA programs
                                                     evolve and new
                                                     issues and problems
                                                     continue to arise.
                                                     A high rate of
                                                     turnover of AA
                                                     program personnel
                                                     in contracted
                                                     services
                                                     exacerbates this
                                                     concern. Licensee
                                                     audits have
                                                     identified problems
                                                     that were
                                                     associated in some
                                                     way with personnel
                                                     changes, such as
                                                     new personnel not
                                                     understanding their
                                                     duties or
                                                     procedures, the
                                                     implications of
                                                     actions that they
                                                     took or did not
                                                     take, and changes
                                                     in processes. The
                                                     purpose of these
                                                     focused audits
                                                     would be to ensure
                                                     that changes in
                                                     personnel or
                                                     procedures do not
                                                     adversely affect
                                                     the operation of a
                                                     particular element
                                                     within the AA
                                                     program, or
                                                     function in
                                                     question.
                                                     Accordingly, the
                                                     proposed audit
                                                     requirement would
                                                     ensure that any
                                                     programmatic
                                                     problems that may
                                                     result from
                                                     significant changes
                                                     in personnel or
                                                     procedures would be
                                                     detected and
                                                     corrected on a
                                                     timely basis.

[[Page 62789]]

 
Sec.   73.56(g)(2) Each       (n)(2) Authorization  Proposed Sec.
 licensee who accepts the      program services      73.56(n)(2) would
 access authorization          that are provided     add a new
 program of a contractor or    to a licensee, or     requirement
 vendor as provided for by     applicant, by C/V     specifying that if
 paragraph (a)(4) of this      personnel who are     a licensee or
 section shall have access     off site or are not   applicant relies
 to records and shall audit    under the direct      upon a C/V program
 contractor or vendor          daily supervision     or program element
 programs every 12 months to   or observation of     to meet the
 ensure that the               the licensee's or     requirements of
 requirements of this          applicant's           this section, and
 section are satisfied.        personnel must be     if the C/V
                               audited on a          personnel providing
                               nominal 12-month      the AA program
                               frequency. In         service are off
                               addition, any         site or, if they
                               authorization         are on site but not
                               program services      under the direct
                               that are provided     daily supervision
                               to C/Vs by            or observation of
                               subcontractor         the personnel of
                               personnel who are     the licensee or
                               off site or are not   applicant, then the
                               under the direct      licensee or
                               daily supervision     applicant must
                               or observation of     audit the C/V
                               the C/V's personnel   program or program
                               must be audited on    element on a
                               a nominal 12-month    nominal 12-month
                               frequency.            frequency. The
                                                     proposed rule would
                                                     also require that
                                                     any authorization
                                                     program services
                                                     that are provided
                                                     to C/Vs by
                                                     subcontractor
                                                     personnel who are
                                                     off site or are not
                                                     under the direct
                                                     daily supervision
                                                     or observation of
                                                     the C/V's personnel
                                                     must be audited on
                                                     a nominal 12-month
                                                     frequency. The
                                                     activities of C/V
                                                     personnel who work
                                                     on site and are
                                                     under the daily
                                                     supervision of AA
                                                     program personnel
                                                     would be audited
                                                     under proposed Sec.
                                                       73.56(n). The
                                                     proposed rule
                                                     expands and
                                                     clarifies the
                                                     current requirement
                                                     in Sec.
                                                     73.56(g)(2), which
                                                     requires licensees
                                                     who accept the
                                                     access
                                                     authorization
                                                     program of a
                                                     contractor or
                                                     vendor to audit the
                                                     C/V programs every
                                                     12 months, but does
                                                     not distinguish
                                                     between C/V
                                                     personnel who work
                                                     off site and other
                                                     C/V personnel, and
                                                     does not address
                                                     personnel who work
                                                     as subcontractors
                                                     to C/Vs.
                                                    Requiring annual
                                                     audits for C/V
                                                     personnel who work
                                                     off site and for C/
                                                     V subcontractors is
                                                     necessary to ensure
                                                     that the services
                                                     provided continue
                                                     to be effective,
                                                     given that other
                                                     means of monitoring
                                                     their
                                                     effectiveness, such
                                                     as daily oversight,
                                                     are unavailable.
                              (n)(3) Licensees'     Proposed Sec.
                               and applicants'       73.56(n)(3) would
                               contracts with C/Vs   add a new
                               must reserve the      requirement that
                               right to audit the    addresses
                               C/V and the C/V's     contractual
                               subcontractors        relationships
                               providing             between licensees,
                               authorization         applicants, and C/
                               program services at   Vs. The proposed
                               any time, including   rule would specify
                               at unannounced        that contracts
                               times, as well as     between licensees,
                               to review all         applicants, and C/
                               information and       Vs must allow the
                               documentation that    licensees or
                               is reasonably         applicants the
                               relevant to the       right to audit the
                               performance of the    C/Vs and the C/V's
                               program.              subcontractors
                                                     providing
                                                     authorization
                                                     program services at
                                                     any time, including
                                                     at unannounced
                                                     times, as well as
                                                     to review all
                                                     information and
                                                     documentation that
                                                     is reasonably
                                                     relevant to the
                                                     performance of the
                                                     AA program. The
                                                     proposed paragraph
                                                     would apply to any
                                                     C/V with whom the
                                                     licensee or
                                                     applicant contracts
                                                     for authorization
                                                     program services.
                                                     The proposed rule
                                                     would specify that
                                                     contracts must
                                                     allow audits at
                                                     unannounced times,
                                                     which the NRC
                                                     considers necessary
                                                     to enhance the
                                                     effectiveness of
                                                     the audits.

[[Page 62790]]

 
                                                    Such unannounced
                                                     audits could be
                                                     necessary, for
                                                     example, if a
                                                     licensee or
                                                     applicant receives
                                                     an allegation that
                                                     an off-site C/V is
                                                     falsifying records
                                                     and the licensee or
                                                     applicant
                                                     determines that an
                                                     unannounced audit
                                                     would provide the
                                                     most effective
                                                     means to
                                                     investigate such an
                                                     allegation. The
                                                     proposed paragraph
                                                     would ensure that
                                                     the licensee's or
                                                     other entity's
                                                     contract with the C/
                                                     V would permit the
                                                     unannounced audit
                                                     as well as access
                                                     to any information
                                                     necessary to
                                                     conduct the audit
                                                     and ensure the
                                                     proper performance
                                                     of the AA program.
                              (n)(4) Licensees'     A new Sec.
                               and applicants'       73.56(n)(4) would
                               contracts with C/     ensure that
                               Vs, and a C/V's       licensees' and
                               contracts with        applicants'
                               subcontractors,       contracts with C/Vs
                               must also require     permit the licensee
                               that the licensee     or applicant to be
                               or applicant shall    provided with or
                               be provided with,     permitted to obtain
                               or permitted access   copies of and take
                               to, copies of any     away any documents
                               documents and take    that auditors may
                               away any documents,   need to assure that
                               that may be needed    the C/V or its
                               to assure that the    subcontractors are
                               C/V and its           performing their
                               subcontractors are    functions properly
                               performing their      and that staff and
                               functions properly    procedures meet
                               and that staff and    applicable
                               procedures meet       requirements. This
                               applicable            proposed provision
                               requirements.         would respond to
                                                     several incidents
                                                     in which parties
                                                     under contract to
                                                     licensees did not
                                                     permit AA program
                                                     auditors to remove
                                                     documents from a C/
                                                     V's premises that
                                                     were necessary to
                                                     document audit
                                                     findings, develop
                                                     corrective actions,
                                                     and ensure that the
                                                     corrective actions
                                                     were comprehensive
                                                     and effective.
                              (n)(5) Audits must    A new Sec.
                               focus on the          73.56(n)(5) would
                               effectiveness of      require audits to
                               the authorization     focus on the
                               program or program    effectiveness of AA
                               element(s), as        programs and
                               appropriate. At       program elements in
                               least one member of   response to
                               the audit team        industry and NRC
                               shall be a person     experience that
                               who is                some licensees' AA
                               knowledgeable of      program audits have
                               and practiced with    focused only on the
                               meeting               extent to which the
                               authorization         program or program
                               program performance   elements meet the
                               objectives and        minimum regulatory
                               requirements. The     requirements in the
                               individuals           current rule.
                               performing the        Consistent with a
                               audit of the          performance-based
                               authorization         approach, the
                               program or program    proposed paragraph
                               element(s) shall be   would more clearly
                               independent from      communicate the
                               both the subject      NRC's intent that
                               authorization         AA programs must
                               programs management   meet the
                               and from personnel    performance
                               who are directly      objective of
                               responsible for       providing high
                               implementing the      assurance that
                               authorization         individuals who are
                               program(s) being      subject to the
                               audited.              program are
                                                     trustworthy and
                                                     reliable, and do
                                                     not constitute an
                                                     unreasonable risk
                                                     to public health
                                                     and safety or the
                                                     common defense and
                                                     security, including
                                                     the potential to
                                                     commit radiological
                                                     sabotage. The
                                                     proposed paragraph
                                                     would also require
                                                     that the audit team
                                                     must include at
                                                     least one
                                                     individual who has
                                                     practical
                                                     experience in
                                                     implementing all
                                                     facets of AA
                                                     programs and that
                                                     the team members
                                                     must be
                                                     independent. These
                                                     provisions would be
                                                     added in response
                                                     to issues that have
                                                     arisen since the
                                                     requirements for AA
                                                     programs were first
                                                     promulgated, in
                                                     which licensee
                                                     audits were
                                                     ineffective because
                                                     the personnel who
                                                     conducted the
                                                     audits:

[[Page 62791]]

 
                                                    (1) lacked the
                                                     requisite knowledge
                                                     to evaluate the
                                                     wholistic
                                                     implications of
                                                     individual
                                                     requirements or the
                                                     complexities
                                                     associated with
                                                     meeting the rule's
                                                     performance
                                                     objective and,
                                                     therefore, could
                                                     not adequately
                                                     evaluate program
                                                     effectiveness, or
                                                     (2) were not
                                                     independent from
                                                     the day-to-day
                                                     operation of the AA
                                                     program and,
                                                     therefore, could
                                                     not be objective,
                                                     because in some
                                                     cases, these
                                                     persons were
                                                     auditing their own
                                                     activities. The
                                                     proposed
                                                     requirements would
                                                     be necessary to
                                                     correct these audit
                                                     deficiencies.
                              (n)(6) The result of  Proposed Sec.
                               the audits, along     73.56(n)(6) would
                               with any              clarify the
                               recommendations,      requirements for
                               must be documented    documentation and
                               and reported to       dissemination of
                               senior corporate      audit results.
                               and site              Section 73.56(h)(2)
                               management. Each      of the current rule
                               audit report must     specifies that
                               identify conditions   licensees shall
                               that are adverse to   retain records of
                               the proper            results of audits,
                               performance of the    resolution of the
                               authorization         audit findings, and
                               program, the cause    corrective actions.
                               of the                The proposed rule
                               condition(s), and,    would retain the
                               when appropriate,     requirement that
                               recommended           licensees,
                               corrective actions,   applicants, and C/
                               and corrective        Vs document audit
                               actions taken. The    findings. The
                               licensee, applicant   proposed rule would
                               or C/V shall review   add a requirement
                               the audit findings    that any
                               and take any          recommendations
                               additional            must be documented,
                               corrective actions,   and also would add
                               to include re-        a requirement that
                               auditing of the       findings and
                               deficient areas       recommendations
                               where indicated, to   must be reported to
                               preclude, within      senior corporate
                               reason, repetition    and site
                               of the condition.     management. The
                               The resolution of     proposed rule
                               the audit findings    specifies more
                               and corrective        fully than the
                               actions must be       current rule what
                               documented.           an audit report
                                                     must contain.
                                                    The second sentence
                                                     of the proposed
                                                     paragraph would
                                                     require each audit
                                                     report to identify
                                                     conditions that are
                                                     adverse to the
                                                     proper performance
                                                     of the AA program,
                                                     the cause of the
                                                     condition(s), and,
                                                     when appropriate,
                                                     recommended
                                                     corrective actions,
                                                     and corrective
                                                     actions already
                                                     taken. The third
                                                     sentence of the
                                                     proposed paragraph
                                                     would require the
                                                     licensee,
                                                     applicant, or C/V
                                                     to review the audit
                                                     findings and, where
                                                     warranted, take
                                                     additional
                                                     corrective actions,
                                                     to include re-
                                                     auditing of the
                                                     deficient areas
                                                     where indicated, to
                                                     preclude, within
                                                     reason, repetition
                                                     of the condition.
                                                     Finally, the
                                                     proposed rule would
                                                     require the
                                                     resolution of the
                                                     audit findings and
                                                     corrective actions
                                                     to be documented.
                                                     The current rule
                                                     does not state
                                                     explicitly that
                                                     resolution of the
                                                     audit findings and
                                                     corrective actions
                                                     must be documented;
                                                     it provides only
                                                     that records of
                                                     resolution of the
                                                     audit findings and
                                                     corrective actions
                                                     must be retained
                                                     for 3 years. The
                                                     additional
                                                     sentences in the
                                                     proposed rule would
                                                     provide consistency
                                                     with Criterion XVI
                                                     in appendix B to 10
                                                     CFR part 50 and
                                                     would indicate that
                                                     AA audit reports
                                                     must be included in
                                                     licensees' and
                                                     applicants'
                                                     corrective action
                                                     programs, and that
                                                     any nonconformance
                                                     is not only
                                                     identified, but
                                                     corrected.

[[Page 62792]]

 
                              (n)(7) Licensees and  Proposed Sec.
                               applicants may        73.56(n)(7) would
                               jointly conduct       clarify the
                               audits, or may        circumstances in
                               accept audits of C/   which licensees,
                               Vs that were          applicants, and C/
                               conducted by other    Vs may accept and
                               licensees and         rely on others'
                               applicants who are    audits. The current
                               subject to this       rule in Sec.
                               section, if the       73.56(g) states
                               audit addresses the   only that licensees
                               services obtained     may accept audits
                               from the C/V by       of contractors and
                               each of the sharing   vendors conducted
                               licensees and         by other licensees.
                               applicants. C/Vs      The proposed rule
                               may jointly conduct   would amend the
                               audits, or may        current provision
                               accept audits of      to incorporate
                               its subcontractors    specific permission
                               that were conducted   for licensees and
                               by other licensees,   other entities to
                               applicants and C/Vs   jointly conduct
                               who are subject to    audits as well as
                               this section, if      rely on one
                               the audit addresses   anothers audits, if
                               the services          the audits upon
                               obtained from the     which they are
                               subcontractor by      relying address the
                               each of the sharing   services obtained
                               licensees,            from the C/V by
                               applicants and C/Vs.  each of the sharing
                                                     licensees or
                                                     applicants. These
                                                     proposed changes
                                                     would make the rule
                                                     consistent with
                                                     current licensee
                                                     practices that have
                                                     been endorsed by
                                                     the NRC and reduce
                                                     unnecessary
                                                     regulatory burden
                                                     by reducing the
                                                     number of redundant
                                                     audits that would
                                                     be performed.
                              (n)(7)(i) Licensees,  Proposed Sec.
                               applicants and C/Vs   73.56(n)(7)(i)
                               shall review audit    would require
                               records and reports   licensees,
                               to identify any       applicants, and C/
                               areas that were not   Vs to identify any
                               covered by the        areas that were not
                               shared or accepted    covered by a shared
                               audit and ensure      or accepted audit
                               that authorization    and ensure that any
                               program elements      unique services
                               and services upon     used by the
                               which the licensee,   licensee,
                               applicant or C/V      applicant, or C/V
                               relies are audited,   that were not
                               if the program        covered by the
                               elements and          shared audit are
                               services were not     audited. The
                               addressed in the      proposed provision
                               shared audit.         is necessary to
                                                     ensure that all
                                                     authorization
                                                     program elements
                                                     and services upon
                                                     which each of the
                                                     licensees,
                                                     applicants, and C/
                                                     Vs relies are
                                                     audited, and that
                                                     elements not
                                                     included in the
                                                     shared audits are
                                                     not overlooked or
                                                     ignored.
Sec.   73.56(g)(2) * * *      (n)(7)(ii) Sharing    Proposed Sec.
 Licensees may accept audits   licensees and         73.56 (n)(7)(ii)
 of contractors and vendors    applicants need not   would add a new
 conducted by other            re-audit the same C/  paragraph
 licensees.                    V for the same        clarifying that
                               period of time.       licensees,
                               Sharing C/Vs need     applicants, and C/
                               not re-audit the      Vs need not re-
                               same subcontractor    audit the same C/V
                               for the same period   for the same period
                               of time.              of time, and that C/
                                                     Vs who share the
                                                     services of the
                                                     same subcontractor
                                                     with other C/Vs or
                                                     licensees and
                                                     applicants, need
                                                     not re-audit the
                                                     same subcontractor
                                                     for the same period
                                                     of time.
                                                    The proposed rule
                                                     would include this
                                                     provision in
                                                     response to
                                                     implementation
                                                     questions from
                                                     stakeholders at the
                                                     public meetings
                                                     discussed in
                                                     Section IV.3 who
                                                     reported that some
                                                     industry auditors
                                                     and quality
                                                     assurance personnel
                                                     have misunderstood
                                                     the intent of the
                                                     current provision
                                                     and have required
                                                     licensees to re-
                                                     audit C/V programs
                                                     that have been
                                                     audited by other
                                                     licensees during
                                                     the same time
                                                     period. However,
                                                     such re-auditing
                                                     would be
                                                     unnecessary, as the
                                                     shared program
                                                     elements and
                                                     services should be
                                                     identical, and the
                                                     period of time
                                                     covered by the
                                                     audit should be the
                                                     same nominal 12-
                                                     month period.
                                                     Therefore, the
                                                     proposed provision
                                                     would be added to
                                                     clarify the intent
                                                     of current Sec.
                                                     73.56(g)(2).

[[Page 62793]]

 
Sec.   73.56(g)(2) * * *      (n)(7)(iii) Each      Proposed Sec.
 Each sharing utility shall    sharing licensee,     73.56(n)(7)(iii)
 maintain a copy of the        applicant and C/V     would retain the
 audit report, to include      shall maintain a      requirement in
 findings, recommendations     copy of the shared    current Sec.
 and corrective actions.       audit, including      73.56(g)(2) that
                               findings,             each sharing entity
                               recommendations,      shall maintain a
                               and corrective        copy of the shared
                               actions.              audit report. The
                                                     proposed provision
                                                     would specify that
                                                     the requirement to
                                                     retain a copy of a
                                                     shared audit report
                                                     includes a
                                                     requirement to
                                                     retain a copy of
                                                     findings,
                                                     recommendations,
                                                     and corrective
                                                     actions, and that
                                                     the requirement
                                                     pertains to each
                                                     sharing licensee,
                                                     applicant and C/V.
                                                     This provision is
                                                     necessary to ensure
                                                     that the audit
                                                     documents are
                                                     available for NRC
                                                     review.
Sec.   73.56(h) Records.....  (o) Records. Each     Proposed Sec.
Sec.   73.56(h)(1) Each        licensee,             73.56(o) [Records]
 licensee who issues an        applicant, and C/V    would establish a
 individual unescorted         who is subject to     requirement that
 access authorization shall    this section shall    licensees,
 retain the records on which   maintain the          applicants and C/Vs
 the authorization is based    records that are      who are subject to
 for the duration of the       required by the       this section must
 unescorted access             regulations in this   retain the records
 authorization and for a       section for the       required under the
 five-year period following    period specified by   proposed rule for
 its termination..             the appropriate       either the periods
                               regulation. If a      that are specified
                               retention period is   by the appropriate
                               not otherwise         regulation or for
                               specified, these      the life of the
                               records must be       facility's license,
                               retained until the    certificate, or
                               Commission            other regulatory
                               terminates the        approval, if no
                               facility's license,   records retention
                               certificate, or       requirement is
                               other regulatory      specified. The
                               approval.             proposed rule would
                                                     replace the current
                                                     records requirement
                                                     in Sec.
                                                     73.56(h)(1), which
                                                     requires retention
                                                     of records on which
                                                     UAA is granted for
                                                     a period of 5 years
                                                     following
                                                     termination of UAA,
                                                     and retention of
                                                     records upon which
                                                     a denial of UAA is
                                                     based for 5 years,
                                                     and in Sec.
                                                     73.56(h)(2), which
                                                     requires retention
                                                     of audit records
                                                     for 3 years. The
                                                     proposed records
                                                     retention
                                                     requirement is a
                                                     standard
                                                     administrative
                                                     provision that is
                                                     used in all other
                                                     parts of 10 CFR
                                                     that contain
                                                     substantive
                                                     requirements
                                                     applicable to
                                                     licensees and
                                                     applicants.
                              (o)(1) All records    Proposed Sec.
                               may be stored and     73.56(o)(1) would
                               archived              permit the records
                               electronically,       that would be
                               provided that the     required under the
                               method used to        provisions of the
                               create the            proposed section to
                               electronic records    be stored and
                               meets the following   archived
                               criteria:             electronically if
                              (i) Provides an        the method used to
                               accurate              create the
                               representation of     electronic records:
                               the original          (1) Provides an
                               records;.             accurate
                              (ii) Prevents          representation of
                               unauthorized access   the original
                               to the records;.      records; (2)
                              (iii) Prevents the     prevents access to
                               alteration of any     the information by
                               archived              any individuals who
                               information and/or    are not authorized
                               data once it has      to have such
                               been committed to     access; (3)
                               storage; and.         prevents the
                              (iv) Permits easy      alteration of any
                               retrieval and re-     archived
                               creation of the       information and/or
                               original records..    data once it has
                                                     been committed to
                                                     storage; and (4)
                                                     allows easy
                                                     retrieval and re-
                                                     creation of the
                                                     original records.
                                                     The proposed
                                                     paragraph would be
                                                     added to recognize
                                                     that most records
                                                     are now stored
                                                     electronically and
                                                     must be protected
                                                     to ensure the
                                                     integrity of the
                                                     data. Records are
                                                     now stored
                                                     electronically and
                                                     must be protected
                                                     to ensure the
                                                     integrity of the
                                                     data.

[[Page 62794]]

 
                              (o)(2) Each           Proposed Sec.
                               licensee,             73.56(o)(2) would
                               applicant, and C/V    require licensees,
                               who is subject to     applicants, and C/
                               this section shall    Vs to retain
                               retain the            certain records
                               following records     related to UAA
                               for at least 5        determinations for
                               years after the       at least 5 years
                               licensee,             after an
                               applicant, or C/V     individual's UAA
                               terminates or         has been terminated
                               denies an             or denied, or until
                               individual's          the completion of
                               unescorted access     all related legal
                               authorization or      proceedings,
                               until the             whichever is later.
                               completion of all     The proposed
                               related legal         requirement to
                               proceedings,          retain records
                               whichever is later:   until the
                              (i) Records of the     completion of all
                               information that      related legal
                               must be collected     proceedings would
                               under paragraphs      address the fact
                               (d) and (e) of this   that legal actions
                               section that          involving records
                               results in the        of the type
                               granting of           specified in the
                               unescorted access     proposed paragraph
                               authorization;.       can continue longer
                              (ii) Records           than the 5 years
                               pertaining to         that the current
                               denial or             rule requires these
                               unfavorable           records to be
                               termination of        retained. Adding a
                               unescorted access     requirement to
                               authorization and     retain the records
                               related management    until all legal
                               actions; and.         proceedings are
                              (iii) Documentation    complete would
                               of the granting and   protect
                               termination of        individuals'
                               unescorted access     ability to have
                               authorization..       access to a full
                                                     and complete
                                                     evidentiary record
                                                     in legal
                                                     proceedings. The
                                                     proposed rule would
                                                     identify more
                                                     specifically the
                                                     records to be
                                                     retained than the
                                                     current rule, which
                                                     in Sec.
                                                     73.56(h)(1)
                                                     specifies only
                                                     ``the records on
                                                     which authorization
                                                     is based'' and
                                                     ``the records on
                                                     which denial is
                                                     based.'' Proposed
                                                     Sec.   73.56(o)(2)
                                                     would require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to retain three
                                                     specified types of
                                                     records:
                                                    (1) Records listed
                                                     in proposed Sec.
                                                     73.56(o)(2)(i),
                                                     which specifies
                                                     records of the
                                                     information that
                                                     must be collected
                                                     under Sec.
                                                     73.56(d)
                                                     [Background
                                                     investigation] and
                                                     Sec.   73.56(e)
                                                     [Psychological
                                                     assessment] of the
                                                     proposed rule that
                                                     results in the
                                                     granting of UAA;
                                                     (2) records listed
                                                     in proposed Sec.
                                                     73.56(o)(2)(ii),
                                                     which specifies
                                                     records pertaining
                                                     to denial or
                                                     unfavorable
                                                     termination of UAA
                                                     and related
                                                     management actions;
                                                     and (3) records
                                                     listed in proposed
                                                     Sec.
                                                     73.56(o)(2)(iii),
                                                     which specifies
                                                     documentation of
                                                     the granting and
                                                     termination of UAA.
                                                     Proposed Sec.
                                                     73.56(o)(2)(iii),
                                                     requiring retention
                                                     of records that are
                                                     related to the
                                                     granting and
                                                     termination of an
                                                     individual's UAA,
                                                     would be added to
                                                     ensure that
                                                     licensees,
                                                     applicants, and C/
                                                     Vs who may be
                                                     considering
                                                     granting UAA to an
                                                     individual can
                                                     determine which
                                                     category of UAA
                                                     requirements would
                                                     apply to the
                                                     individual, based
                                                     upon the length of
                                                     time that has
                                                     elapsed since the
                                                     individual's last
                                                     period of UAA was
                                                     terminated and
                                                     whether the
                                                     individual's last
                                                     period of UAA was
                                                     terminated
                                                     favorably.

[[Page 62795]]

 
Sec.   73.56(h)(2) Each       (o)(3) Each           Proposed Sec.
 licensee shall retain         licensee,             73.56(o)(3)(i) and
 records of results of         applicant, and C/V    (ii) would require
 audits, resolution of the     who is subject to     licensees,
 audit findings and            this section shall    applicants, and C/
 corrective actions for        retain the            Vs to retain
 three years.                  following records     records related to
                               for at least 3        behavioral
                               years or until the    observation
                               completion of all     training and
                               related legal         records related to
                               proceedings,          audits, audit
                               whichever is later:   findings, and
                              (i) Records of         corrective actions
                               behavioral            for at least 3
                               observation           years, or until the
                               training conducted    completion of all
                               under paragraph       related legal
                               (f)(2) of this        proceedings,
                               section; and.         whichever is later.
                              (ii) Records of        Proposed Sec.
                               audits, audit         73.56(o)(3)(i)
                               findings, and         would add a new
                               corrective actions    requirement, not
                               taken under           addressed in the
                               paragraph (n) of      current rule, to
                               this section..        retain records of
                                                     behavioral
                                                     observation
                                                     training. Because
                                                     the proposed rule
                                                     is adding a
                                                     requirement that
                                                     all individuals who
                                                     are subject to the
                                                     AA program must
                                                     perform behavioral
                                                     observation, and
                                                     therefore that they
                                                     must all be trained
                                                     in behavioral
                                                     observation, this
                                                     proposed record
                                                     retention
                                                     requirement is
                                                     necessary to allow
                                                     the NRC to review
                                                     the implementation
                                                     of the training
                                                     requirement.
                                                     Proposed Sec.
                                                     73.56(o)(3)(i)
                                                     would retain the 3-
                                                     year recordkeeping
                                                     requirements of the
                                                     current rule in
                                                     Sec.   73.56(h)(2)
                                                     for audit findings
                                                     and corrective
                                                     action records.
                              (o)(4) Licensees,     Proposed Sec.
                               applicants, and C/    73.56(o)(4) would
                               Vs shall retain       add a new
                               written agreements    requirement that
                               for the provision     licensees,
                               of services under     applicants, and C/
                               this section for      Vs shall retain
                               the life of the       written agreements
                               agreement or until    for the provision
                               completion of all     of authorization
                               legal proceedings     program services
                               related to a denial   for the life of the
                               or unfavorable        agreement or until
                               termination of        completion of all
                               unescorted access     legal proceedings
                               authorization that    related to a denial
                               involved those        or unfavorable
                               services, whichever   termination of UAA
                               is later.             that involved those
                                                     services, whichever
                                                     is later. The
                                                     proposed
                                                     requirement for
                                                     retention of the
                                                     agreement for the
                                                     life of the
                                                     agreement would
                                                     ensure that the
                                                     agreement is
                                                     available for use
                                                     as a source of
                                                     information about
                                                     the scope of duties
                                                     under the
                                                     agreement. The
                                                     proposed
                                                     requirement to
                                                     retain the written
                                                     agreements for any
                                                     matter under legal
                                                     challenge until the
                                                     matter is resolved
                                                     is necessary to
                                                     ensure that the
                                                     materials remain
                                                     available, should
                                                     an individual, the
                                                     NRC, a licensee, or
                                                     another entity who
                                                     would be subject to
                                                     the rule require
                                                     access to them in a
                                                     legal or regulatory
                                                     proceeding.
                              (o)(5) Licensees,     Proposed Sec.
                               applicants, and C/    73.56(o)(5) would
                               Vs shall retain       be added to require
                               records of the        licensees,
                               background checks,    applicants, and C/
                               and psychological     Vs to retain
                               assessments of        records related to
                               authorization         the background
                               program personnel,    checks and
                               conducted under       psychological
                               paragraphs (d) and    assessments of AA
                               (e) of this           program personnel,
                               section, for the      conducted under
                               length of the         proposed paragraphs
                               individual's          (d) and (e) of Sec.
                               employment by or        73.56, for the
                               contractual           length of the
                               relationship with     individual's
                               the licensee,         employment by or
                               applicant, or C/V,    contractual
                               or until the          relationship with
                               completion of any     the licensee,
                               legal proceedings     applicant, or C/V,
                               relating to the       or until the
                               actions of such       completion of all
                               authorization         related legal
                               program personnel,    proceedings,
                               whichever is later.   whichever is later.
                                                     The proposed period
                                                     during which these
                                                     records must be
                                                     maintained would be
                                                     based on the NRC's
                                                     need to have access
                                                     to the records for
                                                     inspection purposes
                                                     and the potential
                                                     need for the
                                                     records to remain
                                                     available should an
                                                     individual, the
                                                     NRC, a licensee, or
                                                     another entity who
                                                     would be subject to
                                                     this rule require
                                                     access to them in a
                                                     legal or regulatory
                                                     proceeding.
                                                     However, the
                                                     proposed rule would
                                                     establish a limit
                                                     on the period
                                                     during which the
                                                     records must be
                                                     retained in order
                                                     to reduce the
                                                     burden associated
                                                     with storing such
                                                     records
                                                     indefinitely.

[[Page 62796]]

 
                              (o)(6) Licensees,     A new Sec.
                               applicants, and C/    73.56(o)(6) would
                               Vs shall ensure       require licensees,
                               that the              applicants and C/Vs
                               information about     to establish and
                               individuals who       administer an
                               have applied for      information-sharing
                               unescorted access     mechanism (i.e., a
                               authorization,        database) that
                               which is specified    permits all of the
                               in the licensee's     entities who are
                               or applicant's        subject to Sec.
                               Physical Security     73.56 to access
                               Plan, is recorded     certain information
                               and retained in an    about individuals
                               information-sharing   who have applied
                               mechanism that is     for UAA under this
                               established and       section. The
                               administered by the   information that
                               licensees,            must be shared
                               applicants, and C/    would be specified
                               Vs who are subject    in the Physical
                               to his section.       Security Plans that
                               Licensees,            licensees and
                               applicants, and C/    entities would be
                               Vs shall ensure       required to submit
                               that only correct     for NRC review and
                               and complete          approval under
                               information is        proposed Sec.
                               included in the       73.56(a). The
                               information-sharing   proposed paragraph
                               mechanism. If, for    would require
                               any reason, the       licensees,
                               shared information    applicants, and C/
                               used for              Vs to enter this
                               determining an        information about
                               individual's          individuals who
                               trustworthiness and   have applied for
                               reliability changes   UAA into the
                               or new information    information-sharing
                               is developed about    mechanism and
                               the individual,       update the shared
                               licensees,            information, if the
                               applicants, and C/    licensee, applicant
                               Vs shall correct or   or C/V determines
                               augment the shared    that information
                               information           previously entered
                               contained in the      is incorrect or
                               information-sharing   develops new
                               mechanism.            information about
                                                     the individual. The
                                                     proposed
                                                     requirement for an
                                                     information-sharing
                                                     mechanism is
                                                     necessary to
                                                     address several
                                                     long-standing
                                                     weaknesses in the
                                                     sharing of
                                                     information about
                                                     individuals among
                                                     licensee and C/V
                                                     authorization
                                                     programs that is
                                                     required under
                                                     current Sec.
                                                     73.56.
                              If the changed or     Although the
                               developed             industry has
                               information has       maintained a
                               implications for      database for many
                               adversely affecting   years, some
                               an individual's       licensees did not
                               trustworthiness and   participate, some
                               reliability, the      programs did not
                               licensee,             enter complete
                               applicant, or C/V     information, some
                               who has discovered    programs did not
                               the incorrect         enter the
                               information, or       information in a
                               develops new          timely manner, and
                               information, shall    C/Vs who were
                               inform the            implementing
                               reviewing official    authorization
                               of any                programs were not
                               authorization         permitted to
                               program under which   participate. As a
                               the individual is     result, some
                               maintaining           licensees and C/Vs
                               unescorted access     were at risk of
                               authorization of      granting UAA to
                               the updated           individuals without
                               information on the    being aware, in a
                               day of discovery.     few instances, that
                               The reviewing         the individual's
                               official shall        last period of UAA
                               evaluate the          had been terminated
                               information and       unfavorably or that
                               take appropriate      potentially
                               actions, which may    disqualifying
                               include denial or     information about
                               unfavorable           the individual had
                               termination of the    been developed by a
                               individual's          previous licensee
                               unescorted access     after the
                               authorization. If,    individual was
                               for any reason, the   granted UAA by a
                               information-sharing   subsequent
                               mechanism is          licensee, because
                               unavailable and a     that additional
                               notification of       information was not
                               changes or updated    communicated.
                               information is        Therefore, the
                               required,             proposed rule would
                               licensees,            require
                               applicants, and C/    establishing and
                               Vs shall take         administering an
                               manual actions to     information-sharing
                               ensure that the       mechanism to
                               information is        strengthen the
                               shared, and update    effectiveness of
                               the records in the    authorization
                               information-sharing   programs by
                               mechanism as soon     ensuring that
                               as reasonably         information that
                               possible. Records     has implications
                               maintained in the     for an individual's
                               database must be      trustworthiness and
                               available for NRC     reliability is
                               review.               available in a
                                                     timely manner,
                                                     accurate, and
                                                     complete.

[[Page 62797]]

 
                                                    The proposed
                                                     paragraph would
                                                     also require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to inform the
                                                     reviewing official
                                                     of any licensee,
                                                     applicant, or C/V
                                                     who may be
                                                     considering an
                                                     individual for UAA
                                                     or has granted UAA
                                                     to an individual of
                                                     any corrected or
                                                     new information
                                                     about that
                                                     individual on the
                                                     day that incorrect
                                                     or new information
                                                     is discovered. The
                                                     proposed
                                                     requirement to
                                                     inform the
                                                     subsequent
                                                     licensee's,
                                                     applicant's, or C/
                                                     V's reviewing
                                                     official would be
                                                     added to ensure
                                                     that the corrected
                                                     or new information
                                                     is actively
                                                     communicated, in
                                                     addition to
                                                     entering it into
                                                     the information-
                                                     sharing mechanism.
                                                     The proposed rule
                                                     would also require
                                                     the receiving
                                                     reviewing official
                                                     to evaluate the
                                                     corrected or new
                                                     information and
                                                     determine its
                                                     implications for
                                                     the individual's
                                                     trustworthiness and
                                                     reliability. If the
                                                     information
                                                     indicates that the
                                                     individual cannot
                                                     be determined to be
                                                     trustworthy and
                                                     reliable, the
                                                     proposed rule would
                                                     require the
                                                     receiving reviewing
                                                     official to deny or
                                                     unfavorably
                                                     terminate the
                                                     individual's UAA.
                                                    The proposed
                                                     requirement to
                                                     inform subsequent
                                                     AA programs of
                                                     corrected or new
                                                     information is
                                                     necessary because
                                                     receiving AA
                                                     programs would not
                                                     otherwise become
                                                     aware of the
                                                     information unless
                                                     and until the
                                                     individual seeks
                                                     UAA from another AA
                                                     program or is
                                                     subject to the re-
                                                     evaluation required
                                                     under proposed Sec.
                                                       73.56(i)(1)(v).
                                                     The proposed
                                                     paragraph would
                                                     also require
                                                     licensees,
                                                     applicants, and C/
                                                     Vs to take manual
                                                     actions to share
                                                     the required
                                                     information, if the
                                                     industry database
                                                     is unavailable for
                                                     any reason. These
                                                     manual actions
                                                     could include, but
                                                     would not be
                                                     limited to,
                                                     telephone contacts,
                                                     faxes, and email
                                                     communications.
                                                     However, the
                                                     proposed rule would
                                                     also require that
                                                     any records created
                                                     manually must be
                                                     entered into the
                                                     database once it is
                                                     again available.
                                                     These provisions
                                                     would be necessary
                                                     to maintain the
                                                     effectiveness of
                                                     the information-
                                                     sharing component
                                                     of AA programs.
                                                     Finally, the
                                                     proposed paragraph
                                                     would also require
                                                     the information-
                                                     sharing mechanism
                                                     to be available for
                                                     NRC review. This
                                                     requirement is
                                                     necessary to ensure
                                                     that NRC personnel
                                                     have access to the
                                                     information-sharing
                                                     mechanism for
                                                     required inspection
                                                     activities.

[[Page 62798]]

 
                              (o)(7) If a           A new Sec.
                               licensee,             73.56(o)(7) would
                               applicant, or C/V     ensure that the
                               administratively      temporary
                               withdraws an          administrative
                               individual's          withdrawal of an
                               unescorted access     individual's UAA,
                               authorization under   caused by a delay
                               the requirements of   in completing any
                               this section, the     portion of the
                               licensee,             background
                               applicant, or C/V     investigation or re-
                               may not record the    evaluation that is
                               administrative        not under the
                               action to withdraw    individual's
                               the individual's      control, would not
                               unescorted access     be treated as an
                               authorization as an   unfavorable
                               unfavorable           termination, except
                               termination and may   if the reviewing
                               not disclose it in    official determines
                               response to a         that the delayed
                               suitable inquiry      information
                               conducted under the   requires denial or
                               provisions of part    unfavorable
                               26 of this chapter,   termination of the
                               a background          individual's UAA.
                               investigation         This proposed
                               conducted under the   provision would be
                               provisions of this    necessary to ensure
                               section, or any       that individuals
                               other inquiry or      are not unfairly
                               investigation.        subject to any
                               Immediately upon      adverse
                               favorable             consequences for
                               completion of the     the licensee's or
                               background            other entity's
                               investigation         delay in completing
                               element that caused   the background
                               the administrative    investigation or
                               withdrawal, the       other requirements
                               licensee,             of the proposed
                               applicant, or C/V     section.
                               shall ensure that
                               any matter that
                               could link the
                               individual to the
                               temporary
                               administrative
                               action is
                               eliminated from the
                               subject
                               individual's access
                               authorization or
                               personnel record
                               and other records,
                               except if a review
                               of the information
                               obtained or
                               developed causes
                               the reviewing
                               official to
                               unfavorably
                               terminate the
                               individual's
                               unescorted access.
------------------------------------------------------------------------


                Table 4.--Proposed Part 73 Section 73.58
                       [Safety/security interface]
------------------------------------------------------------------------
           Proposed language                      Considerations
------------------------------------------------------------------------
Sec.   73.58 Safety/security interface   Proposed Sec.   73.58 would be
 requirements for nuclear power           a new requirement in part 73.
 reactors.                                The need for the proposed
                                          rulemaking is based on: (i)
                                          The Commission's comprehensive
                                          review of its safeguards and
                                          security programs and
                                          requirements, (ii) the
                                          variables in the current
                                          threat environment, (iii) the
                                          analyses made during the
                                          development of the changes to
                                          the Design Basis Threat, (iv)
                                          the plant-specific security
                                          analyses, and (v) the
                                          increased complexity of
                                          licensee security measures now
                                          being required with an
                                          attendant increase in the
                                          potential for adverse
                                          interactions between safety
                                          and security. Additionally, it
                                          is based on plant events that
                                          demonstrated that changes made
                                          to a facility, its security
                                          plan, or implementation of the
                                          plan can have adverse effects
                                          if the changes are not
                                          adequately assessed and
                                          managed. The Commission has
                                          determined that the proposed
                                          safety/security rule
                                          requirements are necessary for
                                          reasonable assurance that the
                                          public health and safety and
                                          common defense and security
                                          continue to be adequately
                                          protected because the current
                                          regulations do not
                                          specifically require
                                          evaluation of the effects of
                                          plant changes on security or
                                          the effects of security plan
                                          changes on plant safety.
                                          Further, the regulations do
                                          not require communication
                                          about the implementation and
                                          timing of changes, which would
                                          promote awareness of the
                                          effects of changing
                                          conditions, and result in
                                          appropriate assessment and
                                          response.

[[Page 62799]]

 
Each operating nuclear power reactor     The introductory text would
 licensee with a license issued under     indicate this section would
 part 50 or 52 of this chapter shall      apply to power reactors
 comply with the requirements of this     licensed under 10 CFR parts 50
 section.                                 or 52. Paragraph (a)(1) of
(a)(1) The licensee shall assess and      this section would require
 manage the potential for adverse         licensees to assess proposed
 affects on safety and security,          changes to plant
 including the site emergency plan,       configurations, facility
 before implementing changes to plant     conditions, or security to
 configurations, facility conditions,     identify potential adverse
 or security..                            effects on the capability of
                                          the licensee to maintain
                                          either safety or security
                                          before implementing those
                                          changes. The assessment would
                                          be qualitative or
                                          quantitative. If a potential
                                          adverse effect would be
                                          identified, the licensee shall
                                          take appropriate measures to
                                          manage the potential adverse
                                          effect. Managing the potential
                                          adverse effect would be
                                          further described in paragraph
                                          (b). The requirements of the
                                          proposed Sec.   73.58 would be
                                          additional requirements to
                                          assess proposed changes and to
                                          manage potential adverse
                                          effects contained in other NRC
                                          regulations, and would not be
                                          intended to substitute for
                                          them. The primary function of
                                          this proposed rule would be to
                                          explicitly require that
                                          licensees consider the
                                          potential for changes to cause
                                          adverse interaction between
                                          security and safety, and to
                                          appropriately manage any
                                          adverse results. Documentation
                                          of assessments performed per
                                          paragraph (a)(1) would not be
                                          required so as not to delay
                                          plant and security actions
                                          unnecessarily.
(a)(2) The scope of changes to be        Paragraph (a)(2) of this
 assessed and managed must include        section would identify that
 planned and emergent activities (such    changes identified by either
 as, but not limited to, physical         planned or emergent activities
 modifications, procedural changes,       must be assessed by the
 changes to operator actions or           licensee. Paragraph (a)(2) of
 security assignments, maintenance        this section would also
 activities, system reconfiguration,      provide a description of
 access modification or restrictions,     typical activities for which
 and changes to the security plan and     changes must be assessed and
 its implementation).                     for which resultant adverse
                                          interactions must be managed.
(b) Where potential adverse              Paragraph (b) of this section
 interactions are identified, the         would require that, when
 licensee shall communicate them to       potential adverse interactions
 appropriate licensee personnel and       would be identified, licensees
 take compensatory and/or mitigative      shall communicate the
 actions to maintain safety and           potential adverse interactions
 security under applicable Commission     to appropriate licensee
 regulations, requirements, and license   personnel. The licensee shall
 conditions.                              also take appropriate
                                          compensatory and mitigative
                                          actions to maintain safety and
                                          security consistent with the
                                          applicable NRC requirements.
                                          The compensatory and/or
                                          mitigative actions taken must
                                          be consistent with existing
                                          requirements for the affected
                                          activity.
------------------------------------------------------------------------


                Table 5.--Proposed Part 73 Section 73.71
                    [Reporting of safeguards events]
------------------------------------------------------------------------
      Current language          Proposed language      Considerations
------------------------------------------------------------------------
                              (a) Each licensee     This paragraph would
                               subject to the        be added to provide
                               provisions of Sec.    for the very rapid
                                73.55 shall notify   communication to
                               the NRC Operations    the Commission of
                               Center,\1\ as soon    an imminent or
                               as possible but not   actual threat to a
                               later than 15         power reactor
                               minutes after         facility. The
                               discovery of an       proposed 15-minute
                               imminent or actual    requirement would
                               safeguards threat     more accurately
                               against the           reflect the current
                               facility and other    threat environment.
                               safeguards events     Because an actual
                               described in          or imminent threat
                               paragraph I of        could quickly
                               appendix G to this    result in a
                               part \2\.             security event, a
                              Footnote: 1.           shorter reporting
                               Commercial (secure    time would be
                               and non-secure)       required. This
                               telephone number of   shortened time
                               the NRC Operations    would permit the
                               Center are            NRC to contact
                               specified in          Federal authorities
                               appendix A to this    and other licensees
                               part..                in a rapid manner
                              Footnote: 2.           to inform them of
                               Notifications to      this event,
                               the NRC for the       especially if this
                               declaration of an     event is the
                               emergency class       opening action on a
                               shall be performed    coordinated
                               in accordance with    multiple-target
                               Sec.   50.72 of       attack. Such notice
                               this chapter..        may permit other
                                                     licensees to
                                                     escalate to a
                                                     higher protective
                                                     level in advance of
                                                     an attack. The
                                                     Commission would
                                                     expect licensees to
                                                     notify the NRC
                                                     Operations Center
                                                     as soon as possible
                                                     after they notify
                                                     local law
                                                     enforcement
                                                     agencies, but
                                                     within 15 minutes.
                                                     The Commission may
                                                     consider the
                                                     applicability of
                                                     this requirement to
                                                     other types of
                                                     licensees in future
                                                     rulemaking.
                                                    Footnote 1 would
                                                     provide a cross
                                                     reference to
                                                     appendix A to part
                                                     73 which contains
                                                     NRC contact
                                                     information.
                                                     Footnote 2 would
                                                     remind licensees of
                                                     their concurrent
                                                     emergency
                                                     declaration
                                                     responsibilities
                                                     under 10 CFR 50.72.

[[Page 62800]]

 
                              (a)(1) When making a  The proposed rule
                               report under          would include this
                               paragraph (a) of      introductory
                               this section, the     statement, which
                               licensees shall:      provides a
                                                     structure for the
                                                     following list of
                                                     information to be
                                                     provided in the 15-
                                                     minute report.
                              (a)(1)(i) Identify    This requirement
                               the facility name;    would be added to
                               and                   ensure the
                                                     licensee's facility
                                                     is clearly
                                                     identified when a
                                                     report is made.
                              (a)(1)(ii) Briefly    This requirement
                               describe the nature   would be added to
                               of the threat or      ensure the nature
                               event, including:     and substance of
                                                     the event would be
                                                     clearly articulated
                                                     based on the best
                                                     information
                                                     available to the
                                                     licensee at the
                                                     time of the report.
                                                     The information
                                                     should be as
                                                     factual and as
                                                     succinct as
                                                     possible.
                                                     Additional
                                                     information
                                                     regarding the
                                                     identification of
                                                     events to be
                                                     reported and the
                                                     nature of the
                                                     information to be
                                                     provide will be
                                                     described in
                                                     guidance.
                              (a)(1)(ii)(A) Type    This requirement
                               of threat or event    would be added to
                               (e.g., armed          provide for a
                               assault, vehicle      minimum, succinct
                               bomb, credible bomb   categorization of
                               threat, etc.); and    the information
                                                     described in the
                                                     report. This would
                                                     allow the licensee
                                                     the opportunity to
                                                     provide a scope for
                                                     the information
                                                     included in the
                                                     report. The
                                                     information should
                                                     be as factual and
                                                     as succinct as
                                                     possible at the
                                                     time of the report.
                                                     Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported will be
                                                     provided in
                                                     guidance.
                              (a)(1)(ii)(B) Threat  This requirement
                               or event status       would be added to
                               (i.e., imminent, in   provide information
                               progress, or          regarding the most
                               neutralized).         current status of
                                                     the event or
                                                     information being
                                                     reported. The
                                                     information should
                                                     be as factual as
                                                     possible at the
                                                     time of the report.
(b)(2) This notification      (a)(2) Notifications  This paragraph would
 must be made in accordance    must be made          be revised to
 with the requirements of      according to          reflect the new
 Paragraphs (a) (2), (3),      paragraph (e) of      location for the
 (4), and (5) of this          this section, as      methods for these
 section.                      applicable.           notifications. The
                                                     requirements for
                                                     the methods all of
                                                     the verbal
                                                     notifications
                                                     [under this
                                                     section] would be
                                                     consolidated under
                                                     paragraph (e).
(a)(1) Each licensee subject  (b) Each licensee     This requirement
 to the provisions of Sec.     subject to the        would be renumbered
 Sec.   73.25, 73.26,          provisions of Sec.    and retained with
 73.27(c), 73.37, 73.67(e),    Sec.   73.25,         minor revision.
 or 73.67(g) shall notify      73.26, 73.27(c),      Footnote (1) would
 the NRC Operations Center1    73.37, 73.67(e), or   be relocated to new
 within one hour after         73.67(g) shall        paragraph (a) and
 discovery of the loss of      notify the NRC        revised. The
 any shipment of SNM or        Operations Center     acronym ``SNM''
 spent fuel, and within one    within one (1) hour   would be spelled
 hour after recovery of or     after discovery of    out as ``special
 accounting for such lost      the loss of any       nuclear material.''
 shipment.                     shipment of special   The word
Footnote: 1. Commercial        nuclear material      ``nuclear'' would
 telephone number of the NRC   (SNM) or spent        be added to ``spent
 Operation Center is (301)     nuclear fuel, and     fuel'' to be
 816-5100.                     within one (1) hour   consistent with
                               after recovery of     terminology used
                               or accounting for     elsewhere in part
                               the lost shipment.    73. Reference to
                               Notifications must    the methods of
                               be made according     telephonic
                               to paragraph (e) of   reporting would be
                               this section, as      added to specify
                               applicable.           paragraph (e) of
                                                     this section.
(b)(1) Each licensee subject  (c) Each licensee     This requirement
 to the provisions of Sec.     subject to the        would be renumbered
 Sec.   73.20, 73.37, 73.50,   provisions of Sec.    and retained with
 73.51, 73.55, 73.60, or       Sec.   73.20,         minor revision. The
 73.67 shall notify the NRC    73.37, 73.50,         words ``1 hour of''
 Operations Center within 1    73.51, 73.55,         would be replaced
 hour of discovery of the      73.60, or 73.67       by the words ``one
 safeguards events described   shall notify the      (1) hour after'' to
 in Paragraph I(a)(1) of       NRC Operations        clarify the time
 appendix G to this part.      Center within one     frame established
                               (1) hour after        by this
                               discovery of the      requirement. The
                               safeguards events     reference to
                               described in          appendix G would be
                               paragraph II of       revised as a
                               appendix G to this    conforming change
                               part. Notifications   to specify the
                               must be made          events to be
                               according to          reported. Reference
                               paragraph (e) of      to the methods of
                               this section, as      reporting would be
                               applicable.           added to specify
                                                     paragraph (e) of
                                                     this section.

[[Page 62801]]

 
                              (d) Each licensee     This paragraph would
                               subject to the        be added to provide
                               provisions of Sec.    a requirement for
                                73.55 shall notify   power reactor
                               the NRC Operations    licensees to notify
                               Center, as soon as    the Commission of
                               possible but not      suspicious
                               later than four (4)   activities,
                               hours after           attempts at access,
                               discovery of the      etc., that may
                               safeguards events     indicate pre-
                               described in          operational
                               paragraph III of      surveillance,
                               appendix G to this    reconnaissance, or
                               part. Notifications   intelligence
                               must be made          gathering
                               according to          activities targeted
                               paragraph (e) of      against the
                               this section, as      facility. This
                               applicable.           would more
                                                     accurately reflect
                                                     the current threat
                                                     environment; would
                                                     assist the
                                                     Commission in
                                                     evaluating threats
                                                     to multiple
                                                     licensees; and
                                                     would assist the
                                                     intelligence and
                                                     homeland security
                                                     communities in
                                                     evaluating threats
                                                     across critical
                                                     infrastructure
                                                     sectors. The
                                                     reporting process
                                                     intended in this
                                                     proposed rule would
                                                     be similar
                                                     reporting process
                                                     that the licensees
                                                     currently use under
                                                     guidance issued by
                                                     the Commission
                                                     subsequent to
                                                     September 11, 2001,
                                                     and would formalize
                                                     Commission
                                                     expectations;
                                                     however, the
                                                     reporting interval
                                                     would be lengthened
                                                     from 1 hour to 4
                                                     hours.
                                                    The Commission views
                                                     this length of time
                                                     as reasonable to
                                                     accomplish these
                                                     broader objectives.
                                                     This reporting
                                                     requirement does
                                                     not include a
                                                     followup written
                                                     report. The
                                                     Commission believes
                                                     that a written
                                                     report from the
                                                     licensees would be
                                                     of minimal value
                                                     and would be an
                                                     unnecessary
                                                     regulatory burden,
                                                     because the types
                                                     of incidents to be
                                                     reported are
                                                     transitory in
                                                     nature and time-
                                                     sensitive. The
                                                     proposed text would
                                                     be neither a
                                                     request for
                                                     intelligence
                                                     collection
                                                     activities nor
                                                     authority for the
                                                     conduct of law
                                                     enforcement or
                                                     intelligence
                                                     activities. This
                                                     paragraph would
                                                     simply require the
                                                     reporting of
                                                     observed
                                                     activities. The
                                                     Commission may
                                                     consider the
                                                     applicability of
                                                     this requirement to
                                                     other types of
                                                     licensees in future
                                                     rulemaking.
(a)(2) This notification      (e) The licensees     This requirement
 must be made to the NRC       shall make the        would be renumbered
 Operations Center via the     notifications         and revised as a
 Emergency Notification        required by           conforming change
 System, if the licensee is    paragraphs (a),       to new paragraph
 party to that system.         (b), (c), and (d)     (d). Other
                               of this section to    revisions would
                               the NRC Operations    include changing
                               Center via the        the phrase ``This
                               Emergency             notification must
                               Notification          be made to'' would
                               System, or other      be replaced by the
                               dedicated             active-voice phrase
                               telephonic system     ``The licensee
                               that may be           shall make'' to
                               designated by the     clarify that it
                               Commission, if the    would be the
                               licensee has access   licensee who takes
                               to that system.       the notification
                                                     action. The phrase
                                                     ``or other
                                                     dedicated
                                                     telephonic system
                                                     that may be
                                                     designated by the
                                                     Commission'' would
                                                     be added to allow
                                                     flexibility to
                                                     address advances in
                                                     communications
                                                     systems.
(a)(2) If the Emergency       (e)(1) If the         This requirement
 Notification System is        Emergency             would be renumbered
 inoperative or unavailable,   Notification System   and retained with
 the licensee shall make the   or other designated   minor revision. The
 required notification via     telephonic system     phrase ``within one
 commercial telephonic         is inoperative or     hour'' would be
 service or other dedicated    unavailable,          replaced with the
 telephonic system or any      licensees shall       phrase ``within the
 other methods that will       make the required     timeliness
 ensure that a report is       notification via      requirements of
 received by the NRC           commercial            paragraphs (a),
 Operations Center within      telephonic service    (b), (c), and (d)
 one hour.                     or any other          of this section, as
                               methods that will     applicable.'' This
                               ensure that a         would provide
                               report is received    consistency with
                               by the NRC            the varying
                               Operations Center     submission
                               within the            intervals for
                               timeliness            notifications under
                               requirements of       paragraphs (a)
                               paragraphs (a),       through (d).
                               (b), (c), and (d)
                               of this section, as
                               applicable.
(a)(2) The exemption of       (e)(2) The exception  This requirement
 Section 73.21(g)(3) applies   of Sec.               would be renumbered
 to all telephonic reports     73.21(g)(3) for       and retained with
 required by this section.     emergency or          minor revision to
                               extraordinary         provide clarity
                               conditions applies    [and consistency
                               to all telephonic     with Sec.   73.21
                               reports required by   safeguards
                               this section.         information
                                                     regulations] on
                                                     what types of
                                                     telephonic
                                                     notifications are
                                                     exempt from the
                                                     secure
                                                     communications
                                                     requirements of
                                                     Sec.   73.21.

[[Page 62802]]

 
(a)(3) The licensee shall,    (e)(3) For events     This requirement
 upon request to the NRC,      reported under        would be retained
 maintain an open and          paragraph (a) of      and revised into
 continuous communication      this section, the     three separate
 channel with the NRC          licensee may be       requirements. The
 Operations Center.            requested by the      first sentence
                               NRC to maintain an    would be reworded
                               open, continuous      to reflect the
                               communication         renumbered event
                               channel with the      reports under this
                               NRC Operations        section. For the 15-
                               Center, once the      minute reports, the
                               licensee has          paragraph would
                               completed other       indicate that a
                               required              licensee may be
                               notifications under   requested to
                               this section, Sec.    establish a
                                50.72 of this        ``continuous
                               chapter, or           communications
                               appendix E of part    channel'' following
                               50 of this chapter    the initial 15-
                               and any immediate     minute
                               actions to            notification. The
                               stabilize the         establishment of a
                               plant. When           continuous
                               established, the      communications
                               continuous            channel would not
                               communications        supercede current
                               channel shall be      emergency
                               staffed by a          preparedness or
                               knowledgeable         security
                               individual in the     requirements to
                               licensee's security   notify State
                               or operations         officials or local
                               organizations         law enforcement
                               (e.g., a security     authorities, nor
                               supervisor, an        would it supercede
                               alarm station         requirements to
                               operator,             take immediate
                               operations            action to stabilize
                               personnel, etc.)      the reactor plant
                               from a location       (e.g.>, in response
                               deemed appropriate    to a reactor scram
                               by the licensee.      or to the loss of
                                                     offsite power).
                              The continuous        A new requirement
                               communications        would be added for
                               channel may be        the person
                               established via the   communicating to be
                               Emergency             knowledgeable and
                               Notification System   from the licensee's
                               or other dedicated    security or
                               telephonic system     operations
                               that may be           organization. This
                               designated by the     language would
                               Commission, if the    provide licensees
                               licensee has access   with flexibility in
                               to that system, or    choosing personnel
                               a commercial          to fulfill this
                               telephonic system.    communications role
                                                     and in choosing the
                                                     location for this
                                                     communication
                                                     (e.g., control
                                                     room, security
                                                     alarm station,
                                                     technical support
                                                     center, etc.). This
                                                     language would also
                                                     provide licensees
                                                     direction and
                                                     flexibility on the
                                                     telephonic systems
                                                     that may be used
                                                     for this
                                                     communications
                                                     channel.
(a)(3) The licensee shall,    (e)(4) For events     This requirement
 upon request to the NRC,      reported under        would be renumbered
 maintain an open and          paragraphs (b) or     and retained with
 continuous communication      (c) of this           minor revision to
 channel with the NRC          section, the          support the
 Operations Center.            licensee shall        renumbering of
                               maintain an open,     existing paragraphs
                               continuous            (a) and (b) to new
                               communication         (b) and (c).
                               channel with the
                               NRC Operations
                               Center upon request
                               from the NRC.
                              (e)(5) For            This would be a new
                               suspicious events     requirement. For
                               reported under        suspicious activity
                               paragraph (d) of      reports, no
                               this section, the     continuous
                               licensee is not       communication
                               required to           channel would be
                               maintain an open,     required. The
                               continuous            Commission's view
                               communication         is that because
                               channel with the      these reports are
                               NRC Operations        intended for law
                               Center.               enforcement, threat
                                                     assessment, and
                                                     intelligence
                                                     community purposes,
                                                     rather than event
                                                     followup purposes,
                                                     a continuous
                                                     communications
                                                     channel is not
                                                     necessary.
(c) Each licensee subject to  (f) Each licensee     This requirement
 the provisions of Sec.        subject to the        would be renumbered
 Sec.   73.20, 73.37, 73.50,   provisions of Sec.    and retained with
 73.51, 73.55, 73.60, or       Sec.   73.20,         minor revision. The
 each licensee possessing      73.37, 73.50,         term ``safeguards
 SSNM and subject to the       73.51, 73.55,         event'' would be
 provisions of Sec.            73.60, or each        added between
 73.67(d) shall maintain a     licensee possessing   ``current'' and
 current log * * *.            SSNM and subject to   ``log'' to provide
                               the provisions of     greater clarity and
                               Sec.   73.67(d)       consistency with
                               shall maintain a      appendix G.
                               current safeguards
                               event log.
(c) * * * and record the      (f)(1) The licensee   This requirement
 safeguards events described   shall record the      would be renumbered
 in Paragraphs II (a) and      safeguards events     and retained with
 (b) of appendix G to this     described in          revision. This
 part within 24 hours of       paragraph IV of       paragraph would
 discovery by a licensee       appendix G of this    also be revised to
 employee or member of the     part within 24        reflect the
 licensee's contract           hours of discovery.   renumbering of
 security organization.                              appendix G. The
                                                     language on
                                                     discovery by a
                                                     licensee or
                                                     licensee contractor
                                                     would be removed to
                                                     reduce confusion.
                                                     The Commission
                                                     expects all logable
                                                     events to be
                                                     recorded,
                                                     irrespective of who
                                                     identifies the
                                                     security issue
                                                     (i.e., recordable
                                                     events discovered
                                                     by licensee staff,
                                                     contractors, NRC or
                                                     State inspectors,
                                                     or independent
                                                     auditors should be
                                                     logged).
(c) * * * The licensee shall  (f)(2) The licensees  This requirement
 retain the log of events      shall retain the      would be renumbered
 recorded under this section   log of events         and retained with
 as a record for three years   recorded under this   minor revision by
 after the last entry is       section as a record   adding ``(3)''
 made in each log or until     for three (3) years   after ``three''
 termination of the license.   after the last        [years].
                               entry is made in
                               each log or until
                               termination of the
                               license.

[[Page 62803]]

 
(a)(4) The initial            (g) Written reports.  This requirement
 telephonic notification       (1) Each licensee     would be renumbered
 must be followed within a     making an initial     and retained with
 period of 60 days by a        telephonic            revision. The
 written report submitted to   notification under    current text would
 the NRC by an appropriate     paragraphs (a),       be retained
 method listed in Sec.         (b), and (c) of       requiring a written
 73.4.                         this section shall    60-day report be
                               also submit a         submitted for 1-
                               written report to     hour notifications
                               the NRC within a      under paragraph (b)
                               period of 60 days     and (c). A written
                               by an appropriate     60-day report would
                               method listed in      also be required
                               Sec.   73.4.          for 15-minute
                                                     notifications under
                                                     paragraph (a).
                              (g)(2) Licenses are   This paragraph would
                               not required to       be a new
                               submit a written      requirement.
                               report following a    Licensees would not
                               telephonic            be required to
                               notification made     submit a written
                               under paragraph (d)   report for a
                               of this section.      suspicious activity
                                                     notification made
                                                     under paragraph (d)
                                                     as no ``security
                                                     event'' has
                                                     occurred. Any
                                                     followup that might
                                                     be necessary would
                                                     be handled through
                                                     the Commission's
                                                     threat assessment
                                                     procedures.
(d) Each licensee shall       (g)(3) Each licensee  This requirement
 submit to the Commission      shall submit to the   would be renumbered
 the 60-day written reports    Commission written    and retained. The
 required under the            reports that are of   timing requirement
 provisions of this section    a quality that will   and the quality
 that are of a quality that    permit legible        requirement would
 will permit legible           reproduction and      be split into
 reproduction and              processing.           paragraph (g)(1)
 processing. * * *.                                  and (g)(3),
                                                     respectively.
(d) * * * [I]f the facility   (g)(4) Licensees      These requirements
 is subject to Sec.   50.73    subject to Sec.       would be renumbered
 of this chapter, the          50.73 of this         and retained.
 licensee shall prepare the    chapter shall
 written report on NRC Form    prepare the written
 366. If the facility is not   report on NRC Form
 subject to Sec.   50.73 of    366.
 this chapter, the licensee   (g)(5) Licensees not
 shall not use this form but   subject to Sec.
 shall prepare the written     50.73 of this
 report in letter format * *   chapter, shall
 *.                            prepare the written
                               report in letter
                               format.
(a)(4) In addition to the     (g)(6) In addition    This requirement
 addressees specified in       to the addressees     would be renumbered
 Sec.   73.4, the licensee     specified in Sec.     and retained with
 shall also provide one copy   73.4, the licensees   minor revision. The
 of the written report         shall also provide    paragraph would be
 addressed to the Director,    one copy of the       revised to change
 Division of Nuclear           written report and    the organization
 Security, Office of Nuclear   any revisions         within the NRC,
 Security and Incident         addressed to the      that should receive
 Response.                     Director, Office of   an extra copy of
                               Nuclear Security      the written, or any
                               and Incident          revisions to the
                               Response.             written report, in
                                                     addition to the
                                                     standard submission
                                                     addresses under
                                                     Sec.   73.4. The
                                                     phrase ``Director,
                                                     Division of Nuclear
                                                     Security'' would be
                                                     replaced with the
                                                     ``Director, Office
                                                     of Nuclear Security
                                                     and Incident
                                                     Response.'' to
                                                     reflect changes
                                                     within the Office
                                                     of Nuclear Security
                                                     and Incident
                                                     Response and reduce
                                                     the need for future
                                                     changes to this
                                                     regulation with
                                                     realignment of the
                                                     NRC's internal
                                                     structure.
(a)(4) The report must        (g)(7) The report     This requirement
 include sufficient            must include          would be retained
 information for NRC           sufficient            and be renumbered.
 analysis and evaluation.      information for NRC
                               analysis and
                               evaluation.
(a)(5) Significant            (g)(8) Significant    This requirement
 supplemental information      supplemental          would be renumbered
 which becomes available       information which     and revised.
 after the initial             becomes available     Language would be
 telephonic notification to    after the initial     added to clarity
 the NRC Operations Center     telephonic            the updating of
 or after the submission of    notification to the   notifications made
 the written report must be    NRC Operations        under paragraph (e)
 telephonically reported to    Center or after the   and to require
 the NRC Operations Center     submission of the     revised written
 and also submitted in a       written report must   reports. Written
 revised written report        be telephonically     initial and revised
 (with the revisions           reported to the NRC   reports would be
 indicated) to the Regional    Operations Center     submitted in
 Office and the Document       under paragraph (e)   accordance with
 Control Desk.                 of this section and   paragraph (g)(6) of
                               also submitted in a   this section.
                               revised written
                               report (with the
                               revisions
                               indicated) as
                               required under
                               paragraph (g)(6) of
                               this section.
(a)(5) Errors discovered in   (g)(9) Errors         This requirement
 a written report must be      discovered in a       would be renumbered
 corrected in a revised        written report must   and retained.
 report with revisions         be corrected in a
 indicated.                    revised report with
                               revisions indicated.
(a)(5) The revised report     (g)(10) The revised   This requirement
 must replace the previous     report must replace   would be renumbered
 report; the update must be    the previous          and retained with
 a complete entity and not     report; the update    minor grammatical
 contain only supplementary    must be complete      changes.
 or revised information.       and not be limited
                               to only
                               supplementary or
                               revised information.
(a)(5) Each licensee shall    (g)(11) Each          This requirement
 maintain a copy of the        licensee shall        would be renumbered
 written report of an event    maintain a copy of    and retained with
 submitted under this          the written report    minor revision by
 section as record for a       of an event           adding ``(3)''
 period of three years from    submitted under       after ``three''
 the date of the report.       this section as       [years].
                               record for a period
                               of three (3) years
                               from the date of
                               the report.
(e) Duplicate reports are     (h) Duplicate         This requirement
 not required for events       reports are not       would be retained
 that are also reportable in   required for events   and be renumbered.
 accordance with Sec.  Sec.    that are also
  50.72 and 50.73 of this      reportable in
 chapter.                      accordance with
                               Sec.  Sec.   50.72
                               and 50.73 of this
                               chapter.
------------------------------------------------------------------------


[[Page 62804]]


                  Table 6.--Proposed Part 73 Appendix B
           [Nuclear Power Reactor Training and Qualification]
------------------------------------------------------------------------
      Current language          Proposed language      Considerations
------------------------------------------------------------------------
Appendix B to Part 73.......  Appendix B to Part    This proposed
General Criteria for           73.                   Paragraph VI and
 Security Personnel.          VI. Nuclear Power      header would be
                               Reactor Training      added to the
                               and Qualification     current appendix B
                               Plan.                 to replicate
                                                     current
                                                     requirements,
                                                     ensure continuity
                                                     between training
                                                     and qualification
                                                     programs and
                                                     requirements for
                                                     security personnel,
                                                     and provide for the
                                                     separation,
                                                     modification,
                                                     addition, and
                                                     clarification of
                                                     training and
                                                     qualification
                                                     requirements as
                                                     they apply
                                                     specifically to
                                                     operating nuclear
                                                     power reactors.
Introduction................  A. General            The phrase ``General
                               Requirements and      Requirements and''
                               Introduction.         would be added to
                                                     this header for
                                                     formatting
                                                     purposes.
Appendix B, Introduction,     A.1. The licensee     This requirement
 Paragraph 1: Security         shall ensure that     would retain the
 personnel who are             all individuals who   requirement for
 responsible for the           are assigned duties   security personnel
 protection of special         and                   to meet minimum
 nuclear material on site or   responsibilities      criteria to ensure
 in transit and for the        required to prevent   that they will
 protection of the facility    significant core      effectively perform
 or shipment vehicle against   damage and spent      their assigned
 radiological sabotage         fuel sabotage,        security-related
 should, like other elements   implement the         job duties. The
 of the physical security      Commission-approved   phrase ``security
 system, be required to meet   security plans,       personnel'' would
 minimum criteria to ensure    licensee response     be replaced with
 that they will effectively    strategy, and         the phrase ``all
 perform their assigned        implementing          individuals'' to
 security-related job duties.  procedures, meet      describe the
                               minimum training      Commission
                               and qualification     determination that
                               requirements to       any individual who
                               ensure each           is assigned to
                               individual            perform a security
                               possesses the         function must be
                               knowledge, skills,    trained and
                               and abilities         qualified to
                               required to           effectively perform
                               effectively perform   that security
                               the assigned duties   function. The
                               and                   phrase ``on site or
                               responsibilities.     in transit and for
                                                     the protection of
                                                     the facility or
                                                     shipment vehicle''
                                                     would be deleted to
                                                     remove language not
                                                     applicable to power
                                                     reactors. The
                                                     phrase ``against
                                                     radiological
                                                     sabotage'' would be
                                                     replaced with the
                                                     phrase ``required
                                                     to prevent core
                                                     damage and spent
                                                     fuel sabotage,''.
                                                     The phrase
                                                     ``implementation of
                                                     the Commission-
                                                     approved security
                                                     plans, licensee
                                                     response strategy,
                                                     and implementing
                                                     procedures'' would
                                                     provide a detailed
                                                     list of
                                                     programmatic areas
                                                     for which the
                                                     licensee must
                                                     provide effective
                                                     training and
                                                     qualification to
                                                     satisfy the
                                                     performance
                                                     objective for
                                                     protection against
                                                     radiological
                                                     sabotage. The word
                                                     ``should'' would be
                                                     deleted because
                                                     training and
                                                     qualification would
                                                     be required not
                                                     suggested.
                                                    The phrase ``like
                                                     other elements of
                                                     the physical
                                                     security system, be
                                                     required to meet
                                                     minimum criteria to
                                                     ensure that they
                                                     will effectively
                                                     perform their
                                                     assigned security-
                                                     related job
                                                     duties'' would be
                                                     replaced with the
                                                     phrase ``meet
                                                     minimum training
                                                     and qualification
                                                     requirements to
                                                     ensure each
                                                     individual
                                                     possesses the
                                                     knowledge, skills,
                                                     and abilities
                                                     required to
                                                     effectively perform
                                                     the assigned duties
                                                     and
                                                     responsibilities''
                                                     to describe the
                                                     Commission
                                                     determination that
                                                     minimum training
                                                     and qualification
                                                     requirements are
                                                     met to provide
                                                     assurance that
                                                     assigned
                                                     individuals possess
                                                     the knowledge,
                                                     skills, and
                                                     abilities that are
                                                     required to
                                                     effectively perform
                                                     the assigned
                                                     function.
Appendix B, Introduction: In  A.2. To ensure that   This requirement
 order to ensure that those    those individuals     would retain the
 individuals responsible for   who are assigned to   requirement for the
 security are properly         perform duties and    licensee to ensure
 equipped and qualified to     responsibilities      that all personnel
 execute the job duties        required for the      assigned security
 prescribed for them, the      implementation of     duties and
 NRC has developed general     the Commission-       responsibilities
 criteria that specify         approved security     are properly
 security personnel            plans, licensee       trained and
 qualification requirements.   response strategy,    qualified. The
                               and implementing      word, ``suited''
                               procedures are        would be added to
                               properly suited,      reflect the
                               trained, equipped,    suitability
                               and qualified to      requirements of the
                               perform their         current appendix B.
                               assigned duties and   The word,
                               responsibilities,     ``trained'' would
                               the Commission has    be added to reflect
                               developed minimum     the training
                               training and          requirements of the
                               qualification         current appendix B.
                               requirements that
                               must be implemented
                               through a
                               Commission-approved
                               training and
                               qualification plan.

[[Page 62805]]

 
                                                    The phrase
                                                     ``responsible for
                                                     security'' would be
                                                     replaced with the
                                                     phrase ``who are
                                                     assigned to perform
                                                     duties and
                                                     responsibilities
                                                     required for the
                                                     implementation of
                                                     the Commission-
                                                     approved security
                                                     plans, licensee
                                                     response strategy,
                                                     and implementing
                                                     procedures'' to
                                                     identify the major
                                                     programmatic areas
                                                     from which security
                                                     duties are derived.
                                                     The phrase
                                                     ``execute the job
                                                     duties prescribed
                                                     for them'' would be
                                                     replaced with the
                                                     phrase ``perform
                                                     their assigned
                                                     duties and
                                                     responsibilities''
                                                     to for consistency
                                                     with the updated
                                                     language used in
                                                     the proposed rule.
                                                     The acronym ``NRC''
                                                     would be replaced
                                                     with the word
                                                     ``Commission'' to
                                                     remove the use of
                                                     this acronym. The
                                                     phrase ``general
                                                     criteria that
                                                     specify security
                                                     personnel
                                                     qualification
                                                     requirements''
                                                     would be replaced
                                                     with the phrase
                                                     ``minimum training
                                                     and qualification
                                                     requirements'' for
                                                     consistency with
                                                     the use of the word
                                                     ``minimum'' and the
                                                     phrase ``general
                                                     criteria that
                                                     specify''. The
                                                     phrase ``that shall
                                                     be implemented
                                                     through a
                                                     Commission-approved
                                                     training and
                                                     qualification
                                                     plan'' would be
                                                     added for
                                                     consistency with
                                                     the proposed 10 CFR
                                                     73.55.
Appendix B, Introduction:     A.3. The licensee     This requirement for
 These general criteria        shall establish,      selection,
 establish requirements for    maintain, and         training,
 the selection, training,      follow a Commission-  equipping, testing,
 equipping, testing, and       approved training     and qualification
 qualification of              and qualification     would be retained
 individuals who will be       plan, describing      and reformatted to
 responsible for protecting    how the minimum       combine two current
 special nuclear materials,    training and          requirements. An
 nuclear facilities, and       qualification         expansion of the
 nuclear shipments.            requirements set      plan requirements
Appendix B, Introduction:      forth in this         would describe the
 When required to have         appendix will be      content of an
 security personnel that       met, to include the   approved training
 have been trained,            processes by which    and qualification
 equipped, and qualified to    all members of the    plan that would
 perform assigned security     security              demonstrate how the
 job duties in accordance      organization, will    requirements in the
 with the criteria in this     be selected,          appendix are met.
 appendix, the licensee must   trained, equipped,
 establish, maintain, and      tested, and
 follow a plan that shows      qualified.
 how the criteria will be
 met.
Appendix B, II.D: Each        A.4. Each individual  This requirement to
 individual assigned to        assigned to perform   demonstrate
 perform the security          security program      knowledge, skills
 related task identified in    duties and            would be retained.
 the licensee physical         responsibilities      The requirement to
 security or contingency       required to           demonstrate
 plan shall demonstrate the    effectively           knowledge, skills,
 required knowledge, skill,    implement the         and abilities prior
 and ability in accordance     Commission-approved   to assignment would
 with the specified            security plans,       be added to ensure
 standards for each task as    licensee protective   that each
 stated in the NRC approved    strategy, and the     individual
 licensee training and         licensee              demonstrates the
 qualifications plan.          implementing          ability to apply
                               procedures, shall     formal classroom
                               demonstrate the       training to
                               knowledge, skills,    assigned duties and
                               and abilities         responsibilities.
                               required to
                               effectively perform
                               the assigned duties
                               and
                               responsibilities
                               before the
                               individual is
                               assigned the duty
                               or responsibility.
Appendix B, Paragraph I.C. *  A.5. The licensee     This requirement
 * * shall consider job-       shall ensure that     would be based upon
 related functions such as     the training and      the current
 strenuous activity,           qualification         requirement of
 physical exertion, levels     program simulates,    appendix B,
 of stress, and exposure to    as closely as         Paragraph I.C., and
 the elements as they          practicable, the      require that due to
 pertain to each               specific conditions   changes in the
 individual's assigned         under which the       threat environment
 security job duties for       individual shall be   that personnel must
 both normal and emergency     required to perform   be trained in a
 operations.                   assigned duties and   manner which
                               responsibilities.     simulates the site
                                                     specific conditions
                                                     under which the
                                                     assigned duties and
                                                     responsibilities
                                                     are required to be
                                                     performed.

[[Page 62806]]

 
Appendix B, Introduction:     A.6. The licensee     This requirement
 Security personnel who are    may not allow any     would be based upon
 responsible for the           individual to         the current
 protection of special         perform any           appendix B,
 nuclear material on site or   security function,    Introduction. Due
 in transit and for the        assume any security   to changes to the
 protection of the facility    duties or             threat environment,
 or shipment vehicle against   responsibilities,     this requirement
 radiological sabotage         or return to          would identify the
 should, like other elements   security duty,        applicability of
 of the physical security      until that            appendix B training
 system, be required to meet   individual            and qualification
 minimum criteria to ensure    satisfies the         standards to all
 that they will effectively    training and          security-related
 perform their assigned        qualification         duties, whether
 security-related job duties.  requirements of       they be performed
                               this appendix and     by traditional
                               the Commission-       security
                               approved training     organization
                               and qualification     personnel or other
                               plan, unless          plant staff.
                               specifically          Licensees would be
                               authorized by the     required by the
                               Commission.           proposed rule to
                                                     describe how non-
                                                     security personnel
                                                     would be trained to
                                                     perform the
                                                     specific functions
                                                     to which they are
                                                     assigned in
                                                     accordance with the
                                                     Commission-approved
                                                     training and
                                                     qualification plan,
                                                     and that non-
                                                     security personnel
                                                     would be required
                                                     to meet the
                                                     requirements of
                                                     this proposed
                                                     appendix that are
                                                     specifically
                                                     articulated and
                                                     necessary to
                                                     perform the
                                                     required, specific
                                                     duty or
                                                     responsibility
                                                     assigned.
Appendix B, Paragraph I.E.    A.7. Annual           This annual training
 At least every 12 months,     requirements must     requirement would
 central alarm station         be scheduled at a     be retained and
 operators shall be required   nominal twelve (12)   revised for
 to meet the physical          month periodicity.    consistency with
 requirements of B.1.b of      Annual requirements   the proposed Sec.
 this section, and guards,     may be completed up   73.55. The intent
 armed response personnel,     to three (3) months   would be to provide
 and armed escorts shall be    before or three (3)   regulatory
 required to meet the          months after the      stability and
 physical requirements of      scheduled date.       consistency by
 Paragraphs B.1.b(1) and       However, the next     requiring annual
 (2), and C of this section.   annual training       training at a
                               must be scheduled     nominal 12 month
                               twelve (12) months    intervals, while
                               from the previously   providing for those
                               scheduled date        instances when a
                               rather than the       licensee may not be
                               date the training     able to conduct
                               was actually          annual training on
                               completed.            the scheduled date
                                                     due to site
                                                     specific conditions
                                                     or unforseen
                                                     circumstances. This
                                                     would provide
                                                     needed flexibility
                                                     in accomplishing
                                                     required training.
                                                     This requirement
                                                     would provide for
                                                     annual training to
                                                     be conducted up to
                                                     three (3) months
                                                     prior to, or three
                                                     (3) months after
                                                     the scheduled
                                                     initial date.
                                                     However, to insure
                                                     that the required
                                                     training period
                                                     would be not
                                                     repeatedly extended
                                                     beyond the required
                                                     12 months, this
                                                     requirement would
                                                     require that the
                                                     next subsequent
                                                     training date be 12
                                                     months from the
                                                     originally
                                                     scheduled date. The
                                                     intent would be to
                                                     provide licensees
                                                     with the necessary
                                                     flexibility to
                                                     resolve scheduling
                                                     issues due to
                                                     unexpected
                                                     circumstances such
                                                     as forced outages,
                                                     unforseen weather
                                                     conditions, and
                                                     ensure that
                                                     training would be
                                                     completed within
                                                     the minimum
                                                     required frequency.
I. Employment suitability     B. Employment         This header would be
 and qualification.            suitability and       retained without
                               qualification.        change.
Appendix B, Paragraph I.A.    B.1. Suitability....  This header would be
 Suitability:                                        retained without
                                                     change.
Appendix B, Paragraph I.A.1.  B.1.a. Before         This requirement
 Prior to employment, or       employment, or        would be retained
 assignment to the security    assignment to the     with only minor
 organization, an individual   security              grammatical
 shall meet the following      organization, an      changes.
 suitability criteria:         individual shall:
Appendix B, Paragraph         B.1.a.(1) Possess a   This requirement to
 I.A.1.a. Educational          high school diploma   possess a high
 development--Possess a high   or pass an            school diploma or
 school diploma or pass an     equivalent            pass an equivalent
 equivalent performance        performance           performance
 examination designed to       examination           examination would
 measure basic job-related     designed to measure   be retained. The
 mathematical, language, and   basic mathematical,   title ``Educational
 reasoning skills, ability,    language, and         development'' would
 and knowledge, required to    reasoning skills,     be deleted because
 perform security job duties.  abilities, and        it would not be
                               knowledge required    needed. The phrase
                               to perform security   ``job-related''
                               duties and            would be deleted
                               responsibilities;     because it would be
                                                     addressed by the
                                                     phrase ``required
                                                     to perform''. The
                                                     word ``job'' would
                                                     be replaced with
                                                     the word
                                                     ``responsibilities'
                                                     ' to more
                                                     accurately reflect
                                                     the skills
                                                     required. The word
                                                     ``ability'' would
                                                     be replaced with
                                                     the word
                                                     ``abilities'' to
                                                     correct grammar.

[[Page 62807]]

 
Appendix B, Paragraph I.A.2.  B.1.a.(2) Have        This age requirement
 Prior to employment or        attained the age of   for armed personnel
 assignment to the security    21 for an armed       would be retained.
 organization in an armed      capacity or the age   The phrase ``or the
 capacity, the individual,     of 18 for an          age of 18 for an
 in addition to (a) and (b)    unarmed capacity;     unarmed capacity''
 above, must be 21 years of    and                   would be added to
 age or older.                                       specify a minimum
                                                     age since the
                                                     current NRC
                                                     approved training
                                                     and qualification
                                                     plans for all
                                                     licensees requires
                                                     unarmed members to
                                                     have attained the
                                                     age of 18 prior to
                                                     assignment.
Appendix B, Paragraph         B.1.a.(3) An unarmed  The phrase ``Have no
 I.A.1.b. Felony               individual assigned   felony convictions
 convictions--Have no felony   to the security       involving the use
 convictions involving the     organization may      of a weapon'' would
 use of a weapon and no        not have any felony   be deleted because
 felony convictions that       convictions that      the proposed rule
 reflect on the individual's   reflect on the        would address this
 reliability.                  individual's          requirement in 10
                               reliability.          CFR 73.18 for an
                                                     armed member of the
                                                     security
                                                     organization. The
                                                     phrase ``An unarmed
                                                     individual assigned
                                                     to the security
                                                     organization may
                                                     not have any felony
                                                     convictions'' would
                                                     be added to retain
                                                     the current
                                                     requirement for
                                                     unarmed
                                                     individuals.
Appendix B, Paragraph II.C.   B.1.b. The            The ``attested to by
 The qualifications of each    qualification of      a security
 individual must be            each individual to    supervisor''
 documented and attested by    perform assigned      requirement would
 a licensee security           duties and            be retained. The
 supervisor.                   responsibilities      phrase ``to perform
                               must be documented    assigned duties and
                               by a qualified        responsibilities''
                               training instructor   would be added to
                               and attested to by    clarify the
                               a security            performance
                               supervisor.           standard for
                                                     documentation. The
                                                     phrase ``by a
                                                     qualified training
                                                     instructor'' would
                                                     be added to require
                                                     that the security
                                                     supervisor must
                                                     attest to the fact
                                                     that the required
                                                     training for each
                                                     individual was
                                                     administered by a
                                                     qualified
                                                     instructor and
                                                     documentation was
                                                     obtained and
                                                     properly completed.
                                                     The word
                                                     ``licensee'' would
                                                     be deleted because
                                                     a contract security
                                                     supervisor may
                                                     attest to an
                                                     individual's
                                                     qualification.
                                                     These changes would
                                                     better describe the
                                                     requirement for
                                                     verification and
                                                     documentation of
                                                     training by a
                                                     supervisor.
Appendix B, Paragraph I.B.    B.2. Physical         This header would be
 Physical and mental           qualifications.       retained and the
 qualifications.                                     two topics
                                                     separately
                                                     addressed. The word
                                                     ``mental'' is
                                                     deleted because
                                                     psychological
                                                     qualifications are
                                                     set forth
                                                     separately.
Appendix B, Paragraph I.B.1.  B.2.a. General        This header would be
 Physical qualifications:      Physical              retained. The word
                               Qualifications.       ``General'' would
                                                     be added to
                                                     indicate that site
                                                     specific physical
                                                     qualifications
                                                     would be applicable
                                                     if not addressed
                                                     herein.
Appendix B, Paragraph         B.2.a.(1)             The requirement
 I.B.1.a. Individuals whose    Individuals whose     would be retained.
 security tasks and job        duties and            The phrase ``tasks
 duties are directly           responsibilities      and job duties''
 associated with the           are directly          would be replaced
 effective implementation of   associated with the   with the phrase
 the licensee physical         effective             ``duties and
 security and contingency      implementation of     responsibilities''
 plans shall have no           the Commission-       to reflect current
 physical weaknesses or        approved security     language usage. The
 abnormalities that would      plans, licensee       phrase ``licensee
 adversely affect their        protective            physical security
 performance of assigned       strategy, and         and contingency
 security job duties.          implementing          plans'' would be
                               procedures, may not   replaced with the
                               have any physical     phrase ``Commission-
                               conditions that       approved security
                               would adversely       plans, licensee
                               affect their          protective
                               performance.          strategy, and
                                                     implementing
                                                     procedures'' to
                                                     specify the source
                                                     of the duties and
                                                     responsibilities.
                                                     The phrase ``of
                                                     assigned security
                                                     job duties'' would
                                                     be deleted because
                                                     it would be
                                                     addressed by the
                                                     phrase ``whose
                                                     duties and
                                                     responsibilities''
                                                     at the beginning of
                                                     this proposed
                                                     requirement. The
                                                     phrase ``weaknesses
                                                     or abnormalities''
                                                     would be replaced
                                                     with ``conditions''
                                                     to specify that all
                                                     physical attributes
                                                     affecting
                                                     performance should
                                                     be considered.

[[Page 62808]]

 
Appendix B, Paragraph         B.2.a.(2) Armed and   This physical
 I.B.1.b. In addition to a.    unarmed members of    examination
 above, guards, armed          the security          requirement would
 response personnel, armed     organization shall    be retained.
 escorts, and central alarm    be subject to a       Proposed revisions
 station operators shall       physical              would combine two
 successfully pass a           examination           current
 physical examination          designed to measure   requirements,
 administered by a licensed    the individual's      reflect current
 physician. The examination    physical ability to   language usage, and
 shall be designed to          perform assigned      describe the
 measure the individual's      duties and            requirement for
 physical ability to perform   responsibilities as   measuring the
 assigned security job         identified in the     individual's
 duties as identified in the   Commission-approved   physical ability to
 licensee physical security    security plans,       assure they can
 and contingency plans.        licensee protective   perform assigned
                               strategy, and         duties.
                               implementing
                               procedures.
Appendix B, Paragraph         B.2.a.(3) This        This physical
 I.B.1.b. In addition to a.    physical              examination
 above, guards, armed          examination must be   requirement would
 response personnel, armed     administered by a     be retained.
 escorts, and central alarm    licensed health       Proposed revisions
 station operators shall       professional with     would describe the
 successfully pass a           final determination   minimum
 physical examination          being made by a       qualifications of
 administered by a licensed    licensed physician    the individual
 physician.                    to verify the         administering the
                               individual's          physical
                               physical capability   examination and
                               to perform assigned   separate the
                               duties and            professional
                               responsibilities.     qualifications that
                                                     must be met by the
                                                     individual(s)
                                                     administering the
                                                     physical
                                                     examination and the
                                                     person making the
                                                     determination of
                                                     the individual's
                                                     physical capability
                                                     to perform assigned
                                                     duties.
Appendix B, Paragraph         B.2.a.(4) The         The physical
 I.B.1.b. Armed personnel      licensee shall        requirements
 shall meet the following      ensure that both      requirement would
 additional physical           armed and unarmed     be retained.
 requirements:                 members of the        Proposed revisions
                               security              due to changes to
                               organization who      the threat
                               are assigned          environment would
                               security duties and   describe the
                               responsibilities      minimum physical
                               identified in the     requirements for
                               Commission-approved   both armed and
                               security plans, the   unarmed security
                               licensee protective   personnel.
                               strategy, and         Inclusion of
                               implementing          unarmed personnel
                               procedures, meet      would be necessary
                               the following         to account for
                               minimum physical      those instances
                               requirements, as      where the two types
                               required to           of security
                               effectively perform   personnel share
                               their assigned        similar duties and
                               duties.               responsibilities
                                                     required to
                                                     implement the
                                                     approved plans and
                                                     procedures. The
                                                     requirement would
                                                     not apply to
                                                     administrative
                                                     security staff,
                                                     such as clerks or
                                                     secretaries, for
                                                     the performance of
                                                     their assigned
                                                     administrative
                                                     duties and
                                                     responsibilities.
                                                     However, should
                                                     such personnel, or
                                                     other non-security
                                                     personnel be
                                                     assigned to perform
                                                     security functions
                                                     required to
                                                     implement the
                                                     Commission-approved
                                                     security plans and
                                                     implementing
                                                     procedures, these
                                                     personnel must be
                                                     trained and
                                                     qualified to
                                                     perform these
                                                     duties and possess
                                                     appropriate vision,
                                                     hearing, and
                                                     physical
                                                     capabilities that
                                                     are required to
                                                     effectively perform
                                                     the assigned duties
                                                     or
                                                     responsibilities.
Appendix B, Paragraph         B.2.b. Vision:        This header would be
 I.B.1.b.(1) Vision:                                 retained.
Appendix B, Paragraph         B.2.b.(1) For each    This requirement
 I.B.1.b.(1)(a) For each       individual, distant   would be retained.
 individual, distant visual    visual acuity in
 acuity in each eye shall be   each eye shall be
 correctable to 20/30          correctable to 20/
 (Snellen or equivalent) in    30 (Snellen or
 the better eye and 20/40 in   equivalent) in the
 the other eye with            better eye and 20/
 eyeglasses or contact         40 in the other eye
 lenses.                       with eyeglasses or
                               contact lenses.
Appendix B, Paragraph         B.2.b.(2) Near        This requirement
 I.B.1.b.(1)(a) Near visual    visual acuity,        would be retained.
 acuity, corrected or          corrected or
 uncorrected, shall be at      uncorrected, shall
 least 20/40 in the better     be at least 20/40
 eye.                          in the better eye.
Appendix B, Paragraph         B.2.b.(3) Field of    This requirement
 I.B.1.b.(1)(a) Field of       vision must be at     would be retained.
 vision must be at least 70    least 70 degrees
 degrees horizontal meridian   horizontal meridian
 in each eye.                  in each eye.
Appendix B, Paragraph         B.2.b.(4) The         This requirement
 I.B.1.b.(1)(a) The ability    ability to            would be retained.
 to distinguish red, green,    distinguish red,
 and yellow colors is          green, and yellow
 required.                     colors is required.
Appendix B, Paragraph         B.2.b.(5) Loss of     This requirement
 I.B.1.b.(1)(a) Loss of        vision in one eye     would be retained.
 vision in one eye is          is disqualifying.
 disqualifying.

[[Page 62809]]

 
Appendix B, Paragraph         B.2.b.(6) Glaucoma    This requirement
 I.B.1.b.(1)(a) Glaucoma       is disqualifying,     would be retained.
 shall be disqualifying,       unless controlled
 unless controlled by          by acceptable
 acceptable medical or         medical or surgical
 surgical means, provided      means, provided
 such medications as may be    that medications
 used for controlling          used for
 glaucoma do not cause         controlling
 undesirable side effects      glaucoma do not
 which adversely affect the    cause undesirable
 individual's ability to       side effects which
 perform assigned security     adversely affect
 job duties, and provided      the individual's
 the visual acuity and field   ability to perform
 of vision requirements        assigned security
 stated above are met.         job duties, and
                               provided the visual
                               acuity and field of
                               vision requirements
                               stated previously
                               are met.
Appendix B, Paragraph         B.2.b.(7) On-the-job  This requirement
 I.B.1.b.(1)(a) On-the-job     evaluation must be    would be retained.
 evaluation shall be used      used for
 for individuals who exhibit   individuals who
 a mild color vision defect.   exhibit a mild
                               color vision defect.
Appendix B, Paragraph         B.2.b.(8) If          The vision
 I.B.1.b.(1)(a) If             uncorrected           requirements in
 uncorrected distance vision   distance vision is    Paragraphs
 is not at least 20/40 in      not at least 20/40    I.B.1.b.(1)(a) and
 the better eye, the           in the better eye,    I.B.1.b.(1)(b)
 individual shall carry an     the individual        would be retained
 extra pair of corrective      shall carry an        and combined. The
 lenses.                       extra pair of         phrase ``in the
Appendix B, Paragraph          corrective lenses     event that the
 I.B.1.b.(1)(b) Where          in the event that     primaries are
 corrective eyeglasses are     the primaries are     damaged'' would be
 required, they shall be of    damaged. Corrective   added to ensure
 the safety glass type.        eyeglasses must be    that the individual
                               of the safety glass   would continue to
                               type.                 meet minimum vision
                                                     requirements should
                                                     one pair be damaged
                                                     and not usable. The
                                                     phrase ``carry an
                                                     extra pair of
                                                     corrective lenses''
                                                     would include any
                                                     future
                                                     technological
                                                     advancements in
                                                     vision correction
                                                     and would include
                                                     glasses and/or
                                                     contact lenses, or
                                                     other materials by
                                                     any name whose
                                                     purpose would be to
                                                     correct an
                                                     individual's
                                                     vision.
Appendix B, Paragraph         B.2.b.(9) The use of  This requirement
 I.B.1.b.(1)(c) The use of     corrective            would be retained.
 corrective eyeglasses or      eyeglasses or
 contact lenses shall not      contact lenses may
 interfere with an             not interfere with
 individual's ability to       an individual's
 effectively perform           ability to
 assigned security job         effectively perform
 duties during normal or       assigned duties and
 emergency operations.         responsibilities
                               during normal or
                               emergency
                               conditions.
Appendix B, Paragraph         B.2.c. Hearing:       This header would be
 I.B.1.b.(2) Hearing:                                retained.
Appendix B, Paragraph         B.2.c.(1)             The requirement
 I.B.b.(2)(a) Individuals      Individuals may not   concerning hearing
 shall have no hearing loss    have hearing loss     loss would be
 in the better ear greater     in the better ear     retained.
 than 30 decibels average at   greater than 30       Referenced
 500 Hz, 1,000 Hz, and 2,000   decibels average at   standards would be
 Hz with no level greater      500 Hz, 1,000 Hz,     deleted. The NRC
 that 40 decibels at any one   and 2,000 Hz with     staff has
 frequency (by ISO 389         no level greater      determined that
 ``Standard Reference Zero     that 40 decibels at   reference to
 for the Calibration of        any one frequency.    specific
 Puritone Audiometer''                               calibration
 (1975) or ANSI S3.6-1969 R.                         standards would no
 1973) ``Specifications for                          longer be necessary
 Audiometers''). ISO 389 and                         and that it would
 ANSI S3.6-1969 have been                            not be appropriate
 approved for incorporation                          to require these
 by reference by the                                 standards by this
 Director of the Federal                             proposed rule
 Register.                                           because such
                                                     standards may
                                                     become outdated and
                                                     obsolete, and
                                                     equipment may
                                                     change due to
                                                     technological
                                                     advancements, which
                                                     would require
                                                     future rule changes
                                                     to update the
                                                     referenced
                                                     documents. The
                                                     expectation would
                                                     be that a licensed
                                                     professional will
                                                     perform this
                                                     examination using
                                                     professionally
                                                     accepted standards
                                                     to include
                                                     calibration
                                                     standards for
                                                     equipment used.
Appendix B, Paragraph         B.2.c.(2) A hearing   This requirement
 I.B.1.b.(2)(b) A hearing      aid is acceptable     would be retained.
 aid is acceptable provided    provided suitable
 suitable testing procedures   testing procedures
 demonstrate auditory acuity   demonstrate
 equivalent to the above       auditory acuity
 stated requirement.           equivalent to the
                               hearing requirement.
Appendix B, Paragraph         B.2.c.(3) The use of  This requirement
 I.B.1.b.(2)(c) The use of a   a hearing aid may     would be retained.
 hearing aid shall not         not decrease the
 decrease the effective        effective
 performance of the            performance of the
 individual's assigned         individual's
 security job duties during    assigned security
 normal or emergency           job duties during
 operations.                   normal or emergency
                               operations.
Appendix B, Paragraph         B.2.d. Existing       This requirement
 I.B.1.b.(3) Diseases--        medical conditions.   would be revised to
                                                     require that the
                                                     licensee consider
                                                     all existing
                                                     medical conditions
                                                     that would
                                                     adversely effect
                                                     performance and not
                                                     limit consideration
                                                     to only pre-
                                                     existing conditions
                                                     or ``diseases.''

[[Page 62810]]

 
Appendix B, Paragraph         B.2.d.(1)             The requirement
 I.B.1.b.(3) * * *             Individuals may not   concerning medical
 Individuals shall have no     have an established   history would be
 established medical history   medical history or    retained. Proposed
 or medical diagnosis of       medical diagnosis     revisions would
 epilepsy or diabetes, or,     of existing medical   require that the
 where such a condition        conditions which      licensee consider
 exists * * *.                 could interfere       any existing
                               with or prevent the   medical conditions
                               individual from       and not limit this
                               effectively           consideration to
                               performing assigned   only specified
                               duties and            conditions. The
                               responsibilities.     phrase ``epilepsy
                                                     or diabetes, or,
                                                     where such a
                                                     condition exists''
                                                     would be replaced
                                                     with the phrase
                                                     ``existing medical
                                                     conditions which
                                                     could interfere
                                                     with or prevent the
                                                     individual from
                                                     effectively
                                                     performing assigned
                                                     duties and
                                                     responsibilities''
                                                     to state the
                                                     requirement that
                                                     the licensee must
                                                     consider all
                                                     medical conditions
                                                     that could
                                                     adversely affect
                                                     performance.
Appendix B, Paragraph         B.2.d.(2) If a        This requirement to
 I.B.1.b.(3) * * * the         medical condition     provide medical
 individual shall provide      exists, the           evidence that a
 medical evidence that the     individual shall      condition can be
 condition can be controlled   provide medical       controlled would be
 with proper medication so     evidence that the     retained. The
 that the individual will      condition can be      phrase ``proper
 not lapse into a coma or      controlled with       medication'' is
 unconscious state while       medical treatment     replaced with the
 performing assigned           in a manner which     phrase ``medical
 security job duties.          does not adversely    treatment'' to
                               affect the            account for
                               individual's          conditions that may
                               fitness-for-duty,     be treated without
                               mental alertness,     medication and
                               physical condition,   future changes in
                               or capability to      medicine. The
                               otherwise             phrase ``so that
                               effectively perform   the individual will
                               assigned duties and   not lapse into a
                               responsibilities.     coma or unconscious
                                                     state while'' would
                                                     be replaced with
                                                     the phrase ``in a
                                                     manner which does
                                                     not adversely
                                                     affect the
                                                     individual's
                                                     fitness-for-duty,
                                                     mental alertness,
                                                     physical condition,
                                                     or capability to
                                                     otherwise
                                                     effectively'' to
                                                     describe the
                                                     requirement that
                                                     the ability to
                                                     perform duties
                                                     would be the
                                                     criteria and not be
                                                     limited to the
                                                     current specific
                                                     conditions of coma
                                                     or unconscious
                                                     state. The phrase
                                                     ``job duties''
                                                     would be replaced
                                                     with the phrase
                                                     ``duties and
                                                     responsibilities''
                                                     to reflect plain
                                                     language
                                                     requirements.
Appendix B, Paragraph         B.2.e. Addiction.     This requirement
 I.B.1.b.(4) Addiction--       Individuals may not   regarding addiction
 Individuals shall have no     have any              would be retained.
 established medical history   established medical   The word
 or medical diagnosis of       history or medical    ``effectively''
 habitual alcoholism or drug   diagnosis of          would be added to
 addiction, or, where such a   habitual alcoholism   describe the
 condition has existed, the    or drug addiction,    requirement that
 individual shall provide      or, where this type   the individual must
 certified documentation of    of condition has      be able to carry
 having completed a            existed, the          out tasks in a
 rehabilitation program        individual shall      manner that would
 which would give a            provide certified     provide the
 reasonable degree of          documentation of      necessary results.
 confidence that the           having completed a    The phrase ``job
 individual would be capable   rehabilitation        duties'' would be
 of performing assigned        program which would   replaced with the
 security job duties.          give a reasonable     phrase ``duties and
                               degree of             responsibilities''
                               confidence that the   to satisfy plain
                               individual would be   language
                               capable of            requirements.
                               effectively
                               performing assigned
                               duties and
                               responsibilities.
Appendix B, Paragraph         B.2.f. Other          This requirement to
 I.B.1.b.(5) Other physical    physical              provide medical
 requirements--An individual   requirements. An      evidence of
 who has been incapacitated    individual who has    recovery from an
 due to a serious illness,     been incapacitated    incapacitation
 injury, disease, or           due to a serious      would be retained.
 operation, which could        illness, injury,      The phrase ``job
 interfere with the            disease, or           duties'' would be
 effective performance of      operation, which      replaced with the
 assigned security job         could interfere       phrase ``duties and
 duties shall, prior to        with the effective    responsibilities''
 resumption of such duties,    performance of        for consistency
 provide medical evidence of   assigned duties and   with other proposed
 recovery and ability to       responsibilities      rule and plain
 perform such security job     shall, before         language
 duties.                       resumption of         requirements.
                               assigned duties and
                               responsibilities,
                               provide medical
                               evidence of
                               recovery and
                               ability to perform
                               these duties and
                               responsibilities.
Appendix B, Paragraph I.B.2.  B.3. Psychological    This mental
 Mental qualifications:        qualifications:       qualifications
                                                     requirement would
                                                     be retained. The
                                                     word ``mental''
                                                     would be replaced
                                                     by the word
                                                     ``psychological''
                                                     to be consistent
                                                     with other proposed
                                                     changes and plain
                                                     language
                                                     requirements.

[[Page 62811]]

 
Appendix B, Paragraph         B.3.a. Armed and      This requirement to
 I.B.2.a. Individuals whose    unarmed members of    demonstrate good
 security tasks and job        the security          judgement, ability
 duties are directly           organization shall    to implement
 associated with the           demonstrate the       instructions/tasks,
 effective implementation of   ability to apply      and to communicate
 the licensee physical         good judgment,        would be retained.
 security and contingency      mental alertness,     The phrase
 plans shall demonstrate       the capability to     ``Individuals whose
 mental alertness and the      implement             security tasks and
 capability to exercise good   instructions and      job duties are
 judgment, implement           assigned tasks, and   directly associated
 instructions, assimilate      possess the acuity    with the effective
 assigned security tasks,      of senses and         implementation of
 and possess the acuity of     ability of            the licensee
 senses and ability of         expression            physical security
 expression sufficient to      sufficient to         and contingency
 permit accurate               permit accurate       plans'' would be
 communication by written,     communication by      replaced with the
 spoken, audible, visible,     written, spoken,      phrase ``Armed and
 or other signals required     audible, visible,     unarmed members of
 by assigned job duties.       or other signals      the security
                               required by           organization'' to
                               assigned duties and   describe the
                               responsibilities.     requirement that
                                                     these mental
                                                     requirements are
                                                     minimum standards
                                                     that must apply to
                                                     both armed and
                                                     unarmed security
                                                     personnel because
                                                     they share similar
                                                     duties and
                                                     responsibilities
                                                     for the physical
                                                     protection of the
                                                     site.
Appendix B, Paragraph         B.3.b. A licensed     The requirement
 I.B.2.b. Armed individuals,   clinical              regarding emotional
 and central alarm station     psychologist,         instability would
 operators, in addition to     psychiatrist, or      be retained. The
 meeting the requirement       physician trained     phrase ``Armed
 stated in Paragraph a.        in part to identify   individuals, and
 above, shall have no          emotional             central alarm
 emotional instability that    instability shall     station operators''
 would interfere with the      determine whether     would be replaced
 effective performance of      armed members of      with the phrase
 assigned security job         the security          ``armed members of
 duties. The determination     organization and      the security
 shall be made by a licensed   alarm station         organization and
 psychologist or               operators in          alarm station
 psychiatrist, or physician,   addition to meeting   operators'' to
 or other person               the requirement       refer to both alarm
 professionally trained to     stated in Paragraph   station operators,
 identify emotional            a. of this section,   and for consistency
 instability.                  have no emotional     with the
                               instability that      terminology used in
                               would interfere       the proposed rule.
                               with the effective
                               performance of
                               assigned duties and
                               responsibilities.
Appendix B, Paragraph         B.3.c. A person       Section B.3.c. would
 I.B.2.b. Armed individuals,   professionally        be added to
 and central alarm station     trained to identify   describe that these
 operators, in addition to     emotional             emotional
 meeting the requirement       instability shall     instability
 stated in Paragraph a.        determine whether     requirements are
 above, shall have no          unarmed members of    minimum standards
 emotional instability that    the security          that must apply to
 would interfere with the      organization in       armed and unarmed
 effective performance of      addition to meeting   security personnel
 assigned security job         the requirement       because they share
 duties. The determination     stated in Paragraph   similar duties and
 shall be made by a licensed   a. of this section,   responsibilities
 psychologist or               have no emotional     for the physical
 psychiatrist, or physician,   instability that      protection of the
 or other person               would interfere       site.
 professionally trained to     with the effective
 identify emotional            performance of
 instability.                  assigned duties and
                               responsibilities.
Appendix B, Paragraph I.C.    B.4. Medical          This header would be
 Medical examinations and      examinations and      retained.
 physical fitness              physical fitness
 qualifications.               qualifications.
Appendix B, Paragraph I.C.    B.4.a. Armed members  This medical
 Guards, armed response        of the security       examination
 personnel, armed escorts      organization shall    requirement would
 and other armed security      be subject to a       be retained.
 force members shall be        medical examination   Current
 given a medical examination   by a licensed         requirements for an
 including a determination     physician, to         examination and
 and written certification     determine the         certification would
 by a licensed physician       individual's          be reformatted to
 that there are no medical     fitness to            separate the two
 contraindications as          participate in        requirements in
 disclosed by the medical      physical fitness      order to specify
 examination to                tests.                the requirements
 participation by the                                for medical
 individual in physical                              examinations and
 fitness tests.                                      certifications.
Appendix B, Paragraph I.C.    B.4.a. The licensee   This requirement for
 Guards, armed response        shall obtain and      written
 personnel, armed escorts      retain a written      certification would
 and other armed security      certification from    be retained.
 force members shall be        the licensed          Current
 given a medical examination   physician that no     requirements for an
 including a determination     medical conditions    examination and
 and written certification     were disclosed by     certification would
 by a licensed physician       the medical           be reformatted to
 that there are no medical     examination that      separate the two
 contraindications as          would preclude the    requirements in
 disclosed by the medical      individual's          order to specify
 examination to                ability to            the requirements
 participation by the          participate in the    for medical
 individual in physical        physical fitness      examinations and
 fitness tests.                tests or meet the     certifications. The
                               physical fitness      licensee must
                               attributes or         obtain and retain a
                               objectives            written
                               associated with       certification from
                               assigned duties.      the licensed
                                                     physician who
                                                     performed the
                                                     examination, which
                                                     clearly states that
                                                     the individual has
                                                     no medical
                                                     condition that
                                                     would cause the
                                                     licensee to doubt
                                                     the individual's
                                                     ability to perform
                                                     the physical
                                                     requirements of the
                                                     fitness test and
                                                     therefore, could
                                                     not effectively
                                                     perform assigned
                                                     duties. The phrase
                                                     ``associated with
                                                     assigned duties''
                                                     would be added to
                                                     require that the
                                                     test simulates the
                                                     conditions under
                                                     which the assigned
                                                     duties and
                                                     responsibilities
                                                     are required to be
                                                     performed.

[[Page 62812]]

 
Appendix B, Paragraph I.C.    B.4.b. Before         This medical
 Subsequent to this medical    assignment, armed     examination and
 examination, guards, armed    members of the        physical fitness
 response personnel, armed     security              requirement would
 escorts and other armed       organization shall    be retained. The
 security force members        demonstrate           phrase ``guards,
 shall demonstrate physical    physical fitness      armed response
 fitness for assigned          for assigned duties   personnel, armed
 security job duties by        and                   escorts and other
 performing a practical        responsibilities by   armed security
 physical exercise program     performing a          force members''
 within a specific time        practical physical    would be replaced
 period.                       fitness test.         with the phrase
                                                     ``armed members of
                                                     the security
                                                     organization'' for
                                                     consistency with
                                                     terminology used in
                                                     the proposed rule.
                                                     The phrase
                                                     ``security job
                                                     duties'' would be
                                                     replaced with the
                                                     phrase ``assigned
                                                     duties and
                                                     responsibilities''
                                                     for consistency
                                                     with terminology
                                                     used in the
                                                     proposed rule. The
                                                     phrase ``exercise
                                                     program'' would be
                                                     replaced with the
                                                     phrase ``practical
                                                     physical fitness
                                                     test'' for
                                                     consistency with
                                                     terminology used in
                                                     the proposed rule.
                                                     The term
                                                     ``practical'' would
                                                     mean that the test
                                                     must be
                                                     representative of
                                                     the physical
                                                     requirements of
                                                     duties and
                                                     responsibilities
                                                     assigned to armed
                                                     members of the
                                                     security
                                                     organization. The
                                                     phrase ``specific
                                                     time period'' would
                                                     be deleted because
                                                     specific time
                                                     periods are
                                                     delineated in
                                                     Commission-approved
                                                     security plans.
Appendix B, Paragraph I.C.    B.4.b.(1) The         This requirement
 The exercise program          physical fitness      related to physical
 performance objectives        test must consider    conditions would be
 shall be described in the     physical conditions   retained. The
 license training and          such as strenuous     phrase ``and shall
 qualifications plan and       activity, physical    consider job-
 shall consider job-related    exertion, levels of   related functions
 functions such as strenuous   stress, and           such as strenuous
 activity, physical            exposure to the       activity, physical
 exertion, levels of stress,   elements as they      exertion, levels of
 and exposure to the           pertain to each       stress, and
 elements as they pertain to   individual's          exposure to the
 each individual's assigned    assigned security     elements as they
 security job duties for       job duties for both   pertain to each
 both normal and emergency     normal and            individual's
 operations.                   emergency             assigned security
                               operations and must   job duties for both
                               simulate site         normal and
                               specific conditions   emergency
                               under which the       operations'' is
                               individual will be    replaced with the
                               required to perform   phrase ``The
                               assigned duties and   physical fitness
                               responsibilities.     test must consider
                                                     physical conditions
                                                     such as strenuous
                                                     activity, physical
                                                     exertion, levels of
                                                     stress, and
                                                     exposure to the
                                                     elements as they
                                                     pertain to each
                                                     individual's
                                                     assigned security
                                                     job duties for both
                                                     normal and
                                                     emergency
                                                     operations'' for
                                                     consistency with
                                                     the terminology
                                                     used by the
                                                     proposed rule. The
                                                     phrase ``and shall
                                                     simulate site
                                                     specific conditions
                                                     under which the
                                                     individual will be
                                                     required to perform
                                                     assigned duties and
                                                     responsibilities''
                                                     would be added to
                                                     specify that site
                                                     specific conditions
                                                     such as facility
                                                     construction and
                                                     layout, weather,
                                                     terrain, elements,
                                                     should be simulated
                                                     to the extent
                                                     reasonably
                                                     practical.
Appendix B, Paragraph I.C.    B.4.b.(2) The         This approved plan
 The exercise program          licensee shall        requirement would
 performance objectives        describe the          be retained and
 shall be described in the     physical fitness      separated to
 license training and          test in the           address this
 qualifications plan * * *.    Commission-approved   requirement
                               training and          individually. The
                               qualification plan.   phrase ``The
                                                     exercise program
                                                     performance
                                                     objectives shall be
                                                     described in the
                                                     license training
                                                     and qualifications
                                                     plan'' would be
                                                     replaced with the
                                                     phrase ``The
                                                     licensee shall
                                                     describe the
                                                     physical fitness
                                                     test in the
                                                     Commission-approved
                                                     training and
                                                     qualification
                                                     plan'' to reflect
                                                     plain language
                                                     requirements.
Appendix B, Paragraph I.C. *  B.4.d.(3) The         This requirement
 * * shall consider job-       physical fitness      would be based on
 related functions such as     test must include     the current
 strenuous activity,           physical attributes   appendix B,
 physical exertion, levels     and performance       Paragraph I.C. and
 of stress, and exposure to    objectives which      would require that
 the elements as they          demonstrate the       the licensee
 pertain to each               strength,             include, as part of
 individual's assigned         endurance, and        the physical
 security job duties for       agility, consistent   fitness test,
 both normal and emergency     with assigned         performance
 operations.                   duties in the         objectives that are
                               Commission-approved   designed to
                               security plans,       demonstrate the
                               licensee protective   ability of each
                               strategy, and         individual to meet
                               implementing          the physical
                               procedures during     attributes required
                               normal and            of assigned duties
                               emergency             and
                               conditions.           responsibilities.

[[Page 62813]]

 
Appendix B, Paragraph I.C.    B.4.b(4) The          This documentation
 The physical fitness          physical fitness      and attesting
 qualification of each         qualification of      requirement would
 guard, armed response         each armed member     be retained. This
 person, armed escort, and     of the security       requirement would
 other security force member   organization must     be intended to
 shall be documented and       be documented by a    include adequate
 attested to by a licensee     qualified training    oversight and
 security supervisor.          instructor and        verification of
                               attested to by a      qualification while
                               security supervisor.  providing
                                                     flexibility to the
                                                     licensee to
                                                     determine how to
                                                     best use management
                                                     resources. The
                                                     phrase ``by a
                                                     qualified training
                                                     instructor'' would
                                                     be added to specify
                                                     the training
                                                     instructor observes
                                                     and documents that
                                                     the qualification
                                                     criteria are met
                                                     while the security
                                                     supervisor attests
                                                     to the fact that
                                                     the required
                                                     training for each
                                                     individual was
                                                     administered by a
                                                     qualified
                                                     instructor and
                                                     documentation was
                                                     obtained and
                                                     properly completed.
                                                     The word
                                                     ``licensee'' would
                                                     be deleted because
                                                     the proposed rule
                                                     would permit a
                                                     contract security
                                                     supervisor to
                                                     attest to an
                                                     individual's
                                                     qualification. The
                                                     phrase ``guard,
                                                     armed response
                                                     person, armed
                                                     escort, and other
                                                     security force
                                                     member'' would be
                                                     replaced with the
                                                     phrase ``each armed
                                                     member of the
                                                     security
                                                     organization'' for
                                                     consistency with
                                                     the terminology
                                                     used in the
                                                     proposed rule.
Appendix B, Paragraph I.E.    B.5. Physical         This header would be
 Physical requalification--    requalification.      retained.
Appendix B, Paragraph I.E.    B.5.a. At least       This requirement to
 At least every 12 months,     annually, armed and   demonstrate the
 central alarm station         unarmed members of    capability to meet
 operators shall be required   the security          the physical
 to meet the physical          organization shall    requirements would
 requirements of B.1.b of      be required to        be retained. The
 this section, and guards,     demonstrate the       phrase ``every 12
 armed response personnel,     capability to meet    months'' would be
 and armed escorts shall be    the physical          replaced with the
 required to meet the          requirements of       word ``annually''
 physical requirements of      this appendix and     to specify that
 Paragraphs B.1.b (1) and      the licensee          annual requirements
 (2), and C of this section.   training and          must be scheduled
                               qualification plan.   at a nominal 12
                                                     month periodicity
                                                     but may be
                                                     conducted up to
                                                     three (3) months
                                                     prior to three (3)
                                                     months after the
                                                     scheduled date with
                                                     the next scheduled
                                                     date 12 months from
                                                     the originally
                                                     scheduled date.
                                                     This requirement
                                                     would be intended
                                                     to provide
                                                     flexibility to the
                                                     licensee to account
                                                     for those instances
                                                     when site specific
                                                     conditions, such as
                                                     outages, preclude
                                                     conducting
                                                     requalification at
                                                     the scheduled
                                                     dates, while
                                                     ensuring that the
                                                     intent of the
                                                     requirement would
                                                     be still met
                                                     without requiring
                                                     the next scheduled
                                                     date to be changed
                                                     to correspond with
                                                     the month in which
                                                     the requalification
                                                     is performed.
Appendix B, Paragraph I.E.    B.5.b. The physical   This documentation
 The physical fitness          requalification of    and attesting
 qualification of each         each armed and        requirement would
 guard, armed response         unarmed member of     be retained. This
 person, armed escort, and     the security          requirement would
 other security force member   organization must     be intended to
 shall be documented and       be documented by a    include adequate
 attested to by a licensee     qualified training    oversight and
 security supervisor.          instructor and        verification of
                               attested to by a      qualification while
                               security supervisor.  providing
                                                     flexibility to the
                                                     licensee to
                                                     determine how to
                                                     best use management
                                                     resources. The
                                                     phrase ``by a
                                                     qualified training
                                                     instructor'' would
                                                     be added to specify
                                                     the training
                                                     instructor observes
                                                     and documents that
                                                     the qualification
                                                     criteria is met
                                                     while the security
                                                     supervisor attests
                                                     to the fact that
                                                     the required
                                                     documentation is
                                                     retained and
                                                     properly completed.
                                                     The phrase ``guard,
                                                     armed response
                                                     person, armed
                                                     escort, and other
                                                     security force
                                                     member'' would be
                                                     replaced with the
                                                     phrase ``each armed
                                                     and unarmed member
                                                     of the security
                                                     organization'' for
                                                     consistency with
                                                     the terminology
                                                     used in the
                                                     proposed rule. The
                                                     word ``licensee''
                                                     would be deleted
                                                     because the
                                                     proposed rule would
                                                     permit a contract
                                                     security supervisor
                                                     attest to an
                                                     individual's
                                                     qualification.

[[Page 62814]]

 
II. Training and              C. Duty training....  This new header
 qualifications.                                     would be added to
                                                     provide a section
                                                     under which the
                                                     current and
                                                     proposed non-
                                                     weapons-related
                                                     training
                                                     requirements may be
                                                     grouped.
Appendix B, Paragraph II.A.   C.1. Duty training    This training
 Training requirements. Each   and qualification     requirement would
 individual who requires       requirements. All     be retained and
 training to perform           personnel who are     revised to combine
 assigned security-related     assigned to perform   the two current
 job tasks or job duties as    any security-         requirements of
 identified in the licensee    related duty or       appendix B,
 physical security or          responsibility,       Paragraph II.A. and
 contingency plans shall,      shall be trained      II.B. This
 prior to assignment, be       and qualified to      requirement would
 trained to perform these      perform assigned      account for those
 tasks and duties in           duties and            instances where the
 accordance with the           responsibilities to   licensee may use,
 licensee or the licensee's    ensure that each      in addition to
 agent's documented training   individual            members of the
 and qualifications plan.      possesses the         security
Appendix B, Paragraph II.B..   minimum knowledge,    organization, site
Qualification requirement.     skills, and           personnel from
 Each person who performs      abilities required    outside of the
 security-related job tasks    to effectively        security
 or job duties required to     carry out those       organization to
 implement the licensee        assigned duties and   perform security
 physical security or          responsibilities.     related duties,
 contingency plan shall,                             such as, but not
 prior to being assigned to                          limited to,
 these tasks or duties, be                           escorts, tampering,
 qualified in accordance                             detection, and
 with the licensee's NRC-                            compensatory
 approved training and                               measures. The
 qualifications plan.                                Commission views
                                                     are that security
                                                     personnel must
                                                     obtain the
                                                     requisite
                                                     knowledge, skills,
                                                     and abilities of
                                                     all security-
                                                     related duties
                                                     prior to
                                                     unsupervised
                                                     assignment.
Appendix B, Paragraph II.D.   C.1.a. The areas of   This requirement
 The areas of knowledge,       knowledge, skills,    would be retained
 skills, and abilities that    and abilities that    and revised to
 shall be considered in the    are required to       replace the current
 licensee's training and       perform assigned      list of 100 topic
 qualifications plan are as    duties and            areas with a
 follows:                      responsibilities      requirement for the
[NOTE: The list of 100         must be identified    licensee to provide
 specific training subjects    in the licensee's     a site specific
 is omitted here for           Commission-approved   list in the
 conservation of space.].      training and          approved security
                               qualification plan.   plans and specify
                                                     assigned duties in
                                                     the training and
                                                     qualification plan.
                                                     The Commission has
                                                     determined that the
                                                     current list would
                                                     no longer be
                                                     necessary to ensure
                                                     that the listed
                                                     topic areas are
                                                     addressed by each
                                                     licensee. In
                                                     accordance with
                                                     this proposed
                                                     appendix, all
                                                     licensees are
                                                     required to ensure
                                                     that all personnel
                                                     are trained and
                                                     qualified to
                                                     perform their
                                                     assigned duties and
                                                     responsibilities.
                                                     Those requirements
                                                     would encompass
                                                     topics that are
                                                     currently listed,
                                                     making it
                                                     unnecessary to
                                                     specifically list
                                                     the 100 areas of
                                                     knowledge, skills,
                                                     and abilities.
Appendix B, Paragraph II.A.   C.1.b. Each           This training
 Each individual who           individual who is     requirement would
 requires training to          assigned duties and   be retained. The
 perform assigned security-    responsibilities      requirement would
 related job tasks or job      identified in the     specify training of
 duties as identified in the   Commission-approved   all individuals
 licensee physical security    security plans,       assigned to perform
 or contingency plans shall,   licensee protective   security functions
 prior to assignment, be       strategy, and         required to
 trained to perform these      implementing          implement the
 tasks and duties in           procedures shall,     Commission-approved
 accordance with the           before assignment,:   security plans,
 licensee or the licensee's    (1) be trained to     licensee response
 agent's documented training   perform assigned      strategy, and
 and qualifications plan.      duties and            implementing
                               responsibilities in   procedures. The
                               accordance with the   phrase ``requires
                               requirements of       training to perform
                               this appendix and     assigned security-
                               the Commission-       related job tasks
                               approved training     or job duties as''
                               and qualification     would be replaced
                               plan.                 with the phrase
                                                     ``is assigned
                                                     duties and
                                                     responsibilities''
                                                     to reflect changes
                                                     to terminology
                                                     used. The phrase
                                                     ``in the licensee
                                                     physical security
                                                     or contingency''
                                                     would be replaced
                                                     with the phrase
                                                     ``Commission-
                                                     approved security
                                                     plans, licensee
                                                     protective
                                                     strategy, and
                                                     implementing
                                                     procedures'' to
                                                     reflect changes to
                                                     terminology used.
                                                     The phrase ``these
                                                     tasks and duties''
                                                     would be replaced
                                                     with the phrase
                                                     ``assigned duties
                                                     and
                                                     responsibilities''
                                                     to reflect changes
                                                     to terminology
                                                     used. The phrase
                                                     ``licensee or the
                                                     licensee's agent's
                                                     documented training
                                                     and qualifications
                                                     plan'' would be
                                                     replaced with the
                                                     phrase
                                                     ``requirements of
                                                     this appendix and
                                                     the Commission-
                                                     approved training
                                                     and qualification
                                                     plan'' to reflect
                                                     changes to
                                                     terminology used.

[[Page 62815]]

 
Appendix B, Paragraph II.B.   C.1.b. (2) meet the   This qualification
 Each person who performs      minimum               requirement would
 security-related job tasks    qualification         be retained. The
 or job duties required to     requirements of       requirement would
 implement the licensee        this appendix and     specify the
 physical security or          the Commission-       qualification
 contingency plan shall,       approved training     standard for all
 prior to being assigned to    and qualification     individuals
 these tasks or duties, be     plan.                 assigned to perform
 qualified in accordance                             security functions
 with the licensee's NRC-                            required to
 approved training and                               implement the
 qualifications plan.                                Commission-approved
                                                     security plans,
                                                     licensee response
                                                     strategy, and
                                                     implementing
                                                     procedures. The
                                                     phrase ``be
                                                     qualified in
                                                     accordance with''
                                                     would be replaced
                                                     with the phrase
                                                     ``meet the minimum
                                                     qualification
                                                     requirements of
                                                     this appendix and''
                                                     to specify that the
                                                     approved T&Q plan
                                                     implements the
                                                     requirements of
                                                     this proposed rule.
                                                     The phrase
                                                     ``licensee's NRC-
                                                     approved'' would be
                                                     replaced with the
                                                     phrase ``Commission
                                                     approved'' to
                                                     reflect changes to
                                                     terminology used.
Appendix B, Paragraph II.A.   C.1.b. (3) be         This requirement
 Training Requirements--Each   trained and           would be based on
 individual who requires       qualified in the      the current
 training to perform           use of all            appendix B,
 assigned security-related     equipment or          Paragraph II.A. and
 job tasks or job duties as    devices required to   specify the
 identified in the licensee    effectively perform   requirement for
 physical security or          all assigned duties   training in the use
 contingency plans shall,      and                   of equipment
 prior to assignment, be       responsibilities.     required to
 trained to perform these                            effectively perform
 tasks and duties in                                 all assigned duties
 accordance with the                                 and
 licensee or licensee's                              responsibilities.
 agent's documented training                         The Commission
 and qualification plan.                             views this as
                                                     facilitating the
                                                     performance
                                                     objective of the
                                                     proposed Sec.
                                                     73.55 B.1.
                              C.2. On-the-job       This new header
                               training.             would be added for
                                                     consistency with
                                                     the format of this
                                                     proposed paragraph.
                                                     This new topic area
                                                     would be intended
                                                     to specify the
                                                     requirement that
                                                     the licensee
                                                     training and
                                                     qualification
                                                     program must
                                                     include an on-the-
                                                     job training
                                                     program to ensure
                                                     that assigned
                                                     personnel have
                                                     demonstrated an
                                                     acceptable level of
                                                     performance and
                                                     proficiency within
                                                     the actual work
                                                     environment, prior
                                                     to assignment to an
                                                     unsupervised
                                                     position.
Appendix B, Paragraph II.A.   C.2.a. The licensee   This new requirement
 Training Requirements--Each   training and          would be based on
 individual who requires       qualification         the current
 training to perform           program must          appendix B,
 assigned security-related     include on-the-job    Paragraph II.A. and
 job tasks or job duties as    training              would specify the
 identified in the licensee    performance           requirement that
 physical security or          standards and         the licensee
 contingency plans shall,      criteria to ensure    include on-the-job
 prior to assignment, be       that each             training as part of
 trained to perform these      individual            the training and
 tasks and duties in           demonstrates the      qualification
 accordance with the           requisite             program to ensure
 licensee or licensee's        knowledge, skills,    each individual
 agent's documented training   and abilities         demonstrates, in an
 and qualification plan.       needed to             on-the-job setting,
Appendix B, Paragraph          effectively carry-    an acceptable level
 I.B.1.b.(1)(a) On-the-job     out assigned duties   of performance and
 evaluation shall be used      and                   proficiency to
 for individuals who exhibit   responsibilities in   carry-out assigned
 a mild color vision defect.   accordance with the   duties and
                               Commission-approved   responsibilities
                               security plans,       prior to an
                               licensee protective   assignment. The
                               strategy, and         expectation would
                               implementing          be that on-the-job
                               procedures, before    training would be
                               the individual is     conducted by
                               assigned the duty     qualified security
                               or responsibility.    personnel who will
                                                     observe the
                                                     trainee's
                                                     performance and
                                                     provide input for
                                                     improvement and
                                                     final qualification
                                                     of the trainee and
                                                     allow each
                                                     individual to
                                                     develop and apply,
                                                     in a controlled but
                                                     realistic training
                                                     environment, the
                                                     knowledge, skills,
                                                     and abilities
                                                     presented in formal
                                                     and informal
                                                     classroom settings.
                                                     This requirement
                                                     would be in
                                                     addition to
                                                     licensee specific
                                                     classroom training
                                                     that may include
                                                     instruction on
                                                     security practices
                                                     and theory and
                                                     other training
                                                     activities for
                                                     security-related
                                                     duties.

[[Page 62816]]

 
Appendix B, Paragraph II. A.  C.2.b. In addition    This new requirement
 Training Requirements--Each   to meeting the        would be based on
 individual who requires       requirement stated    the current
 training to perform           in paragraph          appendix B,
 assigned security-related     C.2.a., before        Paragraph II.A. and
 job tasks or job duties as    assignment,           would specify the
 identified in the licensee    individuals           requirement for on-
 physical security or          assigned duties and   the-job training.
 contingency plans shall,      responsibilities to   This requirement
 prior to assignment, be       implement the         would specify that
 trained to perform these      Safeguards            40 hours is the
 tasks and duties in           Contingency Plan      minimum time for
 accordance with the           shall complete a      practical skill
 licensee or licensee's        minimum of 40 hours   development and
 agent's documented training   of on-the-job         performance
 and qualification plan.       training to           demonstration
                               demonstrate their     necessary to fully
                               ability to            assess an
                               effectively apply     individual's
                               the knowledge,        knowledge, skills,
                               skills, and           and abilities to
                               abilities required    effectively carry-
                               to effectively        out assigned duties
                               perform assigned      and
                               duties and            responsibilities
                               responsibilities in   prior to assignment
                               accordance with the   to an unsupervised
                               approved security     position. This
                               plans, licensee       requirement would
                               protective            be in addition to
                               strategy, and         formal and informal
                               implementing          classroom
                               procedures. On-the-   instruction. The
                               job training must     phrase ``by a
                               be documented by a    qualified training
                               qualified training    instructor'' would
                               instructor and        be added to require
                               attested to by a      that the security
                               security supervisor.  supervisor must
                                                     attest to the fact
                                                     that the required
                                                     training for each
                                                     individual was
                                                     administered by a
                                                     qualified
                                                     instructor and
                                                     documentation was
                                                     obtained and
                                                     properly completed.
Appendix B, Paragraph         C.2.c. On-the-job     This new requirement
 I.B.1.b.(1)(a) On-the-job     training for          would be based on
 evaluation shall be used      contingency           the current
 for individuals who exhibit   activities and        requirements
 a mild color vision defect.   drills must           appendix B,
Appendix B, Paragraph I.C.     include, but is not   Paragraph II.A. and
 The exercise program          limited to, hands-    appendix B,
 performance objectives        on application of     Paragraph II.D.
 shall be described in the     knowledge, skills,    This requirement
 license training and          and abilities         would provide a
 qualifications plan and       related to:           list of minimum
 shall consider job-related   (1) Response team      generic topics
 functions such as strenuous   duties..              which are
 activity, physical           (2) Use of force....   applicable to all
 exertion, levels of stress,  (3) Tactical           sites and must be
 and exposure to the           movement..            addressed, but are
 elements as they pertain to  (4) Cover and          not intended to
 each individual's assigned    concealment..         limit the licensee
 security job duties for      (5) Defensive-         such that site
 both normal and emergency     positions..           specific topics are
 operations.                  (6) Fields-of-fire..   not also included.
Appendix B, Paragraph II. A.  (7) Re-deployment...   This requirement
 Training Requirements--Each  (8) Communications     would also specify
 individual who requires       (primary and          that the licensee
 training to perform           alternate)..          identify and
 assigned security-related    (9) Use of assigned    document in the
 job tasks or job duties as    equipment..           training and
 identified in the licensee   (10) Target sets....   qualification plan,
 physical security or         (11) Table top         the specific
 contingency plans shall,      drills..              knowledge, skills,
 prior to assignment, be      (12) Command and       and abilities
 trained to perform these      control duties..      required by each
 tasks and duties in                                 individual to
 accordance with the                                 perform their
 licensee or licensee's                              assigned duties and
 agent's documented training                         responsibilities
 and qualification plan.                             and would
Appendix B, Paragraph II.D.                          generically include
 The areas of knowledge,                             any specific items
 skills, and abilities that                          that are currently
 shall be considered in the                          listed in the
 licensee's training and                             current appendix B,
 qualifications plan are as                          Paragraph II.D.,
 follows:.                                           and therefore,
[NOTE: The list of one                               would require that
 hundred specific training                           any applicable
 subjects is omitted here                            topics from the
 for conservation of space.].                        deleted list are
                                                     addressed.
                              C.3. Tactical         This new header
                               response team         would be added for
                               drills and            formatting.
                               exercises.
Appendix B, Paragraph II. A.  C.3.a. Licensees      This requirement
 Training Requirements--Each   shall demonstrate     would be based on
 individual who requires       response              the current
 training to perform           capabilities          appendix B,
 assigned security-related     through a             Paragraph II.A. Due
 job tasks or job duties as    performance           to changes in the
 identified in the licensee    evaluation program    threat environment,
 physical security or          as described in       the requirement
 contingency plans shall,      appendix C to this    would specify that
 prior to assignment, be       part.                 the licensee
 trained to perform these                            develop and follow
 tasks and duties in                                 a performance
 accordance with the                                 evaluation program
 licensee or licensee's                              designed to
 agent's documented training                         demonstrate the
 and qualification plan.                             effectiveness of
                                                     the onsite response
                                                     capabilities.
Appendix B, Paragraph II. A.  C.3.b. The licensee   This requirement
 Training Requirements--Each   shall conduct         would be based on
 individual who requires       drills and            the current
 training to perform           exercises in          appendix B,
 assigned security-related     accordance with       Paragraph II.A. Due
 job tasks or job duties as    Commission-approved   to changes in the
 identified in the licensee    security plans,       threat environment,
 physical security or          licensee protective   the requirement
 contingency plans shall,      strategy, and         would specify that
 prior to assignment, be       implementing          the licensee
 trained to perform these      procedures.           conduct drills and
 tasks and duties in                                 exercises to
 accordance with the                                 demonstrate the
 licensee or licensee's                              effectiveness of
 agent's documented training                         security plans,
 and qualification plan.                             licensee protective
                                                     strategy, and
                                                     implementing
                                                     procedures.

[[Page 62817]]

 
Appendix B, Paragraph II. A.  C.3.b.(1) Drills and  This requirement
 Training Requirements--Each   exercises must be     would be based on
 individual who requires       designed to           the current
 training to perform           challenge             appendix B,
 assigned security-related     participants in a     Paragraph II.A. Due
 job tasks or job duties as    manner which          to changes in the
 identified in the licensee    requires each         threat environment,
 physical security or          participant to        the requirement
 contingency plans shall,      demonstrate           would specify that
 prior to assignment, be       requisite             the licensee
 trained to perform these      knowledge, skills,    conduct drills and
 tasks and duties in           and abilities.        exercises that are
 accordance with the                                 designed to
 licensee or licensee's                              demonstrate each
 agent's documented training                         participants
 and qualification plan.                             requisite
                                                     knowledge, skills,
                                                     and abilities to
                                                     perform security
                                                     responsibilities.
Appendix B, Paragraph II. A.  C.3.b.(2) Tabletop    This requirement
 Training Requirements--Each   exercises may be      would be based on
 individual who requires       used to supplement    the current
 training to perform           drills and            appendix B,
 assigned security-related     exercises to          Paragraph II.A. Due
 job tasks or job duties as    accomplish desired    to changes in the
 identified in the licensee    training goals and    threat environment,
 physical security or          objectives.           the requirement
 contingency plans shall,                            would convey the
 prior to assignment, be                             Commission view
 trained to perform these                            that licensees may
 tasks and duties in                                 use tabletop
 accordance with the                                 exercises to
 licensee or licensee's                              supplement drills
 agent's documented training                         and exercises as a
 and qualification plan.                             means of achieving
                                                     training goals and
                                                     objectives.
                              D. Duty               This new header
                               qualification and     would be added for
                               requalification.      formatting
                                                     purposes. The word
                                                     ``duty'' would be
                                                     used to clarify
                                                     that the following
                                                     sections relate to
                                                     non-weapons
                                                     training topics.
                              D.1. Qualification    This new header
                               demonstration.        would be added for
                                                     formatting
                                                     purposes.
Sec.   73.55(b)(4)(i) Upon    D.1.a. Armed and      This requirement
 the request of an             unarmed members of    would be based on
 authorized representative     the security          the current
 of the Commission, the        organization shall    requirement of 10
 licensee shall demonstrate    demonstrate the       CFR 73.55(b)(4)(i).
 the ability of the physical   required knowledge,   Due to changes in
 security personnel to carry   skills, and           the threat
 out their assigned duties     abilities to carry    environment, it is
 and responsibilities.         out assigned duties   the Commission's
                               and                   view that licensees
                               responsibilities as   must be able to
                               stated in the         demonstrate the
                               Commission-approved   ability of security
                               security plans,       personnel to carry
                               licensee protective   out their assigned
                               strategy, and         duties and
                               implementing          responsibilities.
                               procedures.
Sec.   73.55(b)(4)(i) Upon    D.1.b. This           This requirement
 the request of an             demonstration must    would be based on
 authorized representative     include an annual     the current
 of the Commission, the        written exam and      requirement of 10
 licensee shall demonstrate    hands-on              CFR 73.55(b)(4)(i)
 the ability of the physical   performance           and would specify a
 security personnel to carry   demonstration.        licensee
 out their assigned duties                           requirement to
 and responsibilities.                               perform written
                                                     examinations and
                                                     hands-on
                                                     performance tests
                                                     to demonstrate
                                                     knowledge of the
                                                     skill or ability
                                                     being tested. The
                                                     Commission's view
                                                     is that written
                                                     examinations and
                                                     hands-on
                                                     performance tests
                                                     are two components
                                                     that are necessary
                                                     to demonstrate the
                                                     overall
                                                     qualification and
                                                     proficiency of an
                                                     individual
                                                     performing security
                                                     duties.
Sec.   73.55(b)(4)(i) Upon    (1) Written Exam.     This requirement
 the request of an             The written exams     would be based on
 authorized representative     must include those    the current
 of the Commission, the        elements listed in    requirement of 10
 licensee shall demonstrate    the Commission-       CFR 73.55(b)(4)(i).
 the ability of the physical   approved training     Due to changes in
 security personnel to carry   and qualification     the threat
 out their assigned duties     plan and shall        environment, the
 and responsibilities.         require a minimum     rule would require
                               score of 80 percent   a minimum exam
                               to demonstrate an     score of 80 percent
                               acceptable            using accepted
                               understanding of      training and
                               assigned duties and   evaluation
                               responsibilities,     techniques. The
                               to include the        Commission has
                               recognition of        determined that a
                               potential tampering   score of 80 percent
                               involving both        demonstrates the
                               safety and security   minimum level of
                               equipment and         understanding and
                               systems. (2) Hands-   familiarity of the
                               on Performance        material acceptable
                               Demonstration.        and would be
                               Armed and unarmed     consistent with
                               members of the        minimum scores
                               security              commonly accepted
                               organization shall    throughout the
                               demonstrate hands-    Nuclear Industry.
                               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.

[[Page 62818]]

 
Sec.   73.55(b)(4)(i) Upon    D.1.c. Upon request   This requirement
 the request of an             by an authorized      would be based upon
 authorized representative     representative of     the current
 of the Commission, the        the Commission, any   requirement of 10
 licensee shall demonstrate    individual assigned   CFR 73.55(b)(4)(i)
 the ability of the physical   to perform any        and would include,
 security personnel to carry   security-related      upon request, that
 out their assigned duties     duty or               an individual
 and responsibilities.         responsibility        assigned security
                               shall demonstrate     duties or
                               the required          responsibilities
                               knowledge, skills,    demonstrate
                               and abilities for     knowledge, skills
                               each assigned duty    and abilities
                               and responsibility,   required for such
                               as stated in the      assignments or
                               Commission-approved   responsibilities.
                               security plans,       This requirement
                               licensee protective   would be distinct
                               strategy, or          from the required
                               implementing          annual written
                               procedures.           demonstration above
                                                     and would be
                                                     necessary for
                                                     regulatory
                                                     consistency. This
                                                     rule would require
                                                     that any individual
                                                     who is assigned to
                                                     perform any
                                                     security-related
                                                     duty or
                                                     responsibility must
                                                     demonstrate their
                                                     capability to
                                                     effectively perform
                                                     those assigned
                                                     duties or
                                                     responsibilities
                                                     when requested,
                                                     regardless of the
                                                     individual's
                                                     specific
                                                     organizational
                                                     affiliation. These
                                                     demonstrations
                                                     would provide the
                                                     Commission with
                                                     independent
                                                     verification and
                                                     validation that
                                                     individuals can
                                                     actually perform
                                                     their assigned
                                                     security duties.
Appendix B, Paragraph II.E.   D.2. Requalification  This header would be
 Requalification--                                   retained.
Appendix B, Paragraph II.E.   D.2.a. Armed and      This requalification
 Security personnel shall be   unarmed members of    requirement would
 requalified at least every    the security          be retained and
 12 months to perform          organization shall    revised to combine
 assigned security-related     be requalified at     two requirements of
 job tasks and duties for      least annually in     the current
 both normal and contingency   accordance with the   appendix B,
 operations.                   requirements of       Paragraph II.E. The
Appendix B, Paragraph II.E.    this appendix and     rule would require
 Requalification shall be in   the Commission-       that armed and
 accordance with the NRC-      approved training     unarmed members of
 approved licensee training    and qualification     the security
 and qualifications plan.      plan.                 organization must
                                                     be requalified
                                                     annually to
                                                     demonstrate that
                                                     each individual
                                                     continues to be
                                                     capable of
                                                     effectively
                                                     performing assigned
                                                     duties and
                                                     responsibilities.
                                                     The phrase
                                                     ``Security
                                                     personnel'' would
                                                     be replaced with
                                                     the phrase ``Armed
                                                     and unarmed members
                                                     of the security
                                                     organization'' for
                                                     consistency with
                                                     the proposed rule.
                                                     The phrase ``every
                                                     12 months'' would
                                                     be replaced with
                                                     the word ``annual''
                                                     for consistency
                                                     with the proposed
                                                     rule.
Appendix B, Paragraph II.E.   D.2.b. The results    The requalification
 The results of                of requalification    requirement would
 requalification must be       must be documented    be retained. The
 documented and attested by    by a qualified        proposed rule would
 a licensee security           training instructor   require that the
 supervisor.                   and attested by a     licensee provide
                               security supervisor.  adequate oversight
                                                     and verification of
                                                     qualification
                                                     process. The phrase
                                                     ``by a qualified
                                                     training
                                                     instructor'' would
                                                     be added to specify
                                                     that the training
                                                     instructor observes
                                                     and documents that
                                                     qualification
                                                     criteria is met
                                                     while the security
                                                     supervisor attests
                                                     to the fact that
                                                     the required
                                                     documentation is
                                                     retained and
                                                     properly completed.
                                                     The word
                                                     ``licensee'' would
                                                     be deleted to
                                                     provide flexibility
                                                     to the licensee to
                                                     determine the best
                                                     use of management
                                                     resources and to
                                                     specify that
                                                     contract security
                                                     supervisors may be
                                                     used to satisfy
                                                     this requirement.
III. Weapons training and     E. Weapons training.  This header would be
 Qualification.                                      retained and
                                                     revised. The word
                                                     ``Qualification''
                                                     would be deleted
                                                     because
                                                     ``qualification''
                                                     is addressed
                                                     individually in
                                                     this proposed rule.
                              E.1. General          This new header is
                               firearms training.    added for
                                                     formatting
                                                     purposes.

[[Page 62819]]

 
Appendix B, Paragraph III.A.  E.1.a. Armed members  This training
 Guards, armed response        of the security       requirement would
 personnel and armed escorts   organization shall    be retained and
 requiring weapons training    be trained and        revised to specify
 to perform assigned           qualified in          that the training
 security related job tasks    accordance with the   be conducted in
 or job duties shall be        requirements of       accordance with the
 trained in accordance with    this appendix and     appendix and
 the licensees' documented     the Commission-       training and
 weapons training programs.    approved training     qualification
                               and qualification     plans. The phrase
                               plan.                 ``Guards, armed
                                                     response personnel
                                                     and armed escorts''
                                                     would be replaced
                                                     with the phrase
                                                     ``Armed members of
                                                     the security
                                                     organization'' for
                                                     consistency with
                                                     language used in
                                                     the proposed rule.
                                                     The phrase
                                                     ``requiring weapons
                                                     training to perform
                                                     assigned security
                                                     related job tasks
                                                     or job duties''
                                                     would be deleted
                                                     because that
                                                     requirement is
                                                     implied in the
                                                     proposed rule
                                                     language. The
                                                     phrase ``licensees'
                                                     documented weapons
                                                     training programs''
                                                     would be replaced
                                                     with the phrase
                                                     ``Commission-
                                                     approved training
                                                     and qualification
                                                     plan'' for
                                                     consistency with
                                                     language used in
                                                     the proposed rule.
                              E.1.b. Firearms       This new header
                               instructors.          would be added for
                                                     formatting
                                                     purposes.
Appendix B, Paragraph III.A.  E.1.b.(1) Each armed  This requirement
 Each individual shall be      member of the         would be based on
 proficient in the use of      security              the current
 his assigned weapon(s) and    organization shall    appendix B,
 shall meet prescribed         be trained and        Paragraph III.A.
 standards in the following    qualified by a        and would be
 areas:                        certified firearms    revised to
                               instructor for the    incorporate current
                               use and maintenance   requirements in
                               of each assigned      approved training
                               weapon to include     and qualification
                               but not limited to,   plans.
                               qualification
                               scores, assembly,
                               disassembly,
                               cleaning, storage,
                               handling, clearing,
                               loading, unloading,
                               and reloading, for
                               each assigned
                               weapon.
Appendix B, Paragraph III.A.  E.1.b.(2) Firearms    This requirement
 Each individual shall be      instructors shall     would be based on
 proficient in the use of      be certified from a   the current
 his assigned weapon(s) and    national or State     appendix B,
 shall meet prescribed         recognized entity.    Paragraph III.A.
 standards in the following                          and revised to
 areas:                                              require that
                                                     licensees only use
                                                     certified
                                                     instructors. It is
                                                     the Commission view
                                                     that certification
                                                     would be required
                                                     from a national or
                                                     State recognized
                                                     entity such as
                                                     Federal, State
                                                     military or
                                                     nationally
                                                     recognized entities
                                                     such as National
                                                     Rifle Association
                                                     (NRA),
                                                     International
                                                     Association of Law
                                                     Enforcement
                                                     Firearms
                                                     Instructors
                                                     (IALEFI).
Appendix B, Paragraph III.A.  E.1.b.(3)             This requirement
 Each individual shall be      Certification must    would be based on
 proficient in the use of      specify the weapon    the current
 his assigned weapon(s) and    or weapon type(s)     appendix B,
 shall meet prescribed         for which the         Paragraph III.A.
 standards in the following    instructor is         and revised to
 areas:                        qualified to teach.   establish minimum
                                                     standards for those
                                                     conducting firearms
                                                     instruction. This
                                                     requirement would
                                                     not intend that
                                                     each firearm
                                                     instructor be
                                                     certified on the
                                                     different
                                                     manufacturers or
                                                     brands, but rather
                                                     that certification
                                                     be obtained by
                                                     weapon type such as
                                                     handgun, shotgun,
                                                     rifle, machine gun,
                                                     or other enhanced
                                                     weapons since each
                                                     type requires
                                                     different skills
                                                     and abilities.
Appendix B, Paragraph III.A.  E.1.b.(4) Firearms    This requirement
 Each individual shall be      instructors shall     would be based upon
 proficient in the use of      be recertified in     the current
 his assigned weapon(s) and    accordance with the   appendix B,
 shall meet prescribed         standards             Paragraph III.A.
 standards in the following    recognized by the     and revised to
 areas:                        certifying national   establish minimum
                               or state entity,      standards for those
                               but in no case        conducting firearms
                               shall re-             instruction.
                               certification         Firearms instructor
                               exceed three (3)      skills are
                               years.                perishable and
                                                     therefore the
                                                     proposed rule would
                                                     require periodic re-
                                                     qualification to
                                                     demonstrate
                                                     proficiency. The
                                                     Commission has
                                                     determined that
                                                     three (3) years is
                                                     a commonly accepted
                                                     interval for re-
                                                     certification
                                                     throughout the
                                                     firearms community.

[[Page 62820]]

 
Appendix B, Paragraph IV.     E.1.c. Annual         This requirement
 Qualification firing for      firearms              would be based upon
 the handgun and the rifle     familiarization.      the current
 must be for daylight          The licensee shall    appendix B,
 firing, and each individual   conduct annual        Paragraph IV. Due
 shall perform night firing    firearms              to changes in the
 for familiarization with      familiarization       threat environment,
 assigned weapon(s).           training in           the Commission
Appendix B, Paragraph IV.      accordance with the   seeks to establish
 Each individual shall be      Commission-approved   minimum standards
 requalified at least every    training and          for weapons
 12 months.                    qualification plan.   familiarization.
                                                     This requirement
                                                     would require
                                                     individuals receive
                                                     basic firearms
                                                     familiarization and
                                                     skills training
                                                     with each weapon
                                                     type such as
                                                     nomenclature,
                                                     stance, grip, sight
                                                     alignment, sight
                                                     stance, grip, sight
                                                     alignment, sight
                                                     picture, trigger
                                                     squeeze, safe
                                                     handling, range
                                                     rules, prior to
                                                     participating in a
                                                     qualifying course
                                                     of fire. The
                                                     specifics of the
                                                     familiarization
                                                     must be included in
                                                     the Commission-
                                                     approved plan.
Appendix B, Paragraph III.A.  E.1.d. The            This proposed rule
 Each individual shall be      Commission-approved   would retain the
 proficient in the use of      training and          current standards
 his assigned weapon(s) and    qualification plan    listed in appendix
 shall meet prescribed         shall include, but    B, Paragraph III.A
 standards in the following    is not limited to,    as weapons training
 areas:                        the following         areas to be
1. Mechanical assembly,        areas:                addressed in the
 disassembly, range           (1) Mechanical         Commission-approved
 penetration capability of     assembly,             T&Q plan. Due to
 weapon, and bull's-eye        disassembly, range    changes in the
 firing..                      penetration           threat environment,
2. Weapons cleaning and        capability of         it is the
 storage..                     weapon, and bull's-   Commission view
3. Combat firing, day and      eye firing..          that additional
 night..                      (2) Weapons cleaning   areas of
4. Safe weapons handling....   and storage..         demonstrated weapon
5. Clearing, loading,         (3) Combat firing,     proficiency should
 unloading, and reloading.     day and night..       be added to the
6. When to draw and point a   (4) Safe weapons       current
 weapon..                      handling..            regulations. The
7. Rapid fire techniques....  (5) Clearing,          proposed rule would
8. Close quarter firing.....   loading, unloading,   require an
9. Stress firing............   and reloading..       individual
10. Zeroing assigned          (6) When to draw and   demonstrate
 weapon(s)..                   point a weapon..      proficiency in the
                              (7) Rapid fire         following areas:
                               techniques..          target engagement,
                              (8) Closed quarter     weapon
                               firing..              malfunctions, cover
                              (9) Stress firing...   and concealment
                              (10) Zeroing           weapon transition
                               assigned weapon(s)    between strong
                               (sight and sight/     (primary) and weak
                               scope adjustments)..  (support) hands,
                              (11) Target            and weapon
                               engagement..          familiarization
                              (12) Weapon            (areas 11 through
                               malfunctions..        15.)
                              (13) Cover and
                               concealment..
                              (14) Weapon
                               transition between
                               strong (primary)
                               and weak (support)
                               hands..
                              (15) Weapon
                               familiarization..
Appendix B, Paragraph II.D.   E.1.e. The licensee   The requirements of
 Security knowledge, skills,   shall ensure that     appendix B,
 and abilities--Each           each armed member     Paragraph II.D.
 individual assigned to        of the security       would be modified
 perform the security-         organization is       to clarify training
 related task identified in    instructed on the     requirements
 the licensee physical         use of deadly force   regarding the use
 security or contingency       as authorized by      of deadly force.
 plan shall demonstrate the    applicable State      The proposed rule
 required knowledge, skill,    law.                  would specify that
 and ability in accordance                           the substance of
 with the specified                                  training in the use
 standards for each task as                          of deadly force
 stated in the NRC approved                          should be focused
 licensee training and                               on applicable state
 qualifications plan. The                            laws.
 areas of knowledge, skills,
 and abilities that shall be
 considered in the
 licensee's training and
 qualifications plan are as
 follows: The use of deadly
 force.
Appendix B, Paragraph IV.D.   E.1.f. Armed members  This requirement
 Individuals shall be          of the security       would be based upon
 weapons requalified at        organization shall    the current
 least every 12 months in      participate in        requalification
 accordance with the NRC       weapons range         requirements stated
 approved licensee training    activities on a       in appendix B,
 and qualifications plan,      nominal four (4)      Paragraph IV.D. It
 and in accordance with the    month periodicity.    is the Commission
 requirements stated in A,     Performance may be    view that the
 B, and C of this section.     conducted up to       proposed rule,
                               five (5) weeks        requiring weapons
                               before to five (5)    range activities,
                               weeks after the       would ensure
                               scheduled date. The   individuals
                               next scheduled date   maintain
                               must be four (4)      proficiency in the
                               months from the       use of assigned
                               originally            weapons and
                               scheduled date.       associated
                                                     perishable skills.
IV. Weapons qualification     F. Weapons            This header would be
 and requalification program.  qualification and     retained.
                               requalification
                               program.
                              F.1. General weapons  This header would be
                               qualification         added for
                               requirements.         formatting
                                                     purposes.
Appendix B, Paragraph IV.     F.1.a. Qualification  The requirement
 Qualification firing for      firing must be        would retain the
 the handgun and the rifle     accomplished in       qualification
 must be for daylight          accordance with       requirements stated
 firing, and each individual   Commission            in appendix B,
 shall perform night firing    requirements and      Paragraph IV. The
 for familiarization with      the Commission-       proposed rule would
 assigned weapon(s).           approved training     specify that such
                               and qualification     qualifications have
                               plan for assigned     to be accomplished
                               weapons.              in accordance with
                                                     Commission-approved
                                                     training and
                                                     qualification
                                                     plans.

[[Page 62821]]

 
The results of weapons        F.1.b. The results    This weapons
 qualification and             of weapons            qualification and
 requalification must be       qualification and     requalification
 documented by the licensee    requalification       requirement would
 or the licensee's agent.      must be documented    be retained. The
                               and retained as a     word ``must'' would
                               record.               be replaced with
                                                     the word ``shall''
                                                     for consistency
                                                     with this proposed
                                                     rule. The phrase
                                                     ``by the licensee
                                                     or the licensee's
                                                     agent'' would be
                                                     replaced with the
                                                     phrase ``and
                                                     retained as a
                                                     record'' for
                                                     consistency with
                                                     the terminology
                                                     used in the
                                                     proposed rule.
Each individual shall be      F.1.c. Each           This requalification
 requalified at least every    individual shall be   requirement would
 12 months.                    re-qualified at       be retained. The
                               least annually.       phrase ``every 12
                                                     months'' would be
                                                     replaced with the
                                                     word ``annually''
                                                     for consistency
                                                     with this proposed
                                                     rule.
Energy Policy Act of 2005...  F.2. Alternate        This new requirement
                               weapons               would be added for
                               qualification. Upon   consistency with
                               written request by    the proposed Sec.
                               the licensee, the     73.19. The proposed
                               Commission may        rule would require
                               authorize an          the licensee to
                               applicant or          request NRC
                               licensee to provide   authorization to
                               firearms              implement
                               qualification         alternative
                               programs other than   firearms
                               those listed in       qualification
                               this appendix if      programs pursuant
                               the applicant or      to the licensee's
                               licensee              request for
                               demonstrates that     authorization to
                               the alternative       use ``enhanced
                               firearm               weapons'' as
                               qualification         defined in the
                               program satisfies     proposed Sec.
                               Commission            73.19.
                               requirements.
                               Written requests
                               must provide
                               details regarding
                               the proposed
                               firearms
                               qualification
                               programs and
                               describe how the
                               proposed
                               alternative
                               satisfies
                               Commission
                               requirements.
Appendix B, Paragraph IV.     F.3. Tactical         This requirement
 Qualification firing for      weapons               would be based upon
 the handgun and the rifle     qualification. The    the current
 must be for daylight          licensee Training     qualification
 firing, and each individual   and Qualification     requirement in
 shall perform night firing    Plan must describe    appendix B,
 for familiarization with      the firearms used,    Paragraph IV. Due
 assigned weapon(s).           the firearms          to changes to the
                               qualification         threat environment,
                               program, and other    the proposed rule
                               tactical training     would require that
                               required to           the licensee
                               implement the         develop and
                               Commission-approved   implement a site
                               security plans,       specific firearms
                               licensee protective   qualification
                               strategy, and         program and other
                               implementing          tactical training
                               procedures.           to simulate site
                               Licensee developed    conditions under
                               qualification and     which the
                               re-qualification      protective strategy
                               courses for each      will be
                               firearm must          implemented. The
                               describe the          examples given
                               performance           (lighting,
                               criteria needed, to   elevation and
                               include the site      fields-of-fire) are
                               specific conditions   intended to be
                               (such as lighting,    neither all
                               elevation, fields-    inclusive nor
                               of-fire) under        limiting.
                               which assigned
                               personnel shall be
                               required to carry-
                               out their assigned
                               duties.
Appendix B, Paragraph IV.     F.4. Firearms         This requirement
 Qualification firing for      qualification         would be based upon
 the handgun and the rifle     courses. The          the current
 must be for daylight          licensee shall        qualification
 firing, and each individual   conduct the           requirements in
 shall perform night firing    following             appendix B,
 for familiarization with      qualification         Paragraph IV. The
 assigned weapon(s).           courses for weapons   proposed rule would
                               used.                 specify performance
                                                     expectations for
                                                     weapons courses.

[[Page 62822]]

 
Appendix B, Paragraph IV.     F.4.a. Annual         This requirement
 Qualification firing for      daylight              would combine the
 the handgun and the rifle     qualification         current appendix B,
 must be for daylight          course. Qualifying    Paragraph IV.A.,
 firing, and each individual   score must be an      B., and C. Because
 shall perform night firing    accumulated total     of changes to the
 for familiarization with      of 70 percent with    threat environment,
 assigned weapon(s).           handgun and           it is the
Appendix B, Paragraph IV.A.    shotgun, and 80       Commission view
 Handgun--Guards, armed        percent with semi-    that a higher
 escorts and armed response    automatic rifle and/  qualification
 personnel shall qualify       or enhanced           percentage is
 with a revolver or            weapons, of the       required. The
 semiautomatic pistol firing   maximum obtainable    Commission has
 the national police course,   target score.         determined that
 or an equivalent nationally                         among law
 recognized course.                                  enforcement
Appendix B, Paragraph IV.B.                          authorities, 70
 Semiautomatic Rifle--                               percent is a
 Guards, armed escorts and                           commonly accepted
 armed response personnel,                           fire qualification
 assigned to use the                                 value requirement
 semiautomatic rifle by the                          for handguns and
 licensee training and                               shotguns and that
 qualifications plan, shall                          80 percent is the
 qualify with a                                      commonly accepted
 semiautomatic rifle by                              value for semi-
 firing the 100-yard course                          automatic and
 of fire specified in                                enhanced weapons.
 section 17.5(1) of the                              The proposed rule
 National Rifle Association,                         would increase the
 High Power Rifle Rules book                         acceptable level of
 (effective March 15, 1976),                         proficiency to 70
 (1) or a nationally                                 percent for handgun
 recognized equivalent                               and shotgun, and 80
 course of fire.                                     percent for the
Appendix B, Paragraph IV.C.                          semi-automatic
 Shotgun--Guards, armed                              rifle and enhanced
 escorts, and armed response                         weapons.
 personnel assigned to use
 the 12 gauge shotgun by the
 licensee training and
 qualifications plan shall
 qualify with a full choke
 or improved modified choke
 12 gauge shotgun firing the
 following course:.
Appendix B, Paragraph IV.     F.4.b. Annual night   This requirement
 Qualification firing for      fire qualification    would combine the
 the handgun and the rifle     course. Qualifying    qualification
 must be for daylight          score must be an      standards stated in
 firing, and each individual   accumulated total     the current
 shall perform night firing    of 70 percent with    appendix B,
 for familiarization with      handgun and           Paragraph IV.A.,
 assigned weapon(s).           shotgun, and 80       B., and C. Because
                               percent with semi-    of changes to the
                               automatic rifle and/  threat environment,
                               or enhanced           it is the
                               weapons, of the       Commission view
                               maximum obtainable    that a higher
                               target score.         qualification
                                                     percentage is
                                                     required. The
                                                     Commission has
                                                     determined that
                                                     among law
                                                     enforcement
                                                     authorities, 70
                                                     percent is a
                                                     commonly accepted
                                                     night fire
                                                     qualification value
                                                     requirement for
                                                     handguns and
                                                     shotguns and that,
                                                     under the same
                                                     conditions, 80
                                                     percent is the
                                                     commonly accepted
                                                     value for semi-
                                                     automatic and
                                                     enhanced weapons.
                                                     The proposed rule
                                                     would increase the
                                                     Night Fire
                                                     qualification score
                                                     from
                                                     familiarization in
                                                     the current rule,
                                                     to an acceptable
                                                     level of
                                                     proficiency of 70
                                                     percent for handgun
                                                     and shotgun, and 80
                                                     percent for the
                                                     semi-automatic
                                                     rifle and enhanced
                                                     weapons.

[[Page 62823]]

 
Appendix B, Paragraph IV.     F.4.c. Annual         This requirement
 Qualification firing for      tactical              would combine the
 the handgun and the rifle     qualification         current
 must be for daylight          course. Qualifying    qualification
 firing, and each individual   score must be an      requirements in
 shall perform night firing    accumulated total     appendix B,
 for familiarization with      of 80 percent of      Paragraph IV.A.,
 assigned weapon(s).           the maximum           B., and C. In the
                               obtainable score.     proposed rule, the
                                                     annual tactical
                                                     course of fire
                                                     would be developed
                                                     and implemented to
                                                     simulate the
                                                     licensee protective
                                                     strategy in
                                                     accordance with the
                                                     Commission-approved
                                                     training and
                                                     qualification plan.
                                                     Licensees would not
                                                     be not required to
                                                     include every
                                                     aspect of its site
                                                     protective strategy
                                                     into one tactical
                                                     course of fire.
                                                     Instead, licensees
                                                     should periodically
                                                     evaluate and change
                                                     their tactical
                                                     course of fire to
                                                     incorporate
                                                     different or
                                                     changed elements of
                                                     the site protective
                                                     strategy so that
                                                     armed security
                                                     personnel are
                                                     exposed to multiple
                                                     and different site
                                                     contingency
                                                     scenarios. In the
                                                     current threat
                                                     environment, LLEA
                                                     tactical teams
                                                     typically require a
                                                     minimum
                                                     qualification score
                                                     of 80 percent to
                                                     ensure that a
                                                     higher percentage
                                                     of rounds hit the
                                                     intended target to
                                                     neutralize the
                                                     threat. This
                                                     correlates to
                                                     licensee protective
                                                     strategies in which
                                                     a higher percentage
                                                     of rounds that hit
                                                     the intended target
                                                     increase the
                                                     ability of the
                                                     security force to
                                                     neutralize the
                                                     adversarial threat
                                                     to prevent
                                                     radiological
                                                     sabotage. As a
                                                     result, the
                                                     proposed rule would
                                                     specify 80 percent
                                                     as the minimum
                                                     acceptable
                                                     qualification score
                                                     for the Tactical
                                                     Qualification
                                                     Course.
                              F.5. Courses of fire  This heading would
                                                     be added to clarify
                                                     the subsequent
                                                     information and to
                                                     be consistent with
                                                     the remainder of
                                                     this appendix.
Appendix B, Paragraph IV.A.   F.5.a. Handgun......  This heading would
 Handgun--                                           be brought forward
                                                     from current rule
                                                     and would be
                                                     renumbered
                                                     accordingly.
Appendix B, Paragraph IV.A.   F.5.a.(1) Armed       The qualification
 Guards, armed escorts and     members of the        requirement would
 armed response personnel      security              be retained. The
 shall qualify with a          organization,         phrase ``national
 revolver or semiautomatic     assigned duties and   police course''
 pistol firing the national    responsibilities      would be replaced
 police course, or an          involving the use     with ``law
 equivalent nationally         of a revolver or      enforcement
 recognized course.            semiautomatic         course'' for
                               pistol shall          consistency with
                               qualify in            the terminology
                               accordance with       used nationally in
                               standards and         reference to
                               scores established    firearms standards
                               by a law              and courses.
                               enforcement course,
                               or an equivalent
                               nationally
                               recognized course.
Appendix B, Paragraph IV.A.   F.5.a.(2) Qualifying  This requirement
 Qualifying score shall be     scores must be an     would be brought
 an accumulated total of 70    accumulated total     forward from
 percent of the maximum        of 70 percent of      current rule and
 obtainable score.             the maximum           would be renumbered
                               obtainable target     accordingly.
                               score.
Appendix B, Paragraph IV.B.   F.5.b. Semiautomatic  This header would be
 Semiautomatic Rifle--         rifle.                retained.
Appendix B, Paragraph IV.B.   F.5.b.(1) Armed       The qualification
 Guards, armed escorts and     members of the        requirement would
 armed response personnel,     security              be retained. The
 assigned to use the           organization,         phrase ``national
 semiautomatic rifle by the    assigned duties and   police course''
 licensee training and         responsibilities      would be replaced
 qualifications plan, shall    involving the use     with ``law
 qualify with a                of a semiautomatic    enforcement
 semiautomatic rifle by        rifle shall qualify   course'' for
 firing the 100-yard course    in accordance with    consistency with
 of fire specified in          the standards and     the terminology
 Section 17.5(1) of the        scores established    used nationally in
 National Rifle Association,   by a law              reference to
 High Power Rifle Rules book   enforcement course,   firearms standards
 (effective March 15, 1976),   or an equivalent      and courses.
 (1) or a nationally           nationally
 recognized equivalent         recognized course.
 course of fire.
Qualifying score shall be an  F.5.b.(2) Qualifying  This requirement
 accumulated total of 80       scores must be an     would be retained.
 percent of the maximum        accumulated total
 obtainable score.             of 80 percent of
                               the maximum
                               obtainable score.
Appendix B, Paragraph IV.C.   F.5.c. Shotgun......  This header would be
 Shotgun--                                           retained.

[[Page 62824]]

 
Appendix B, Paragraph IV.C.   F.5.c.(1) Armed       The qualification
 Guards, armed escorts, and    members of the        requirement would
 armed response personnel      security              be retained. The
 assigned to use the 12        organization,         phrase ``national
 gauge shotgun by the          assigned duties and   police course''
 licensee training and         responsibilities      would be replaced
 qualifications plan shall     involving the use     with ``law
 qualify with a full choke     of a shotgun shall    enforcement
 or improved modified choke    qualify in            course'' for
 12 gauge shotgun firing the   accordance with       consistency with
 following course:             standards and         the terminology
                               scores established    used nationally in
                               by a law              reference to
                               enforcement course,   firearms standards
                               or an equivalent      and courses. The
                               nationally            phrase ``12 gauge''
                               recognized course.    would be deleted to
                                                     account for future
                                                     changes and because
                                                     this specific
                                                     requirement would
                                                     be no longer needed
                                                     in this proposed
                                                     appendix.
Appendix B, Paragraph IV.C.   F.5.c.(2) Qualifying  The qualification
 To qualify the individual     scores must be an     requirement would
 shall be required to place    accumulated total     be retained. Due to
 50 percent of all pellets     of 70 percent of      changes in the
 (36 pellets) within the       the maximum           threat environment,
 black silhouette.             obtainable target     the qualification
                               score.                score would be
                                                     increased from 50
                                                     percent in the
                                                     current rule, to an
                                                     acceptable level of
                                                     proficiency. The
                                                     proposed 70 percent
                                                     requirement is a
                                                     commonly accepted
                                                     minimum
                                                     qualification
                                                     score, for shotguns
                                                     in the law
                                                     enforcement
                                                     community.
                              F.5.d. Enhanced       This header would be
                               weapons.              added for
                                                     formatting
                                                     purposes.
Appendix B, Paragraph III.A.  F.5.d.(1) Armed       This new requirement
 Each individual shall be      members of the        would be added to
 proficient in the use of      security              account for future
 his assigned weapon(s) and    organization,         technological
 shall meet prescribed         assigned duties and   advancements in
 standards in the following    responsibilities      weaponry available
 areas:                        involving the use     to licensees. The
                               of any weapon or      phrase ``national
                               weapons not           police course''
                               described above,      would be replaced
                               shall qualify in      with ``law
                               accordance with       enforcement
                               applicable            course'' for
                               standards and         consistency with
                               scores established    the terminology
                               by a law              used nationally in
                               enforcement course    reference to
                               or an equivalent      firearms standards
                               nationally            and courses.
                               recognized course     Examples of ``Law
                               for these weapons.    enforcement course
                                                     or an equivalent
                                                     nationally
                                                     recognized course
                                                     for such weapons''
                                                     includes those by
                                                     the Departments of
                                                     Justice, Energy, or
                                                     Defense.
Appendix B, Paragraph III.A.  F.5.d.(2) Qualifying  This new 80 percent
 Each individual shall be      scores must be an     qualification score
 proficient in the use of      accumulated total     requirement would
 his assigned weapon(s) and    of 80 percent of      be consistent and
 shall meet prescribed         the maximum           comparable with the
 standards in the following    obtainable score.     requirements for
 areas:                                              semi-automatic
                                                     rifles.
Appendix B, Paragraph IV.D.   F.6. Requalification  This header would be
 Requalification--.                                  retained.
Appendix B, Paragraph IV.D.   F.6.a. Armed members  This requalification
 Individuals shall be          of the security       requirement would
 weapons requalified at        organization shall    be retained. The
 least every 12 months in      be re-qualified for   phrase ``every 12
 accordance with the NRC       each assigned         months'' would be
 approved licensee training    weapon at least       replaced with the
 and qualifications plan,      annually in           word ``annually''
 and in accordance with the    accordance with       for consistency
 requirements stated in A,     Commission            with this proposed
 B, and C of this section.     requirements and      rule. The phrase
                               the Commission-       ``Individuals shall
                               approved training     be weapons
                               and qualification     requalified'' would
                               plan.                 be replaced with
                                                     the phrase ``Armed
                                                     members of the
                                                     security
                                                     organization shall
                                                     be re-qualified for
                                                     each assigned
                                                     weapon'' to reflect
                                                     changes in the
                                                     terminology used to
                                                     describe this
                                                     topic. The phrase
                                                     ``the NRC approved
                                                     licensee training
                                                     and qualifications
                                                     plan, and in
                                                     accordance with the
                                                     requirements stated
                                                     in A, B, and C of
                                                     this section''
                                                     would be replaced
                                                     with the phrase
                                                     ``Commission
                                                     requirements and
                                                     the Commission-
                                                     approved training
                                                     and qualification
                                                     plan'' to reflect
                                                     changes in the
                                                     terminology used to
                                                     describe this
                                                     topic.
Appendix B, Paragraph IV.D.   F.6.b. Firearms       This requalification
 Individuals shall be          requalification       requirement would
 weapons requalified at        must be conducted     be retained. Due to
 least every 12 months in      using the courses     changes in the
 accordance with the NRC       of fire outlined in   threat environment,
 approved licensee training    Paragraph 5 of this   the proposed rule
 and qualifications plan,      section.              would specify the
 and in accordance with the                          criteria for
 requirements stated in A,                           weapons
 B, and C of this section.                           requalification.
V. Guard, armed response      G. Weapons, personal  This heading would
 personnel, and armed escort   equipment and         be retained and
 equipment.                    maintenance.          modified by adding
                                                     the word
                                                     ``maintenance'' for
                                                     clarity.
                              G.1. Weapons........  This header was
                                                     added for
                                                     formatting
                                                     purposes.

[[Page 62825]]

 
Appendix B, Paragraph III.A.  G.1.a. The licensee   This new requirement
 Each individual shall be      shall provide armed   would be based upon
 proficient in the use of      personnel with        the current 10 CFR
 his assigned weapon(s) and    weapons that are      73.55 b.(4)(i) and
 shall meet prescribed         capable of            appendix B,
 standards in the following    performing the        Paragraph III.A. It
 areas:                        function stated in    also reflects new
10 CFR 73.55 b.(4)(i) The      the Commission-       requirements that
 licensee may not permit an    approved security     would implement the
 individual to act as a        plans, licensee       Energy Policy Act
 guard, watchman armed         protective            of 2005. This
 response person, or other     strategy, and         requirement would
 member of the security        implementing          be intended to
 organization unless the       procedures.           account for
 individual has been                                 technological
 trained, equipped, and                              advancements in
 qualified to perform each                           this area. Under
 assigned security job duty                          the proposed rule,
 in accordance with appendix                         licensees could
 B, in accordance with                               request Commission
 appendix B, ``General                               authorization to
 Criteria for Security                               possess and use
 Personnel,'' to this part..                         enhanced weapons
Section 653 of the Energy                            that may otherwise
 Policy Act of 2005..                                be prohibited by
                                                     individual state
                                                     laws. This
                                                     authority has been
                                                     granted to the NRC
                                                     through Section 653
                                                     of the Energy
                                                     Policy Act of 2005.
                              G.2. Personal         This header would be
                               equipment.            added for
                                                     formatting
                                                     purposes.
Appendix B, Paragraph V.A.    G.2.a. The licensee   This requirement
 Fixed Site--Fixed site        shall ensure that     would be based upon
 guards and armed response     each individual is    the current
 personnel shall either be     equipped or has       appendix B,
 equipped with or have         ready access to all   Paragraph V.A. This
 available the following       personal equipment    requirement would
 security equipment            or devices required   be intended to
 appropriate to the            for the effective     specify that the
 individual's assigned         implementation of     licensee is
 contingency security          the Commission-       responsible for
 related tasks or job duties   approved security     ensuring that each
 as described in the           plans, licensee       individual is
 licensee physical security    protective            provided all
 and contingency plans:        strategy, and         personal equipment
                               implementing          required to
                               procedures.           effectively perform
                                                     assigned duties and
                                                     responsibilities.
                                                     The phrase ``has
                                                     ready access to''
                                                     would mean that
                                                     equipment or
                                                     devices, that are
                                                     required to perform
                                                     assigned duties,
                                                     are available as
                                                     described in the
                                                     Commission-approved
                                                     security plans,
                                                     licensee.
Appendix B, Paragraph         G.2.b. The licensee   This requirement
 V.A.5.(a) Helmet, Combat.     shall provide armed   combines the
Appendix B, Paragraph          security personnel,   current
 V.A.5.(b) Gas mask, full      at a minimum, but     requirements
 face..                        is not limited to,    appendix B,
Appendix B, Paragraph          the following.        Paragraph V.A.5(b),
 V.A.5.(c) Body armor         (1) Gas mask, full     5(c), 5(g), 9, and
 (bullet-resistant vest)..     face..                10. Due to changes
Appendix B, Paragraph         (2) Body armor         in the threat
 V.A.5.(d) Flashlights and     (bullet-resistant     environment, the
 batteries..                   vest)..               NRC has determined
Appendix B, Paragraph         (3) Ammunition/        that this list of
 V.A.5.(e) Baton..             equipment belt..      equipment would be
Appendix B, Paragraph         (4) Duress alarms...   the minimum
 V.A.5.(f) Handcuffs..        (5) Two-way portable   required to
Appendix B, Paragraph          radios (handi-        effectively perform
 V.A.5.(g) Ammunition-         talkie) 2 channels    response duties.
 equipment belt..              minimum, 1
Appendix B, Paragraph V.A.6.   operating and 1
 Binoculars..                  emergency..
Appendix B, Paragraph V.A.7.
 Night vision aids, i.e.,
 hand-fired illumination
 flares or equivalent..
Appendix B, Paragraph V.A.8.
 Tear gas or other nonlethal
 gas..
Appendix B, Paragraph V.A.9.
 Duress alarms..
Appendix B, Paragraph
 V.A.10. Two-way portable
 radios (handi-talkie) 2
 channels minimum, 1
 operating and 1 emergency..

[[Page 62826]]

 
Appendix B, Paragraph         G.2.c. Based upon     This requirement
 V.A.5.(a) Helmet, Combat.     the licensee          would be based upon
Appendix B, Paragraph          protective strategy   the current
 V.A.5.(b) Gas mask, full      and the specific      appendix B,
 face..                        duties and            Paragraph V.A.5.
Appendix B, Paragraph          responsibilities      The NRC has
 V.A.5.(c) Body armor          assigned to each      determined that
 (bullet-resistant vest)..     individual, the       this list of
Appendix B, Paragraph          licensee should       additional
 V.A.5.(d) Flashlights and     provide, but is not   equipment must be
 batteries..                   limited to, the       provided because
Appendix B, Paragraph          following.            such equipment is
 V.A.5.(e) Baton..            (1) Flashlights and    required to
Appendix B, Paragraph          batteries..           effectively
 V.A.5.(f) Handcuffs..        (2) Baton or other     implement the
Appendix B, Paragraph          non-lethal weapons..  licensee protective
 V.A.5.(g) Ammunition-        (3) Handcuffs.......   strategy and the
 equipment belt..             (4) Binoculars......   specific duties and
Appendix B, Paragraph V.A.6   (5) Night vision       responsibilities
 Binoculars..                  aids (e.g. goggles,   assigned to each
Appendix B, Paragraph V.A.7.   weapons sights)..     individual. The
 Night vision aids, i.e.,     (6) Hand-fired         current requirement
 hand-fired illumination       illumination flares   appendix B,
 flares or equivalent..        or equivalent..       Paragraph V.A.5.(a)
Appendix B, Paragraph V.A.8.  (7) Tear gas or        ``Helmet, combat''
 Tear gas or other nonlethal   other non-lethal      would be deleted
 gas..                         gas..                 because the NRC has
Appendix B, Paragraph V.A.9.                         determined that
 Duress alarms..                                     although the use of
Appendix B, Paragraph                                this item is
 V.A.10. Two-way portable                            recommended it is
 radios (handi-talkie) 2                             an optional item
 channels minimum, 1                                 that is not
 operating and 1 emergency..                         required to
                                                     effectively
                                                     implement a
                                                     protective strategy
                                                     or perform assigned
                                                     duties and
                                                     responsibilities.
                                                     The proposed
                                                     addition in (2) ``
                                                     . . . or other non-
                                                     lethal weapons''
                                                     would recognize
                                                     that the use of
                                                     batons and other
                                                     non-lethal weapons
                                                     by armed security
                                                     officers is subject
                                                     to state law.
                                                     Related to the use
                                                     of non-lethal
                                                     weapons, each state
                                                     has minimum
                                                     training
                                                     requirements for
                                                     armed private
                                                     security officers.
                              G.3. Maintenance....  This heading would
                                                     be added for
                                                     formatting
                                                     purposes.
Appendix B, Paragraph III.A.  G.3.a. Firearms       This requirement
 Each individual shall be      maintenance           would be based upon
 proficient in the use of      program. Each         the current
 his assigned weapon(s) and    licensee shall        appendix B,
 shall meet prescribed         implement a           Paragraph III.A.
 standards in the following    firearms              This proposed rule
 areas:                        maintenance and       would require a
                               accountability        firearms
                               program in            maintenance program
                               accordance with the   to ensure weapons
                               Commission            and ammunition are
                               regulations and the   properly
                               Commission-approved   maintained,
                               training and          function as
                               qualification plan.   designed, and are
                               The program must      properly stored and
                               include:              accounted for. In
                              (1) Semiannual test    order to certify
                               firing for accuracy   armorer, each
                               and functionality..   weapon manufacturer
                              (2) Firearms           provides training
                               maintenance           regarding the
                               procedures that       maintenance, care
                               include cleaning      and repair of
                               schedules and         weapons they
                               cleaning              provide to
                               requirements..        licensees. The
                              (3) Program activity   Commission believes
                               documentation..       that armorers must
                              (4) Control and        be certified to
                               Accountability        ensure that the
                               (Weapons and          quality of
                               ammunition)..         maintenance, care
                              (5) Firearm storage    and repair of the
                               requirements..        weapons are in
                              (6) Armorer            accordance with
                               certification..       manufacturers
                                                     specifications.
                              H. Records..........  This heading would
                                                     be added formatting
                                                     purposes.
Appendix B, Paragraph II.A.   H.1. The licensee     This requirement
 The licensee or the agent     shall retain all      would be added to
 shall maintain                reports, records,     replace the current
 documentation of the          or other              appendix B,
 current plan and retain       documentation         Paragraph II.A, for
 this documentation of the     required by this      consistency with
 plan as a record for three    appendix in           the proposed Sec.
 years after the close of      accordance with the   73.55(r), and to
 period for which the          requirements of       specify the records
 licensee possesses the        Sec.   73.55(r).      retention
 special nuclear material                            requirement. This
 under each license for                              requirement would
 which the plan was                                  be intended to
 developed and, if any                               consolidate all
 portion of the plan is                              records retention
 superseded, retain the                              requirements.
 material that is superseded
 for three years after each
 change.

[[Page 62827]]

 
Appendix B, Paragraph I.C.    H.2. The licensee     This requirement
 The physical fitness          shall retain each     would combine all
 qualification of each         individual's          record retention
 guard, armed response         initial               requirements
 person, armed escort, and     qualification         currently in
 other security force member   record for three      appendix B.
 shall be documented.          (3) years after
Appendix B, Paragraph I.C.     termination of the
 The licensee shall retain     individual's
 this documentation as a       employment and
 record for three years from   shall retain each
 the date of each              re-qualification
 qualification..               record for three
Appendix B, Paragraph I.E.     (3) years after it
 The licensee shall document   is superceded.
 each individual's physical
 requalification and shall
 retain this documentation
 of requalification as a
 record for three years from
 the date of each
 requalification..
Appendix B, Paragraph II.B.
 The qualifications of each
 individual must be
 documented..
Appendix B, Paragraph II.B.
 The licensee shall retain
 this documentation of each
 individual's qualifications
 as a record for three years
 after the employee ends
 employment in the security-
 related capacity and for
 three years after the close
 of period for which the
 licensee possesses the
 special nuclear material
 under each license, and
 superseded material for
 three years after each
 change..
Appendix B, Paragraph II.E.
 The results of
 requalification must be
 documented..
Appendix B, Paragraph II.E.
 The licensee shall retain
 this documentation of each
 individual's
 requalification as a record
 for three years from the
 date of each
 requalification..
Appendix B, Paragraph IV.
 The results of weapons
 qualification and
 requalification must be
 documented by
 requalification must be
 documented by the licensee
 or the licensee's agent..
Appendix B, Paragraph IV.
 The licensee shall retain
 this documentation of each
 qualification as a record
 for three years from the
 date of the qualification
 or requalification, as
 appropriate..
Appendix B, Paragraph I.F.    H.3. The licensee     This requirement
 The results of suitability,   shall document data   would combine two
 physical, and mental          and test results      requirements
 qualifications data and       from each             currently in
 test results must be          individual's          appendix B.
 documented by the licensee    suitability,
 or the licensee's agent.      physical, and
 The licensee or the agent     psychological
 shall retain this             qualification and
 documentation as a record     shall retain this
 for three years from the      documentation as a
 date of obtaining and         record for three
 recording these results.      years from the date
                               of obtaining and
                               recording these
                               results.
                              I. Audits and         This heading would
                               reviews.              be added to ensure
                                                     consistency with
                                                     the structure of
                                                     the appendix.
                              The licensee shall    This requirement
                               review the            would be added for
                               Commission-approved   consistency with
                               training and          audit and review
                               qualification plan    requirements of the
                               in accordance with    proposed 10 CFR
                               the requirements of   73.55(n).
                               Sec.   73.55(n).
Definitions.................  J. Definitions......  This heading would
                                                     be brought forward
                                                     from the current
                                                     rule and would be
                                                     renumbered
                                                     accordingly.
Terms defined in parts 50,    Terms defined in      This requirement
 70, and 73 of this chapter    parts 50, 70, and     would be brought
 have the same meaning when    73 of this chapter    forward from the
 used in this appendix.        have the same         current rule and
                               meaning when used     would be renumbered
                               in this appendix.     accordingly.
------------------------------------------------------------------------


[[Page 62828]]


                 Table 7.--Part 73 Appendix C Section II
           [Nuclear Power Plants Safeguards Contingency Plans]
------------------------------------------------------------------------
      Current language          Proposed language      Considerations
------------------------------------------------------------------------
Appendix C..................  Section II: Nuclear   This paragraph and
                               power plant           header would be
                               safeguards            added to
                               contingency plans.    independently
                                                     address Nuclear
                                                     Power Reactor
                                                     Safeguards
                                                     Contingency Plan
                                                     requirements
                                                     without impacting
                                                     other licensees.
                                                     The proposed
                                                     requirements
                                                     addressed in this
                                                     proposed paragraph
                                                     retain and
                                                     incorporate the
                                                     requirements of the
                                                     appendix C.
Introduction................  (a) Introduction....  This requirement
                                                     would be retained.
                              The safeguards        This requirement
                               contingency plan      would be added to
                               must describe how     generally describe
                               the criteria set      the Commission's
                               forth in this         expectations for
                               appendix will be      the content of the
                               satisfied through     safeguards
                               implementation and    contingency plan.
                               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........  Contents of the plan  This requirement
                                                     would be retained.
Each licensee safeguards      (b) Each safeguards   This requirement
 contingency plan shall        contingency plan      would be retained
 include five categories of    must include the      with editorial
 information:                  following twelve      changes. The
1. Background.                 (12) categories of    current categories
2. Generic Planning Base.      information:          of information (1)
3. Licensee Planning Base.    (1) Background......   through (5) would
4. Responsibility Matrix.     (2) Generic Planning   be retained with
5. Procedures.                 Base..                (5) being
                              (3) Licensee           reformatted to (12)
                               Planning Base..       and renamed
                              (4) Responsibility     ``Implementing
                               Matrix..              Procedures'' to
                              (5) Primary Security   update the
                               Functions..           terminology used to
                              (6) Response           identify this
                               Capabilities..        category of
                              (7) Protective         information. The
                               Strategy..            proposed categories
                              (8) Integrated         of information (5)
                               Response Plan..       through (11) would
                              (9) Threat Warning     be added to improve
                               System..              the usefulness and
                              (10) Performance       applicability of
                               Evaluation Program..  the safeguards
                              (11) Audits and        contingency plan.
                               Reviews..
                              (12) Implementing
                               Procedures..
1. Background...............  (c) Background......  This header would be
                                                     retained with
                                                     editorial changes.
Under the following topics,   (c)(1) Consistent     This requirement
 this category of              with the design       would be retained
 information shall identify    basis threat          with information
 and define the perceived      specified in Sec.     added to identify
 dangers and incidents with    73.1(a)(1),           specific goals,
 which the plan will deal      licensees shall       objectives and
 and the general way it will   identify and          general information
 handle these:                 describe the          for the development
                               perceived dangers,    of the safeguards
                               threats, and          contingency plan.
                               incidents against
                               which the
                               safeguards
                               contingency plan is
                               designed to protect.
1.b. Purpose of the Plan--A   (c)(2) Licensees      This requirement
 discussion of the general     shall describe the    would be retained
 aims and operational          general goals and     with editorial
 concepts underlying           operational           changes. The header
 implementation of the plan.   concepts underlying   ``Purpose of the
 Introduction: The goals of    implementation of     Plan'' would be
 licensee safeguards           the approved          deleted because
 contingency plans for         safeguards            purpose is
 responding to threats,        contingency plan,     described in the
 thefts, and radiological      to include, but not   proposed paragraph
 sabotage are:                 limited to the        (a)(2). The phrase
                               following:            ``A discussion of
                                                     the general aims
                                                     and'' would be
                                                     deleted because the
                                                     specific goals and
                                                     objectives
                                                     discussed in the
                                                     proposed paragraph
                                                     (c)(1) would
                                                     include ``general
                                                     aims'', therefore,
                                                     it is not necessary
                                                     to further break
                                                     this topic area
                                                     into individual
                                                     components. The
                                                     phrase ``, to
                                                     include, but not
                                                     limited to the
                                                     following'' would
                                                     be added to provide
                                                     flexibility for the
                                                     licensee to add
                                                     information not
                                                     specifically
                                                     listed.
1.c. Scope of the Plan--A     (c)(2)(i) The types   This requirement
 delineation of the types of   of incidents          would be retained
 incidents covered in the      covered.              with editorial
 plan.                                               changes. The header
                                                     ``Scope of the
                                                     Plan'' would be
                                                     deleted because the
                                                     scope of the
                                                     safeguards
                                                     contingency plan
                                                     under this proposed
                                                     rule would not be
                                                     limited to only a
                                                     delineation of the
                                                     types of incidents
                                                     covered in the
                                                     plan.
Introduction: A licensee      (c)(2)(ii) The        This requirement
 safeguards contingency plan   specific goals and    would be retained
 is a documented plan to       objectives to be      with additional
 give guidance to licensee     accomplished.         information added
 personnel in order to                               for the
 accomplish specific defined                         identification of
 objectives * * *.                                   specific goals and
                                                     objectives to be
                                                     accomplished to
                                                     ensure the plan is
                                                     appropriately
                                                     oriented toward
                                                     mission
                                                     accomplishment.

[[Page 62829]]

 
Background: Under the         (c)(2)(iii) The       This requirement
 following topics, this        different elements    would be retained
 category of information       of the onsite         with additional
 shall identify and define     physical protection   information added
 the perceived dangers and     program that are      to describe defense-
 incidents with which the      used to provide at    in-depth concepts
 plan will deal and the        all times the         as they apply at
 general way it will handle    capability to         each site and how
 these:                        detect, assess,       the individual
                               intercept,            components that
                               challenge, delay,     make up the onsite
                               and neutralize        physical protection
                               threats, up to and    program would work
                               including the         together to ensure
                               design basis threat   the capability to
                               relative to the       detect, assess,
                               perceived dangers     intercept,
                               and incidents         challenge, delay,
                               described in the      and neutralize the
                               Commission-approved   threats consistent
                               safeguards            with the proposed
                               contingency plan.     requirements of
                                                     Sec.   73.55.
Introduction: The goals of    (c)(2)(iv) How the    This requirement
 licensee safeguards           onsite response       would be retained
 contingency plans * * *       effort is organized   with additional
 are:                          and coordinated to    information added
(1) to organize the response   ensure that           to describe the
 effort at the licensee        licensees,            elements of a site
 level,.                       capability to         integrated response
                               prevent significant   to prevent
                               core damage and       significant core
                               spent fuel sabotage   damage and spent
                               is maintained         fuel sabotage.
                               throughout each
                               type of incident
                               covered.
Introduction: The goals of    (c)(2)(v) How the     This requirement
 licensee safeguards           onsite response       would be retained
 contingency plans * * *       effort is             with additional
 are:                          integrated to         information
(3) to ensure the              include specific      provided for an
 integration of the licensee   procedures,           integrated response
 response with the responses   guidance, and         as addressed in the
 by other entities, and;       strategies to         proposed paragraph
Introduction: It is            maintain or restore   (j). Reference to
 important to note that a      core cooling,         appendix E to part
 licensee's safeguards         containment, and      50 or to Sec.
 contingency plan is           spent fuel pool       70.22(I) would no
 intended to be                cooling               longer be required
 complimentary to any          capabilities using    because the
 emergency plans developed     existing or readily   performance
 pursuant to appendix E to     available resources   standard for this
 part 50 or to Sec.            (equipment and        proposed
 70.22(I) of this chapter.     personnel) that can   requirement would
                               be effectively        be broad enough to
                               implemented under     include these
                               the circumstances     references and any
                               associated with       other emergency
                               loss of large areas   plans developed as
                               of the plant due to   a result of
                               explosions or fires.  Commission mandated
                                                     enhancements.
1.d. Definitions--A list of   (c)(2)(vi) A list of  This requirement
 terms and their definitions   terms and their       would be retained
 used in describing            definitions used in   with editorial
 operational and technical     describing            changes. The header
 aspects of the plan.          operational and       ``Definitions'' is
                               technical aspects     deleted because it
                               of the approved       would no longer be
                               safeguards            required under the
                               contingency plan.     new format of this
                                                     proposed rule. The
                                                     phrase ``approved
                                                     safeguards
                                                     contingency'' would
                                                     be added to reflect
                                                     changes to the
                                                     terminology used to
                                                     describe this
                                                     topic.
2. Generic Planning Base....  (d) Generic planning  This requirement
                               base.                 would be retained.
2. Under the following        (d)(1) Licensees      This requirement
 topics, this category of      shall define the      would be retained
 information shall define      criteria for          with editorial
 the criteria for initiation   initiation and        changes. The phrase
 and termination of            termination of        ``Under the
 responses to safeguards       responses to          following topics''
 contingencies together with   threats to include    would be replaced
 the specific decisions,       the specific          with the phrase
 actions, and supporting       decisions, actions,   ``The licensee
 information needed to bring   and supporting        shall define'' to
 about such responses:         information needed    establish the
                               to respond to each    required action to
                               type of incident      be taken by the
                               covered by the        licensee. The
                               approved safeguards   phrase ``safeguards
                               contingency plan.     contingencies''
                                                     would be replaced
                                                     by the word
                                                     ``threats'' to
                                                     reflect changes in
                                                     the terminology
                                                     used to describe
                                                     this topic. The
                                                     phrase ``together
                                                     with'' would be
                                                     replaced with the
                                                     phrase ``to
                                                     include''. The
                                                     phrase ``bring
                                                     about such
                                                     responses'' is
                                                     replaced by the
                                                     phrase ``respond to
                                                     each type of
                                                     incident covered by
                                                     the approved
                                                     safeguards
                                                     contingency plan.''
2.a. Such events may include  (d)(2) Licensees      This requirement
 alarms or other indications   shall ensure early    would be retained
 signaling penetration of a    detection of          with editorial
 protected area, vital area,   unauthorized          changes. Reference
 or material access area;      activities and        to specific site
 material control or           shall respond to      areas would be
 material accounting           all alarms or other   deleted. The
 indications of material       indications of a      licensee would be
 missing or unaccounted for;   threat condition      required to respond
 or threat indications--       such as, tampering,   to unauthorized
 either verbal, such as        bomb threats,         activities where
 telephoned threats, or        unauthorized          detection has
 implied, such as escalating   barrier penetration   occurred. Examples
 civil disturbances.           (vehicle or           provided would be
                               personnel), missing   revised for
                               or unaccounted for    consistency with
                               nuclear material,     the terminology
                               escalating civil      used in the
                               disturbances,         proposed rule and
                               imminent threat       would not be
                               notification, or      intended to be all
                               other threat          inclusive.
                               warnings.
Appendix C--Introduction. An  (d)(3) The            This requirement
 acceptable safeguards         safeguards            would be retained
 contingency plan must         contingency plan      with editorial
 contain:                      must:.                changes. The phrase
                                                     ``an acceptable''
                                                     is deleted because
                                                     the requirements of
                                                     this proposed rule
                                                     address what would
                                                     be acceptable.

[[Page 62830]]

 
2.a. Identification of those  (d)(3)(i) Identify    This requirement
 events that will be used      the types of events   would be retained
 for signaling the beginning   that signal the       with editorial
 or aggravation of a           beginning or          changes. The phrase
 safeguards contingency        initiation of a       ``according to how
 according to how they are     safeguards            they are perceived
 perceived initially by        contingency event.    initially by
 licensee's personnel.                               licensee's
                                                     personnel'' would
                                                     be deleted because
                                                     the concept of
                                                     perceived is
                                                     captured through
                                                     assessment.
Introduction: The goals of    (d)(3)(ii) Provide    This requirement
 licensee safeguards           predetermined and     would be retained
 contingency plans * * *       structured            with editorial
 are: (2) to provide           responses to each     changes. The phrase
 predetermined, structured     type of postulated    ``safeguards
 responses by licensees to     event.                contingencies'' has
 safeguards contingencies,                           been replaced with
                                                     ``each type of
                                                     postulated event''
                                                     to include a wider
                                                     range of potential
                                                     events.
2.b. Definition of the        (d)(3)(iii) Define    This requirement
 specific objective to be      specific goals and    would be retained
 accomplished relative to      objectives for        with editorial
 each identified event.        response to each      changes. The word
                               postulated event.     ``goals'' would be
                                                     added for
                                                     consistency with
                                                     the proposed
                                                     Paragraph (a)(3).
2.b.(1) a predetermined set   (d)(3)(iv) Identify   This requirement
 of decisions and actions to   the predetermined     would be retained
 satisfy stated objectives,    decisions and         with more specific
                               actions which are     information being
                               required to satisfy   provided to ensure
                               the written goals     that written goals
                               and objectives for    and objectives are
                               each postulated       identified for each
                               event.                postulated event.
2.b.(2) an identification of  (d)(3)(v) Identify    This requirement
 the data, criteria,           the data, criteria,   would be retained
 procedures, and mechanisms    procedures,           with editorial
 necessary to efficiently      mechanisms and        changes. The word
 implement the decisions,      logistical support    ``efficiently''
 and;                          necessary to          would be deleted
                               implement the         because it is
                               predetermined         considered to be an
                               decisions and         arbitrary term that
                               actions.              would not describe
                                                     the performance
                                                     standard of this
                                                     proposed
                                                     requirement.
2.b.(3) a stipulation of the  (d)(3)(vi) Identify   This requirement
 individual, group, or         the individuals,      would be retained
 organizational entity         groups, or            with editorial
 responsible for each          organizational        changes. The use of
 decision and action.          entities              the word
                               responsible for       ``predetermined''
                               each predetermined    has been inserted
                               decision and action.  to organizationally
                                                     align decisions and
                                                     actions to
                                                     responsible
                                                     entities.
2.b.(3) a stipulation of the  (d)(3)(vii) Define    This requirement
 individual, group, or         the command-and-      would be retained
 organizational entity         control structure     with editorial
 responsible for each          required to           changes. The
 decision and action.          coordinate each       required elements
                               individual, group,    of command and
                               or organizational     control have been
                               entity carrying out   added to establish
                               predetermined         clear lines of
                               actions.              authority.
Introduction: The goals of    (d)(3)(viii)          This requirement has
 licensee safeguards           Describe how          been retained with
 contingency plans * * *       effectiveness will    editorial changes.
 are: (4) to achieve a         be measured and       A change has been
 measurable performance in     demonstrated to       made to replace the
 response capability.          include the           word ``response''
                               effectiveness of      with the phrase
                               the capability to     ``detect, assess,
                               detect, assess,       intercept,
                               intercept,            challenge, delay,
                               challenge, delay,     and neutralize'' to
                               and neutralize        provide a more
                               threats, up to and    detailed
                               including the         description of
                               design basis threat.  system
                                                     effectiveness.
3. Licensee Planning Base...  (e) Licensee          This requirement
                               planning base.        would be retained.
This category of information  (e) Licensees shall   This requirement
 shall include the factors     describe the site-    would be retained
 affecting contingency         specific factors      with editorial
 planning that are specific    affecting             changes. The phrase
 for each facility or means    contingency           ``or means of
 of transportation. To the     planning and shall    transportation'' is
 extent that the topics are    develop plans for     deleted because
 treated in adequate detail    actions to be taken   this phrase does
 in the licensee's approved    in response to        not apply to
 physical security plan,       postulated threats.   nuclear power
 they may be incorporated by   The following         reactor licensees.
 cross reference to that       topics must be        The phrase ``To the
 plan. The following topics    addressed:            extent that the
 should be addressed:                                topics are treated
                                                     in adequate detail
                                                     in the licensee's
                                                     approved physical
                                                     security plan, they
                                                     may be incorporated
                                                     by cross reference
                                                     to that plan''
                                                     would be deleted
                                                     because this
                                                     information would
                                                     be required to be
                                                     specifically
                                                     detailed in
                                                     contingency
                                                     planning.
3.a. Licensee's               (e)(1)                This requirement has
 Organizational Structure      Organizational        been retained with
 for Contingency Responses.    Structure. The        more detailed
 A delineation of the          safeguards            information being
 organization's chain of       contingency plan      provided for the
 command and delegation of     must describe the     integration of
 authority as these apply to   organization's        command groups,
 safeguards contingencies.     chain of command      succession of
                               and delegation of     command, and
                               authority during      control functions.
                               safeguards
                               contingencies, to
                               include a
                               description of how
                               command-and-control
                               functions will be
                               coordinated and
                               maintained.
3.b. Physical Layout........  (e)(2) Physical       This requirement
                               layout.               would be retained.
3.b.(i) Fixed Sites. A        (e)(2)(i) The         This requirement
 description of the physical   safeguards            would be retained
 structures and their          contingency plan      with editorial
 location on the site * * *.   must include a site   changes. The header
                               description, to       ``Fixed Sites''
                               include maps and      would be deleted
                               drawings, of the      because it would
                               physical structures   not be necessary
                               and their locations.  for the purpose of
                                                     this proposed rule.
                                                     Specific
                                                     information to
                                                     permit orientation
                                                     and familiarization
                                                     of the site would
                                                     also be included.

[[Page 62831]]

 
3.b.(i) A description * * *   (e)(2)(i)(A) Site     This requirement has
 and a description of the      Description. The      been retained with
 site in relation to nearby    site description      more detailed
 towns, roads, and other       must address the      information being
 environmental features        site location in      included to
 important to the effective    relation to nearby    consider the site's
 coordination of response      towns,                geographic
 operations.                   transportation        relationship to the
                               routes (e.g., rail,   community and
                               water, air, roads),   environment.
                               pipelines,
                               hazardous material
                               facilities, onsite
                               independent spent
                               fuel storage
                               installations, and
                               pertinent
                               environmental
                               features that may
                               have an effect upon
                               coordination of
                               response operations.
3.b.(i) Particular emphasis   (e)(2)(i)(B)          This requirement
 should be placed on main      Approaches.           would be retained
 and alternate entry routes    Particular emphasis   with editorial
 for law enforcement           must be placed on     changes. The word
 assistance forces and the     main and alternate    ``should'' has been
 location of control points    entry routes for      replaced with the
 for marshaling and            law enforcement or    word ``must'' to
 coordinating response         other offsite         establish this
 activities.                   support agencies      language as a
                               and the location of   requirement.
                               control points for
                               marshaling and
                               coordinating
                               response activities.
                              (e)(2)(ii) Licensees  This requirement
                               with co-located       would be retained
                               Independent Spent     with more detailed
                               Fuel Storage          information being
                               Installations shall   provided for
                               describe response     response to
                               procedures for both   incidents occurring
                               the operating         outside the
                               reactor and the       protected area and
                               Independent Spent     for the utilization
                               Fuel Storage          of assets.
                               Installation to
                               include how onsite
                               and offsite
                               responders will be
                               coordinated and
                               used for incidents
                               occurring outside
                               the protected area.
3.c. Safeguards Systems       (e)(3) Safeguards     This requirement
 Hardware. A description of    Systems Hardware.     would be retained
 the physical security and     The safeguards        with editorial
 accounting system hardware    contingency plan      changes to specify
 that influence how the        must contain a        hardware for
 licensee will respond to an   description of the    material
 event. Examples of systems    physical security     accountability.
 to be discussed are           and material
 communications, alarms,       accounting system
 locks, seals, area access,    hardware that
 armaments, and surveillance.  influence how the
                               licensee will
                               respond to an event.
3.d. Law Enforcement          (e)(4) Law            This requirement
 Assistance.                   enforcement           would be retained.
                               assistance.
3.d. A listing of available   (e)(4)(i) The         This requirement
 local law enforcement         safeguards            would be retained
 agencies and a description    contingency plan      with more detailed
 of their response             must contain a        information being
 capabilities and their        listing of            provided for
 criteria for response; and    available local,      documenting
 * * *.                        State, and Federal    supporting agency
                               law enforcement       capabilities and
                               agencies and a        assets.
                               general description
                               of response
                               capabilities, to
                               include number of
                               personnel, types of
                               weapons, and
                               estimated response
                               time lines.
3.d. * * * and a discussion   (e)(4)(ii) The        This requirement
 of working agreements or      safeguards            would be retained
 arrangements for              contingency plan      with the addition
 communicating with these      must contain a        of written
 agencies.                     discussion of         information to be
                               working agreements    included in working
                               with offsite law      agreements with
                               enforcement           offsite law
                               agencies to include   enforcement
                               criteria for          agencies.
                               response, command
                               and control
                               protocols, and
                               communication
                               procedures.
3.e. Policy Constraints and   (e)(5) Policy         This requirement
 Assumptions. A discussion     constraints and       would be retained.
 of State laws, local          assumptions. The      The text of 3.e.(2)
 ordinances, and company       safeguards            ``Use of Employee
 policies and practices that   contingency plan      property'' would be
 govern licensee response to   must contain a        deleted because
 incidents. Examples that      discussion of State   this information
 may be discussed include:     laws, local           would not be
(1) Use of deadly force;....   ordinances, and       considered relevant
(2) Use of employee            company policies      for discussion
 property;.                    and practices that    under policy
(3) Use of off-duty            govern licensee       constraints and
 employees;.                   response to           assumptions. The
(4) Site security              incidents and must    requirement would
 jurisdictional boundaries..   include, but is not   be added to
                               limited to, the       implement
                               following.            applicable
                              (i) Use of deadly      provisions from the
                               force..               EPAct of 2005. This
                              (ii) Recall of off-    requirement is not
                               duty employees..      applicable to
                              (iii) Site             licensees that
                               jurisdictional        possess such
                               boundaries..          weaponry under
                              (iv) Use of enhanced   authority separate
                               weapons, if           from EPAct 2005.
                               applicable..
3.f. Administrative and       (e)(6)                This requirement
 Logistical Considerations--   Administrative and    would be retained.
                               logistical
                               considerations.
3.f. Descriptions of          (e)(6)(i) The         This requirement
 licensee practices that may   safeguards            would be retained
 have an influence on the      contingency plan      with information
 response to safeguards        must contain a        added to reflect
 contingency events. The       description of        changes in the
 considerations shall          licensee practices    terminology used to
 include a description of      which influence how   describe this
 the procedures that will be   the licensee          topic.
 used for ensuring that all    responds to a
 equipment needed to effect    threat to include,
 a successful response to a    but not limited to,
 safeguards contingency will   a description of
 be easily accessible, in      the procedures that
 good working order, and in    will be used for
 sufficient supply to          ensuring that all
 provide redundancy in case    equipment needed to
 of equipment failure.         effect a successful
                               response will be
                               readily accessible,
                               in good working
                               order, and in
                               sufficient supply
                               to provide
                               redundancy in case
                               of equipment
                               failure.
4. Responsibility Matrix....  (f) Responsibility    This requirement
                               matrix.               would be retained.

[[Page 62832]]

 
This category of information  (f)(1) The            This requirement
 consists of detailed          safeguards            would be retained
 identification of the         contingency plan      with information
 organizational entities       must describe the     added to reflect
 responsible for each          organizational        changes in the
 decision and action           entities that are     terminology used to
 associated with specific      responsible for       describe this
 responses to safeguards       each decision and     topic.
 contingencies.                action associated
                               with responses to
                               threats.
For each initiating event, a  (f)(1)(i) For each    This requirement
 tabulation shall be made      identified            would be retained
 for each response entity      initiating event, a   with editorial
 depicting the assignment of   tabulation must be    changes. The
 responsibilities for all      made for each         parenthetical
 decisions and actions to be   response depicting    phrase ``(Not all
 taken in response to the      the assignment of     entities will have
 initiating event. (Not all    responsibilities      assigned
 entities will have assigned   for all decisions     responsibilities
 responsibilities for any      and actions to be     for any given
 given initiating event.).     taken.                initiating event)''
                                                     would be deleted
                                                     because it is
                                                     considered to be
                                                     constricting
                                                     information.
The tabulations in the        (f)(1)(ii) The        This requirement
 Responsibility Matrix shall   tabulations           would be retained
 provide an overall picture    described in the      with editorial
 of the response actions and   responsibility        changes. The word
 their interrelationships.     matrix must provide   ``shall'' has been
                               an overall            replaced with
                               description of        ``must'' to
                               response actions      establish this
                               and                   language as a
                               interrelationships.   requirement.
Safeguards responsibilities   (f)(2) Licensees      This requirement
 shall be assigned in a        shall ensure that     would be retained
 manner that precludes         duties and            with editorial
 conflict in duties or         responsibilities      changes.
 responsibilities that would   required by the
 prevent the execution of      approved safeguards
 the plan in any safeguards    contingency plan do
 contingency.                  not conflict with
                               or prevent the
                               execution of other
                               site emergency
                               plans.
Safeguards responsibilities   (f)(3) Licensees      This requirement
 shall be assigned in a        shall identify and    would be retained
 manner that precludes         discuss potential     with added written
 conflict in duties or         areas of conflict     discussion (text)
 responsibilities that would   between site plans    in the plan to
 prevent the execution of      in the integrated     document
 the plan in any safeguards    response plan         consideration of
 contingency.                  required by Section   other plans to
                               II(b)(8) of this      preclude conflict
                               appendix.             between multiple
                                                     plans.
                              (f)(4) Licensees      This requirement
                               shall address         would be added to
                               safety/security       address
                               interface issues in   communication
                               accordance with the   between licensee
                               requirements of       safety and security
                               Sec.   73.58 to       entities, to ensure
                               ensure activities     that activities
                               by the security       involving one
                               organization,         organizational
                               maintenance,          entity do not
                               operations, and       adversely affect
                               other onsite          another. Details
                               entities are          would be addressed
                               coordinated in a      in the proposed
                               manner that           Sec.   73.58 safety/
                               precludes conflict    security interface.
                               during both normal
                               and emergency
                               conditions.
                              (g) Primary security  This requirement
                               functions.            would be added to
                                                     improve the
                                                     usefulness and
                                                     applicability of
                                                     the safeguards
                                                     contingency plan.
Sec.   73.55(h)(4)(iii)(A)    (g)(1) Licensees      This requirement
 Requiring responding guards   shall establish and   would be retained
 or other armed response       maintain at all       with editorial
 personnel to interpose        times, the            changes. The phrase
 themselves between vital      capability to         ``radiological
 areas and material access     detect, assess, and   sabotage'' is
 areas and any adversary       respond to all        replaced with the
 attempting entry for the      threats to the        phrase ``all
 purpose of radiological       facility up to and    threats up to and
 sabotage or theft of          including the         including the
 special nuclear material      design basis threat.  design basis
 and to intercept any person                         threat'' to more
 exiting with special                                accurately
 nuclear material, and, * *                          represent the
 *.                                                  standard that the
                                                     licensee also
                                                     protect against
                                                     perceived threats
                                                     not contained in
                                                     the design basis
                                                     threat.
Sec.   73.55(h)(6) To         (g)(2) To facilitate  This requirement
 facilitate initial response   initial response to   would be retained
 to detection of penetration   a threat, licensees   with editorial
 of the protected area and     shall ensure the      changes. Early
 assessment of the existence   capability to         detection has been
 of a threat, a capability     observe all areas     added to permit a
 of observing the isolation    of the facility in    timely and
 zones and the physical        a manner that         effective response.
 barrier at the perimeter of   ensures early         The goal is to
 the protected area shall be   detection of          observe and detect
 provided, preferably by       unauthorized          potential threats
 means of closed circuit       activities and        as far from the
 television or by other        limits exposure of    facility as
 suitable means which limit    responding            possible.
 exposure of responding        personnel to
 personnel to possible         possible attack.
 attack.
                              (g)(3) Licensees      This requirement
                               shall generally       would be added to
                               describe how the      describe the
                               primary security      concept of defense-
                               functions are         in-depth for
                               integrated to         improved system
                               provide defense-in-   effectiveness.
                               depth and are
                               maintained despite
                               the loss of any
                               single element of
                               the onsite physical
                               protection program.
                              (g)(4) Licensees'     This requirement
                               description must      would be added to
                               begin with onsite     further describe
                               physical protection   the concept of
                               measures              defense-in-depth
                               implemented in the    for improved system
                               outermost facility    effectiveness.
                               perimeter, and must
                               move inward through
                               those measures
                               implemented to
                               protect vital and
                               target set
                               equipment.
                              (h) Response          This requirement
                               capabilities.         would be added.

[[Page 62833]]

 
Sec.   73.55(h)(4)(iii)(A)    (h)(1) Licensees      This requirement
 Requiring responding guards   shall establish and   would be retained
 or other armed response       maintain at all       with editorial
 personnel to interpose        times the             changes. The phrase
 themselves between vital      capability to         ``radiological
 areas and material access     intercept,            sabotage'' is
 areas and any adversary       challenge, delay,     replaced with the
 attempting entry for the      and neutralize        phrase ``all
 purpose of radiological       threats up to and     threats up to and
 sabotage or theft of          up to and including   including the
 special nuclear material      the design basis      design basis
 and to intercept any person   threat.               threat'' for
 exiting with special                                consistency with
 nuclear material, and, * *                          the proposed Sec.
 *.                                                  73.55.
Appendix C, Paragraph 4. For  (h)(2) Licensees      The requirement
 each initiating event, a      shall identify the    would be retained
 tabulation shall be made      personnel,            with information
 for each response entity      equipment, and        added to identify
 depicting the assignment of   resources necessary   the allocation of
 responsibilities for all      to perform the        personnel and the
 decisions and actions to be   actions required to   availability of
 taken in response to the      prevent significant   assets required to
 initiating event.             core damage and       be implemented in
                               spent fuel sabotage   response to
                               in response to        postulated events.
                               postulated events.
                              (h)(3) Licensees      This requirement
                               shall ensure that     would be added. The
                               predetermined         word
                               actions can be        ``predetermined''
                               completed under the   is used to provide
                               postulated            for the
                               conditions.           accomplishment of
                                                     automatic actions
                                                     to achieve the
                                                     security mission.
Sec.   73.55(h)(3) The total  (h)(4) Licensees      This requirement
 number of guards, and         shall provide at      would be retained
 armed, trained personnel      all times an armed    with editorial
 immediately available at      response team         changes. The
 the facility to fulfill       comprised of          requirement would
 these response requirements   trained and           be based on Sec.
 shall nominally be ten        qualified personnel   73.55(h)(3) and
 (10), unless specifically     who possess the       would describe the
 required otherwise on a       knowledge, skills,    performance
 case by case basis by the     abilities, and        standard for
 Commission; however, this     equipment required    personnel assigned
 number may not be reduced     to implement the      armed response
 to less than five (5)         Commission-approved   duties.
 guards.                       safeguards
                               contingency plan
                               and site protective
                               strategy. The plan
                               must include a
                               description of the
                               armed response team
                               including the
                               following:
Sec.   73.55(h)(3) The total  (h)(4)(i) The         This requirement
 number of guards, and         authorized minimum    would be retained
 armed, trained personnel      number of armed       with information
 immediately available at      responders,           added to establish
 the facility to fulfill       available at all      the number of
 these response requirements   times inside the      personnel required
 shall nominally be ten        protected area.       to be assigned
 (10), unless specifically                           armed response
 required otherwise on a                             duties within the
 case by case basis by the                           protected area.
 Commission; however, this                           This is intended to
 number may not be reduced                           ensure that
 to less than five (5)                               predetermined
 guards.                                             positions
                                                     documented in
                                                     approved
                                                     contingency plans
                                                     and are occupied
                                                     during threat
                                                     situations.
Sec.   73.55(h)(3) The total  (h)(4)(ii) The        This requirement
 number of guards, and         authorized minimum    would be retained
 armed, trained personnel      number of armed       with information
 immediately available at      security officers,    added to establish
 the facility to fulfill       available onsite at   the number of
 these response requirements   all times.            personnel required
 shall nominally be ten                              to be assigned
 (10), unless specifically                           armed response
 required otherwise on a                             duties on site.
 case by case basis by the                           This is intended to
 Commission; however, this                           ensure that
 number may not be reduced                           predetermined
 to less than five (5)                               positions
 guards.                                             documented in
                                                     approved
                                                     contingency plans
                                                     and are occupied
                                                     during threat
                                                     situations.
                              (h)(5) The total      This requirement
                               number of armed       would be added to
                               responders and        document the number
                               armed security        of armed response
                               officers must be      personnel and their
                               documented in the     roles and
                               approved security     relationships to
                               plans and             the protective
                               documented as a       strategy.
                               component of the
                               protective strategy.
                              (h)(6) Licensees      This requirement
                               shall ensure that     would be added to
                               individuals           ensure assigned
                               assigned duties and   personnel are
                               responsibilities to   trained to perform
                               implement the         their assigned
                               Safeguards            duties and
                               Contingency Plan      responsibilities.
                               are trained and
                               qualified in
                               accordance with
                               appendix B of this
                               part and the
                               Commission-approved
                               security plans.
                              (i) Protective        This header is added
                               strategy.             for formatting
                                                     purposes.
                              (i)(1) Licensees      This requirement
                               shall develop,        would be added to
                               maintain, and         provide tactical
                               implement a written   planning
                               protective strategy   information for the
                               that describes the    armed response team
                               deployment of the     and each individual
                               armed response team   in response to
                               relative to the       threats.
                               general goals,
                               operational
                               concepts,
                               performance
                               objectives, and
                               specific actions to
                               be accomplished by
                               each individual in
                               response to
                               postulated events.
                              (i)(2) The            This header is added
                               protective strategy   for formatting
                               must:                 purposes.

[[Page 62834]]

 
Sec.   73.55(h)(4)(iii)(A)    (i)(2)(i) Be          This requirement
 Requiring responding guards   designed to prevent   would be retained
 or other armed response       significant core      and revised to
 personnel to interpose        damage and spent      describe the design
 themselves between vital      fuel sabotage         of the licensee
 areas and material access     through the           protective strategy
 areas and any adversary       coordinated           consistent with the
 attempting entry for the      implementation of     proposed Sec.
 purpose of radiological       specific actions      73.55(b)(2). Most
 sabotage or theft of          and strategies        significantly, the
 special nuclear material      required to           word ``interpose''
 and to intercept any person   intercept,            would be replaced
 exiting with special          challenge, delay,     by the phrase
 nuclear material, and, * *    and neutralize        ``intercept,
 *.                            threats up to and     challenge, delay,
                               including the         and neutralize'' to
                               design basis threat   provide a
                               of radiological       measurable
                               sabotage.             performance based
                                                     requirement that
                                                     identifies the
                                                     specific actions
                                                     required to satisfy
                                                     the action
                                                     ``interpose'' as
                                                     required by the
                                                     current Sec.
                                                     73.55(h)(4)(iii)(A)
                                                     , and to provide a
                                                     measurable
                                                     performance based
                                                     requirement against
                                                     which the
                                                     effectiveness of
                                                     the licensee
                                                     protective strategy
                                                     could be measured.
                              (i)(2)(ii) Describe   This requirement
                               and consider site     would be added
                               specific              based on changes to
                               conditions, to        the threat
                               include but not       environment the
                               limited to,           Commission has
                               facility layout,      determined that it
                               the location of       is necessary to
                               target set            emphasize
                               equipment and         consideration of
                               elements, target      the listed areas
                               set equipment that    for design and
                               is in maintenance     planning purposes.
                               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.
                              (i)(2)(iii) Identify  This requirement
                               predetermined         would be added to
                               actions and time      identify
                               lines for the         ``predetermined
                               deployment of armed   actions'' to
                               personnel.            provide for
                                                     automatic actions
                                                     toward
                                                     accomplishing the
                                                     security mission.
                              (i)(2)(iv) Provide    This requirement
                               bullet resisting      would be added to
                               protected positions   provide a
                               with appropriate      performance based
                               fields of fire.       requirement for the
                                                     placement/location
                                                     of Bullet-Resisting
                                                     Enclosures (BREs).
                                                     This proposed
                                                     requirement would
                                                     ensure that each
                                                     position would be
                                                     of sufficient
                                                     strength to enhance
                                                     survivability of
                                                     armed personnel
                                                     against the design
                                                     basis threat and
                                                     would ensure that
                                                     assigned areas of
                                                     responsibility are
                                                     clearly visible and
                                                     within the
                                                     functional
                                                     capability of
                                                     assigned weapons.
Sec.   73.55(h)(6) To         (i)(2)(v) Limit       This requirement
 facilitate initial response   exposure of           would be retained
 to detection of penetration   security personnel    with editorial
 * * * which limit exposure    to possible attack.   changes added to
 of responding personnel to                          describe the
 possible attack.                                    ballistic
                                                     protection or use
                                                     of available cover
                                                     and concealment for
                                                     security personnel.
Sec.   73.55(f)(1) Each       (i)(3) Licensees      This requirement
 guard, watchman or armed      shall provide a       would be retained
 response individual on duty   command and control   with editorial
 shall be capable of           structure, to         changes added to
 maintaining continuous        include response by   describe the
 communication with an         off-site law          elements of
 individual in each            enforcement           integrated incident
 continuously manned alarm     agencies, which       command during
 station required by           ensures that          postulated events.
 paragraph (e)(1) of this      decisions and
 section, who shall be         actions are
 capable of calling for        coordinated and
 assistance from other         communicated in a
 guards, watchmen, and armed   timely manner and
 response personnel and from   that facilitates
 local law enforcement         response in
 authorities.                  accordance with the
                               integrated response
                               plan.
                              (j) Integrated        This new header
                               Response Plan.        would be added for
                                                     formatting
                                                     purposes.
Introduction: It is           (j)(1) Licensees      This requirement
 important to note that a      shall document,       would be retained
 licensee's safeguards         maintain, and         with editorial
 contingency plan is           implement an          changes. The
 intended to be                Integrated Response   requirement would
 complimentary to any          Plan which must       describe integrated
 emergency plans developed     identify, describe,   and coordinated
 pursuant to appendix E to     and coordinate        responses to
 part 50 or to Sec.            actions to be taken   threats.
 70.22(i) of this chapter.     by licensee
                               personnel and
                               offsite agencies
                               during a
                               contingency event
                               or other emergency
                               situation.
                              (j)(2) The            This requirement
                               Integrated Response   would be added to
                               Plan must:            improve the
                                                     usefulness and
                                                     applicability of
                                                     the safeguards
                                                     contingency plan.
                              (j)(2)(i) Be          This requirement
                               designed to           would be added to
                               integrate and         ensure the design
                               coordinate all        of an integrated
                               actions to be taken   response plan that
                               in response to an     has been developed
                               emergency event in    in coordination and
                               a manner that will    conjunction with
                               ensure that each      other plans.
                               site plan and
                               procedure can be
                               successfully
                               implemented without
                               conflict from other
                               plans and
                               procedures.

[[Page 62835]]

 
                              (j)(2)(ii) Include    This requirement
                               specific              would be added to
                               procedures,           ensure the design
                               guidance, and         of an integrated
                               strategies to         response plan that
                               maintain or restore   addresses a myriad
                               core cooling,         of postulated
                               containment, and      events within the
                               spent fuel pool       design basis threat
                               cooling               environment and to
                               capabilities using    develop mitigating
                               existing or readily   strategies for
                               available resources   events that may
                               (equipment and        exceed the design
                               personnel) that can   basis threat.
                               be effectively
                               implemented under
                               the circumstances
                               associated with
                               loss of large areas
                               of the plant due to
                               explosions or fires.
                              (j)(2)(iii) Ensure    This requirement
                               that onsite           would be added to
                               staffing levels,      describe the
                               facilities, and       availability of
                               equipment required    systems and assets
                               for response to any   to ensure a high
                               identified event,     state of readiness
                               are readily           is maintained for
                               available and         postulated events.
                               capable of
                               fulfilling their
                               intended purpose.
                              (j)(2)(iv) Provide    This requirement
                               emergency action      would be added to
                               levels to ensure      ensure that event
                               that threats result   information is
                               in at least a         communicated in a
                               notification of       timely and accurate
                               unusual event and     manner.
                               implement
                               procedures for the
                               assignment of a
                               predetermined
                               classification to
                               specific events.
                              (j)(2)(v) Include     This requirement
                               specific              would be added to
                               procedures,           consider advanced
                               guidance, and         threats related to
                               strategies            computer
                               describing cyber      technology.
                               incident response
                               and recovery.
                              (j)(3) Licensees      This new header is
                               shall:                added for
                                                     formatting
                                                     purposes.
                              (j)(3)(i) Reconfirm   This requirement
                               on an annual basis,   would be added to
                               liaison with local,   establish a
                               State, and Federal    periodic standard
                               law enforcement       for maintaining
                               agencies,             liaison with off-
                               established in        site law
                               accordance with       enforcement
                               Sec.   73.55(k)(8),   resources to ensure
                               to include            a continual and
                               communication         ongoing
                               protocols, command    understanding of
                               and control           all aspects of a
                               structure,            response to
                               marshaling            potential threats.
                               locations,
                               estimated response
                               times, and
                               anticipated
                               response
                               capabilities and
                               specialized
                               equipment.
                              (j)(3)(ii) Provide    This requirement
                               required training     would be added to
                               to include            provide for
                               simulator training    training of
                               for the operations    personnel to ensure
                               response to           they possess the
                               security events       knowledge, skills,
                               (e.g. loss of         and abilities
                               ultimate heat sink)   required to perform
                               for nuclear power     assigned duties and
                               reactor personnel     responsibilities.
                               in accordance with
                               site procedures to
                               ensure the
                               operational
                               readiness of
                               personnel
                               commensurate with
                               assigned duties and
                               responsibilities.
                              (j)(3)(iii)           This requirement
                               Periodically train    would be added to
                               personnel in          provide training of
                               accordance with       personnel to ensure
                               site procedures to    they possess the
                               respond to a          tactical and
                               hostage or duress     negotiations
                               situation.            skills, knowledge
                                                     and abilities
                                                     needed to respond
                                                     to a hostage or
                                                     duress situation.
                              (j)(3)(iv) Determine  This requirement
                               the possible          would be added to
                               effects that nearby   provide for the
                               hazardous material    identification of
                               facilities may have   site specific
                               upon site response    operational
                               plans and modify      conditions that may
                               response plans,       affect how the
                               procedures, and       licensee responds
                               equipment as          to threats.
                               necessary.
                              (j)(3)(v) Ensure      This requirement
                               that identified       would be added to
                               actions are           ensure that actions
                               achievable under      identified in the
                               postulated            safeguards
                               conditions.           contingency plan,
                                                     protective
                                                     strategy,
                                                     integrated response
                                                     plan, and any other
                                                     emergency plans,
                                                     are achievable
                                                     under postulated
                                                     conditions.
                              (k) Threat warning    This new header is
                               system.               added for
                                                     formatting
                                                     purposes.
                              (k)(1) Licensees      This requirement
                               shall implement a     would be added to
                               ``Threat warning      provide for
                               system'' which        progressive steps
                               identifies specific   to gradually
                               graduated             enhance security
                               protective measures   based on perceived
                               and actions to be     or identified
                               taken to increase     threat.
                               licensee
                               preparedness
                               against a
                               heightened or
                               imminent threat of
                               attack.

[[Page 62836]]

 
                              (k)(2) Licensees      This requirement
                               shall ensure that     would be added to
                               the specific          ensure preplanned
                               protective measures   actions (protective
                               and actions           measures) are
                               identified for each   consistent with
                               threat level are      other plans. The
                               consistent with the   Commission has
                               Commission-approved   determined that
                               safeguards            because of changes
                               contingency plan,     to the threat
                               and other site        environment this
                               security, and         proposed
                               emergency plans and   requirement would
                               procedures.           be needed to
                                                     emphasize the
                                                     importance of
                                                     coordinating all
                                                     site plans in a
                                                     manner that
                                                     precludes conflict.
                              (k)(3) Upon           This requirement
                               notification by an    would be added to
                               authorized            provide for the
                               representative of     implementation of
                               the Commission,       preplanned actions
                               licensees shall       in response to
                               implement the         specific threat
                               specific protective   levels or
                               measures assigned     conditions.
                               to the threat level
                               indicated by the
                               Commission
                               representative.
                              (l) Performance       This new header
                               Evaluation Program.   would be added for
                                                     formatting
                                                     purposes.
                              (l)(1) Licensees      This requirement
                               shall document and    would be added to
                               maintain a            ensure that the
                               Performance           licensee maintains
                               Evaluation Program    a Performance
                               that describes how    Evaluation Plan to
                               the licensee will     test, evaluate,
                               demonstrate and       determine and
                               assess the            improve upon the
                               effectiveness of      effectiveness of
                               the onsite physical   onsite physical
                               protection program    protection program
                               to prevent            to protect the
                               significant core      identified targets
                               damage and spent      and target sets in
                               fuel sabotage, and    accordance with the
                               to include the        security mission.
                               capability of armed
                               personnel to carry
                               out their assigned
                               duties and
                               responsibilities.
                              (l)(2) The            This requirement
                               Performance           would be added to
                               Evaluation Program    establish
                               must include          procedures and
                               procedures for the    frequencies for the
                               conduct of            conduct of drills
                               quarterly drills      and exercises to
                               and annual force-on-  ensure that system
                               force exercises       effectiveness
                               that are designed     determinations are
                               to demonstrate the    made.
                               effectiveness of
                               the licensee's
                               capability to
                               detect, assess,
                               intercept,
                               challenge, delay,
                               and neutralize a
                               simulated threat.
                              (l)(2)(i) The scope   This requirement
                               of drills conducted   would be added to
                               for training          provide for the
                               purposes must be      conduct of drills
                               determined by the     for training
                               licensee as needed,   purposes only.
                               and can be limited
                               to specific
                               portions of the
                               site protective
                               strategy.
                              (l)(2)(ii) Drills,    This requirement
                               exercises, and        would be added to
                               other training must   ensure drills and
                               be conducted under    exercises are
                               conditions that       realistic in that
                               simulate as closely   they simulate as
                               as practical the      closely as
                               site specific         possible, the
                               conditions under      physical conditions
                               which each member     (running, lifting,
                               will, or may be,      climbing) and
                               required to perform   mental stress
                               assigned duties and   levels (decision
                               responsibilities.     making, radio
                                                     communications,
                                                     strategy changes)
                                                     that will be
                                                     experienced in an
                                                     actual event.
                              (l)(2)(iii)           This requirement
                               Licensees shall       would be added to
                               document each         ensure that
                               performance           comprehensive
                               evaluation to         records are
                               include, but not      maintained.
                               limited to,
                               scenarios,
                               participants, and
                               critiques.
                              (l)(2)(iv) Each       This requirement
                               drill and exercise    would be added to
                               must include a        ensure that
                               documented post       comprehensive
                               exercise critique     reports are
                               in which              developed to ensure
                               participants          that observed
                               identify failures,    issues are
                               deficiencies, or      identified in the
                               other findings in     after action
                               performance, plans,   report.
                               equipment, or
                               strategies.
                              (l)(2)(v) Licensees   This requirement
                               shall enter all       would be added to
                               findings,             ensure that
                               deficiencies, and     corrective action
                               failures identified   plans are developed
                               by each performance   and tracked to
                               evaluation into the   provide resolution.
                               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.
                              (l)(2)(vi) Licensees  This requirement
                               shall protect all     would be added to
                               findings,             provide for the
                               deficiencies, and     appropriate level
                               failures relative     of protection for
                               to the                the type of
                               effectiveness of      information being
                               the onsite physical   developed.
                               protection program    Information
                               in accordance with    involving findings,
                               the requirements of   deficiencies and
                               Sec.   73.21.         failures is
                                                     considered
                                                     sensitive and must
                                                     be protected
                                                     accordingly.
                              (l)(3) For the        This new header
                               purpose of drills     would be added for
                               and exercises,        formatting
                               licensees shall:      purposes.

[[Page 62837]]

 
                              (l)(3)(i) Use no      This requirement
                               more than the         would be added to
                               number of armed       ensure that
                               personnel specified   realistic tests are
                               in the approved       conducted against
                               security plans to     those forces
                               demonstrate           available onsite on
                               effectiveness.        a routine basis.
                                                     Conducting drills
                                                     under other than
                                                     with actual or non
                                                     typical staffing
                                                     levels would not
                                                     provide for
                                                     accurate system
                                                     effectiveness
                                                     determinations.
                              (l)(3)(ii) Minimize   This requirement
                               the number and        would be added to
                               effects of            ensure that
                               artificialities       exercises are
                               associated with       conducted as
                               drills and            realistically as
                               exercises.            possible.
                                                     Artificialities if
                                                     not minimized would
                                                     result in
                                                     inaccurate system
                                                     effectiveness
                                                     determinations.
                              (l)(3)(iii)           This requirement
                               Implement the use     would be added to
                               of systems or         provide for the
                               methodologies that    utilization of
                               simulate the          technological
                               realities of armed    advancements for
                               engagement through    simulating live
                               visual and audible    fire combat
                               means, and reflects   situations in a
                               the capabilities of   controlled
                               armed personnel to    environment. These
                               neutralize a target   may include but are
                               though the use of     not limited to the
                               firearms during       use of laser
                               drills and            engagement systems
                               exercises.            or dye marking
                                                     cartridges.
                              (l)(3)(iv) Ensure     This requirement
                               that each scenario    would be added to
                               used is capable of    ensure that
                               challenging the       scenarios are
                               ability of armed      developed to stress
                               personnel to          the protective
                               perform assigned      strategy in manner
                               duties and            that deficiencies
                               implement required    or weaknesses can
                               elements of the       be identified.
                               protective strategy.
                              (l)(4) The            This requirement
                               Performance           would be added to
                               Evaluation Program    improve the
                               must be designed to   usefulness and
                               ensure that:          applicability of
                                                     the safeguards
                                                     contingency plan.
                              (l)(4)(i) Each        This requirement
                               member of each        would be added to
                               shift who is          ensure that
                               assigned duties and   individual members
                               responsibilities      of the security
                               required to           force participate
                               implement the         in drills at a
                               approved safeguards   frequency that
                               contingency plan      provides them with
                               and licensee          knowledge and
                               protective strategy   performance based
                               participates in at    experience applying
                               least one (1) drill   the protective
                               on a quarterly        strategy.
                               basis and one (1)
                               force on force
                               exercise on an
                               annual basis.
                              (l)(4)(ii) The mock   This requirement
                               adversary force       would be added to
                               replicates, as        ensure that the
                               closely as            mock adversary
                               possible, adversary   force is capable of
                               characteristics and   portraying the
                               capabilities in the   design basis threat
                               design basis threat   in terms of size,
                               described in Sec.     activity, movement,
                               73.1(a)(1), and is    tactics, equipment
                               capable of            and weaponry.
                               exploiting and
                               challenging the
                               licensee protective
                               strategy,
                               personnel, command
                               and control, and
                               implementing
                               procedures.
                              (l)(4)(iii)           This requirement
                               Protective            would be added to
                               strategies are        provide an
                               evaluated and         opportunity to
                               challenged through    evaluate protective
                               tabletop              strategies focusing
                               demonstrations.       on incident command
                                                     in an open
                                                     discussion format.
                              (l)(4)(iv) Drill and  This requirement
                               exercise              would be added to
                               controllers are       ensure the use of
                               trained and           qualified
                               qualified to ensure   controllers who are
                               each controller has   knowledgeable of
                               the requisite         safety,
                               knowledge and         environmental
                               experience to         conditions,
                               control and           hazards, tactics,
                               evaluate exercises.   weapons equipment,
                                                     and physical
                                                     security systems.
                              (l)(4)(v) Drills and  This requirement
                               exercises are         would be added to
                               conducted safely in   ensure licensee
                               accordance with       safety plans are
                               site safety plans.    considered in the
                                                     conduct of drills
                                                     and exercises.
                              (l)(5) Members of     This requirement
                               the mock adversary    would be added to
                               force used for NRC    ensure that the
                               observed exercises    mock adversary
                               shall be              force is not
                               independent of both   influenced by
                               the security          security management
                               program management    or personnel
                               and personnel who     responsible for
                               have direct           security. This
                               responsibility for    mitigates the
                               implementation of     potential for the
                               the security          scenario to be
                               program, including    compromised or not
                               contractors, to       carried out to the
                               avoid the             desired
                               possibility for a     expectation. This
                               conflict-of-          proposed
                               interest.             requirement is
                                                     based on the EPAct
                                                     2005 section 651.
                              (l)(6) Scenarios      ....................
                              (l)(6)(i) Licensees   This requirement
                               shall develop and     would be added to
                               document multiple     ensure that varying
                               scenarios for use     scenarios with
                               in conducting         differing adversary
                               quarterly drills      configurations are
                               and annual force-on-  used against all
                               force exercises.      target sets for
                                                     increased
                                                     readiness. This
                                                     permits a better
                                                     determination of
                                                     overall system
                                                     effectiveness.

[[Page 62838]]

 
                              (l)(6)(ii) Licensee   This requirement
                               scenarios must be     would be added to
                               designed to test      ensure that
                               and challenge any     scenarios are
                               component or          developed in a
                               combination of        manner that each
                               components, of the    aspect of the
                               onsite physical       security system and
                               protection program    strategy will be
                               and protective        analyzed to
                               strategy.             determine
                                                     effectiveness.
                              (l)(6)(iii) Each      This requirement
                               scenario must use a   would be added to
                               unique target set     ensure that
                               or target sets, and   scenarios are
                               varying               developed in a
                               combinations of       manner that each
                               adversary             aspect of the
                               equipment,            security system and
                               strategies, and       strategy will be
                               tactics, to ensure    analyzed to
                               that the              determine overall
                               combination of all    system
                               scenarios             effectiveness.
                               challenges every
                               component of the
                               onsite physical
                               protection program
                               and protective
                               strategy to
                               include, but not
                               limited to,
                               equipment,
                               implementing
                               procedures, and
                               personnel.
                              (l)(6)(iv) Licensees  This requirement
                               shall ensure that     would be added to
                               scenarios used for    ensure the
                               required drills and   development of
                               exercises are not     scenarios with
                               repeated within any   differing adversary
                               twelve (12) month     configurations
                               period for drills     against varying
                               and three years (3)   target sets. This
                               for exercises.        promotes increased
                                                     readiness and
                                                     permits a better
                                                     determination of
                                                     overall system
                                                     effectiveness.
Audit and Review............  (m) Records, audits,  This header would be
                               and reviews.          retained and
                                                     revised to add
                                                     records retention
                                                     requirements.
App. C 5.(1) For nuclear      (m)(1) Licensees      This requirement
 power reactor licensees       shall review and      would be revised to
 subject to the requirements   audit the             ensure that the
 of Sec.   73.55, the          Commission-approved   protective strategy
 licensee shall provide for    safeguards            is revised as a
 a review of the safeguards    contingency plan in   result of any
 contingency plan either:      accordance with the   significant changes
App. C 5.(1)(i) At intervals   requirements Sec.     that would effect
 not to exceed 12 months, or   73.55(n) of this      the ability to
 * * *                         part.                 respond in
App. C 5.(1)(ii) As                                  accordance with the
 necessary, based on an                              existing
 assessment by the licensee                          contingency plan.
 against performance
 indicators, and as soon as
 reasonably practicable
 after a change occurs in
 personnel, procedures,
 equipment, or facilities
 that potentially could
 adversely affect security,
 but no longer than 12
 months after the change.
App. C 5.(1)(ii) * * * In
 any case, each element of
 the safeguards contingency
 plan must be reviewed at
 least every 24 months.
App. C 5.(2) A licensee
 subject to the requirements
 of either Sec.   73.46 or
 Sec.   73.55, shall ensure
 that the review of the
 safeguards contingency plan
 is by individuals
 independent of both
 security program management
 and personnel who have
 direct responsibility for
 implementation of the
 security program.
Appendix C Paragraph 5(3).
 The licensee shall document
 the results and the
 recommendations of the
 safeguards contingency plan
 review, management findings
 on whether the safeguards
 contingency plan is
 currently effective, and
 any actions taken as a
 result of recommendations
 from prior reviews in a
 report to the licensee's
 plant manager and to
 corporate management at
 least one level higher than
 that having responsibility
 for the day-to-day plant
 operation.
Appendix C Paragraph 5.(2)    (m)(2) The licensee   This requirement
 The review must include an    shall make            would be revised to
 audit of safeguards           necessary             ensure that the
 contingency procedures and    adjustments to the    protective strategy
 practices, and an audit of    Commission-approved   is revised as a
 commitments established for   safeguards            result of any
 response by local law         contingency plan to   significant changes
 enforcement authorities.      ensure successful     that would affect
                               implementation of     the ability to
                               Commission            respond in
                               regulations and the   accordance with the
                               site protective       existing
                               strategy.             contingency plan.
Appendix C Paragraph 5.(2)    (m)(3) The            This requirement
 The review must include an    safeguards            would be revised to
 audit of safeguards           contingency plan      ensure that an
 contingency procedures and    review must include   audit of the
 practices, and an audit of    an audit of           safeguards
 commitments established for   implementing          contingency plan is
 response by local law         procedures and        conducted to
 enforcement authorities.      practices, the site   validate essential
                               protective            aspects of the
                               strategy, and         plan.
                               response agreements
                               made by local,
                               State, and Federal
                               law enforcement
                               authorities.

[[Page 62839]]

 
Appendix C Paragraph 5.(3)    (m)(4) Licensees      This requirement
 The report must be            shall retain all      would be added to
 maintained in an auditable    reports, records,     improve the
 form, available for           or other              usefulness and
 inspection for a period of    documentation         applicability of
 3 years.                      required by this      the safeguards
                               appendix in           contingency plan.
                               accordance with the
                               requirements of
                               Sec.   73.55(r).
Appendix C Paragraph 5.       (n) Implementing      This requirement
 Procedures.                   procedures.           would be retained
                                                     with editorial
                                                     changes. The word
                                                     ``Implementing''
                                                     has been added to
                                                     further define the
                                                     requirement.
In order to aid execution of  (n)(1) Licensees      This requirement
 the detailed plan as          shall establish and   would be revised to
 developed in the              maintain written      ensure that plans
 Responsibility Matrix, this   implementing          are developed to
 category of information       procedures that       cover security
 shall detail the actions to   provide specific      force routine,
 be taken and decisions to     guidance and          emergency,
 be made by each member or     operating details     administrative, and
 unit of the organization as   that identify the     other operational
 planned in the                actions to be taken   duties.
 Responsibility Matrix.        and decisions to be
 Contents of the Plan:         made by each member
 Although the implementing     of the security
 procedures (the fifth         organization who is
 category of Plan              assigned duties and
 information) are the          responsibilities
 culmination of the planning   required for the
 process, and therefore are    effective
 an integral and important     implementation of
 part of the safeguards        the Commission-
 contingency plan, they        approved security
 entail operating details      plans and the site
 subject to frequent changes.  protective strategy.
Contents of the Plan: The     (n)(2) Licensees      This requirement
 licensee is responsible for   shall ensure that     would be revised to
 ensuring that the             implementing          ensure that plans
 implementing procedures       procedures            are developed to
 reflect the information in    accurately reflect    cover security
 the Responsibility Matrix,    the information       force routine,
 appropriately summarized      contained in the      emergency,
 and suitably presented for    Responsibility        administrative, and
 effective use by the          Matrix required by    other operational
 responding entities.          this appendix, the    duties. The phrase
                               Commission-approved   ``appropriately
                               security plans, the   summarized and
                               Integrated Response   suitably presented
                               Plan, and other       for effective use
                               site plans.           by the responding
                                                     entities'' would be
                                                     deleted because
                                                     this concept would
                                                     be covered under
                                                     demonstration.
Contents of the Plan: They    (n)(3) Implementing   This requirement
 need not be submitted to      procedures need not   would be retained
 the Commission for            be submitted to the   with editorial
 approval, but will be         Commission for        changes.
 inspected by NRC staff on a   approval but are
 periodic basis.               subject to
                               inspection.
------------------------------------------------------------------------


                      Table 8.--Part 73 Appendix G
                     [Reportable safeguards events]
------------------------------------------------------------------------
      Current language          Proposed language      Considerations
------------------------------------------------------------------------
[Introductory text to App.    [Introductory text    This appendix would
 G]                            to App. G]            be revised by
Pursuant to the provisions    Under the provisions   adding new
 of 10 CFR 73.71 (b) and       of Sec.   73.71(a),   requirements for
 (c), licensees subject to     (d), and (f) of       nuclear power
 the provisions of 10 CFR      this part,            reactor licensees.
 73.20, 73.37, 73.50, 73.55,   licensees subject     Power reactor
 73.60, and 73.67 shall        to the provisions     licensees subject
 report or record, as          of Sec.   73.55 of    to the provisions
 appropriate, the following    this part shall       of Sec.   73.55
 safeguards events.            report or record,     would be required
                               as appropriate, the   to notify the
                               following             Commission (1)
                               safeguards events     within 15 minutes
                               under paragraphs I,   after discovery of
                               II, III, and IV of    an imminent or
                               this appendix.        actual threat
                               Under the             against the
                               provisions of Sec.    facility and (2)
                                73.71(b), (c), and   within four hours
                               (f) of this part,     of discovery of
                               licensees subject     suspicious events.
                               to the provisions     The proposed 15-
                               of Sec.  Sec.         minute requirement
                               73.20, 73.37,         would more
                               73.50, 73.60, and     accurately reflect
                               73.67 of this part    the current threat
                               shall report or       environment.
                               record, as            Because an actual
                               appropriate, the      or potential threat
                               following             could quickly
                               safeguards events     result in an event,
                               under paragraphs II   a shorter reporting
                               and IV of this        time would be
                               appendix. Licensees   required. However,
                               shall make such       the requirement for
                               reports to the        Commission
                               Commission under      notification within
                               the provisions of     15 minutes would be
                               Sec.   73.71 of       applied only to
                               this part.            nuclear power
                                                     reactor licensees,
                                                     at this time. The
                                                     Commission may
                                                     consider the
                                                     applicability of
                                                     this requirement to
                                                     other licensees in
                                                     future rulemaking.
                                                     The new 4-hour
                                                     notification would
                                                     be intended to aid
                                                     the Commission, law
                                                     enforcement, and
                                                     the intelligence
                                                     community in
                                                     assessing
                                                     suspicious activity
                                                     that may be
                                                     indicative of pre-
                                                     operational
                                                     surveillance,
                                                     reconnaissance, or
                                                     intelligence
                                                     gathering efforts.
                                                    Events reported
                                                     under paragraphs I
                                                     or II would require
                                                     a followup written
                                                     report. Events
                                                     reported under
                                                     paragraph III would
                                                     not require a
                                                     followup written
                                                     report.

[[Page 62840]]

 
                              I. Events to be       Paragraph I would be
                               reported as soon as   added to establish
                               possible, but no      the type of events
                               later than 15         to be reported
                               minutes after         within 15 minutes.
                               discovery, followed   Because the
                               by a written report   identification of
                               within sixty (60)     information
                               days.                 relating to an
                              (a) The initiation     actual or imminent
                               of a security         threat could
                               response consistent   quickly result in
                               with a licensee's     an event, which
                               physical security     might necessitate
                               plan, safeguards      expedited
                               contingency plan,     Commission action
                               or defensive          (e.g., notification
                               strategy based on     of other licensees
                               actual or imminent    or Federal
                               threat against a      authorities), a
                               nuclear power         shortened reporting
                               plant..               time would be
                                                     required. This
                                                     proposed
                                                     requirement would
                                                     also ensure that
                                                     threat-related
                                                     information would
                                                     be made available
                                                     to the Commission's
                                                     threat assessment
                                                     process in a timely
                                                     manner. Initiation
                                                     of response
                                                     consistent with
                                                     plans and the
                                                     defensive strategy
                                                     that are not
                                                     related to an
                                                     imminent or actual
                                                     threat against the
                                                     facility would not
                                                     need to be reported
                                                     (e.g false, or
                                                     nuisance
                                                     responses).
                                                     Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported would be
                                                     provided in
                                                     guidance.
                              I.(b) The licensee    This provision would
                               is not required to    be added to reduce
                               report security       unnecessary
                               responses initiated   regulatory burden
                               as a result of        on the licensees to
                               information           notify the
                               communicated to the   Commission of
                               licensee by the       security responses
                               Commission, such as   initiated in
                               the threat warning    response to
                               system addressed in   communications from
                               appendix C to this    the Commission
                               part.                 (e.g., changes to
                                                     the threat level).
I. Events to be reported      II. Events to be      This requirement
 within one hour of            reported within one   would be retained
 discovery, followed by a      (1) hour of           and renumbered.
 written report within 60      discovery, followed
 days.                         by a written report
                               within sixty (60)
                               days.
(a) Any event in which there  II.(a) Any event in   This requirement
 is reason to believe that a   which there is        would be retained
 person has committed or       reason to believe     with minor revision
 caused, or attempted to       that a person has     and renumbered. The
 commit or cause, or has       committed or          term credible would
 made a credible threat to     caused, or            be removed. The
 commit or cause:              attempted to commit   Commission's view
                               or cause, or has      is that a
                               made a threat to      determination of
                               commit or cause:      the ``credibility''
                                                     of a threat is not
                                                     a licensee
                                                     responsibility, but
                                                     rests with the
                                                     Commission and the
                                                     intelligence
                                                     community.
(1) A theft or unlawful       II.(a)(1) A theft or  This requirement
 diversion of special          unlawful diversion    would be retained
 nuclear material; or          of special nuclear    and renumbered.
                               material; or
(2) Significant physical      II.(a)(2)             This requirement
 damage to a power reactor     Significant           would be retained
 or any facility possessing    physical damage to    with minor
 SSNM or its equipment or      any NRC-regulated     editorial changes
 carrier equipment             power reactor or      to improve clarity
 transporting nuclear fuel     facility possessing   and readability and
 or spent nuclear fuel, or     strategic special     renumbered. The
 to the nuclear fuel or        nuclear material or   phrase ``NRC-
 spent nuclear fuel a          to carrier            regulated'' would
 facility or carrier           equipment             be added to specify
 possesses; or                 transporting          that all Commission
                               nuclear fuel or       licensed facilities
                               spent nuclear fuel,   and transport would
                               or to the nuclear     be covered by this
                               fuel or spent         requirement. This
                               nuclear fuel          change would
                               facility which is     simplify the
                               possessed by a        language in this
                               carrier; or           section while
                                                     retaining the basic
                                                     requirement.
(3) Interruption of normal    II.(a)(3)             This requirement
 operation of a licensed       Interruption of       would be retained
 nuclear power reactor         normal operation of   with minor revision
 through the unauthorized      any NRC-licensed      and renumbered. The
 use of or tampering with      nuclear power         word ``machinery''
 its machinery, components,    reactor through the   would be deleted
 or controls including the     unauthorized use of   since
 security system.              or tampering with     ``components''
                               its components or     includes machinery
                               controls, including   and other physical
                               the security system.  structures at a
                                                     licensed facility.
                                                     This proposed
                                                     requirement would
                                                     continue to be
                                                     applied only to
                                                     nuclear power
                                                     reactors licensed
                                                     by the Commission,
                                                     at this time. The
                                                     Commission may
                                                     consider the
                                                     applicability of
                                                     this requirement to
                                                     other classes of
                                                     licensees in future
                                                     rulemaking.
(b) An actual entry of an     II.(b) An actual or   This requirement
 unauthorized person into a    attempted entry of    would be renumbered
 protected area, material      an unauthorized       and revised to
 access area, controlled       person into any       delete the
 access area, vital area, or   area or transport     previously
 transport.                    for which the         specifically
                               licensee is           mentioned areas
                               required by           (``protected area,
                               Commission            material access
                               regulations to        area, controlled
                               control access.       access area, vital
                                                     area'') requiring
                                                     access controls and
                                                     change the language
                                                     to include the
                                                     actual or attempted
                                                     entry of an
                                                     unauthorized
                                                     individual into any
                                                     area required to be
                                                     controlled by
                                                     Commission
                                                     regulations. This
                                                     change would more
                                                     accurately reflect
                                                     the current threat
                                                     environment.

[[Page 62841]]

 
                                                    The revision also
                                                     reflects Commission
                                                     experience with
                                                     implementation of
                                                     the 2003 security
                                                     order's
                                                     requirements and
                                                     review of revised
                                                     license security
                                                     plans. Licensee's
                                                     defensive
                                                     strategies and
                                                     revised Safeguards
                                                     Contingency Plans
                                                     have introduced
                                                     additional
                                                     significant
                                                     locations (e.g.
                                                     target sets) that
                                                     may not be limited
                                                     to the previously
                                                     specified areas.
                                                     Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported will be
                                                     provided in
                                                     guidance.
(c) Any failure,              II.(c) Any failure,   This requirement
 degradation, or the           degradation, or the   would be renumbered
 discovered vulnerability in   discovered            and revised to
 a safeguard system that       vulnerability in a    delete the
 could allow unauthorized or   safeguard system      previously
 undetected access to a        that could allow      specifically
 protected area, material      unauthorized or       mentioned areas
 access area, controlled       undetected access     (``protected area,
 access area, vital area, or   to any area or        material access
 transport for which           transport for which   area, controlled
 compensatory measures have    the licensee is       access area, vital
 not been employed.            required by           area'') requiring
                               Commission            access controls and
                               regulations to        to broaden the
                               control access and    language to include
                               for which             any area required
                               compensatory          to be controlled by
                               measures have not     the Commission
                               been employed.        regulations (see
                                                     considerations for
                                                     paragraph II.(b)
                                                     above). Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported will be
                                                     provided in
                                                     guidance.
(d) The actual or attempted   II.(d) The actual or  This requirement
 introduction of contraband    attempted             would be renumbered
 into a protected area,        introduction of       and revised to
 material access area, vital   contraband into any   delete the
 area, or transport.           area or transport     previously
                               for which the         specifically
                               licensee is           mentioned areas
                               required by           requiring access
                               Commission            controls and change
                               regulations to        the language to
                               control access.       include the actual
                                                     or attempted entry
                                                     of an unauthorized
                                                     individual into any
                                                     area or transport
                                                     required to be
                                                     controlled by
                                                     Commission
                                                     regulations (see
                                                     considerations for
                                                     paragraph II.(b)
                                                     above). Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported will be
                                                     provided in
                                                     guidance.
NRC Information Assessment    III. Events to be     This paragraph would
 Team (IAT) Advisories dated   reported within       add a requirement
 October 16, and November      four (4) hours of     for power reactor
 15, 2001; May 20, 2003;       discovery. No         licensees to report
 March 1, 2004; and October    written followup      suspicious
 5, 2005.                      report is required.   activities,
FBI's ``Terrorist Threats to  (a) Any other          attempts at access,
 the U.S. Homeland:            information           etc., that may
 Reporting Guide for           received by the       indicate pre-
 Critical and Key Resource     licensee of           operational
 Owners and Operators''        suspicious            surveillance,
 dated January 24, 2005,       surveillance          reconnaissance, or
 (Official Use Only)..         activities or         intelligence
                               attempts at access,   gathering targeted
                               including:.           against the
                              (1) Any security-      facility. This
                               related incident      change would more
                               involving             accurately reflect
                               suspicious activity   the current threat
                               that may be           environment; would
                               indicative of         assist the
                               potential pre-        Commission in
                               operational           evaluating threats
                               surveillance,         to multiple
                               reconnaissance, or    licensees; and
                               intelligence-         would assist the
                               gathering             intelligence and
                               activities directed   homeland security
                               against the           communities in
                               facility. Such        evaluating threats
                               activity may          across critical
                               include, but is not   infrastructure
                               limited to,           sectors. The
                               attempted             reporting process
                               surveillance or       intended in this
                               reconnaissance        proposed rule would
                               activity,             be similar to the
                               elicitation of        reporting process
                               information from      that the licensees
                               security or other     currently use under
                               site personnel        guidance issued by
                               relating to the       the Commission
                               security or safe      subsequent to
                               operation of the      September 11, 2001,
                               plant, or             and would formalize
                               challenges to         Commission
                               security systems      expectations;
                               (e.g., failure to     however, the
                               stop for security     reporting interval
                               checkpoints,          would be lengthened
                               possible tests of     from 1 hour to 4
                               security response     hours. The
                               and security          Commission views
                               screening             this length of time
                               equipment, or         as reasonable to
                               suspicious entry of   accomplish these
                               watercraft into       broader objectives.
                               posted off-limits     This reporting
                               areas)..              requirement does
                              (2) Any security-      not include a
                               related incident      followup written
                               involving             report. The
                               suspicious aircraft   Commission believes
                               overflight            that a written
                               activity.             report from the
                               Commercial or         licensees would be
                               military aircraft     of minimal value
                               activity considered   and would be an
                               routine by the        unnecessary
                               licensee is not       regulatory burden,
                               required to be        because the types
                               reported..            of incidents to be
                                                     reported are
                                                     transitory in
                                                     nature and time-
                                                     sensitive. The
                                                     proposed text would
                                                     be neither a
                                                     request for
                                                     intelligence
                                                     collection
                                                     activities nor
                                                     authority for the
                                                     conduct of law
                                                     enforcement or
                                                     intelligence
                                                     activities. This
                                                     paragraph would
                                                     simply require the
                                                     reporting of
                                                     observed
                                                     activities.

[[Page 62842]]

 
                                                    Paragraphs III(a)(1)
                                                     and (2) provide
                                                     broad examples of
                                                     events that should
                                                     be reported, or
                                                     need not be
                                                     reported.
                                                     Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported will be
                                                     provided in
                                                     guidance. The
                                                     Commission may
                                                     consider the
                                                     applicability of
                                                     this requirement to
                                                     other licensees in
                                                     future rulemaking.
                              III.(a)(3) Incidents  This paragraph would
                               resulting in the      be added to
                               notification of       establish a
                               local, State or       performance
                               national law          standard for
                               enforcement, or law   additional types of
                               enforcement           incidents or
                               response to the       activities
                               site not included     involving law
                               in paragraphs I or    enforcement
                               II of this            authorities not
                               appendix;             otherwise specified
                                                     in paragraphs I and
                                                     II of this
                                                     appendix.
                                                     Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     reported will be
                                                     provided in
                                                     guidance.
                              III.(b) The           This paragraph would
                               unauthorized use of   be added to address
                               or tampering with     ``tampering''
                               the components or     events that do not
                               controls, including   rise to the
                               the security          significance of
                               system, of nuclear    affecting plant
                               power reactors.       operations as
                                                     specified in
                                                     paragraph II.(a)(3)
                                                     and would use
                                                     similar language to
                                                     the proposed
                                                     paragraph
                                                     II.(a)(3).
                              III.(c) Follow-up     This requirement
                               communications        would be added to
                               regarding these       establish a
                               incidents will be     performance
                               completed through     standard for any
                               the NRC threat        follow-up
                               assessment process    communication
                               via the NRC           between licensees
                               Operations Center     and the Commission
                               \1\.                  regarding the
                              Footnote: 1.           initial report of
                               Commercial (secure    ``suspicious''
                               and non-secure)       activity. This
                               telephone numbers     process has been
                               of the NRC            set forth in
                               Operations Center     guidance documents
                               are specified in      and the Commission
                               appendix A of this    intends that
                               part..                licensees would
                                                     continue to
                                                     implement the
                                                     existing process
                                                     with little change.
II. Events to be recorded     IV. Events to be      This requirement
 within 24 hours of            recorded within 24    would be retained
 discovery in the safeguards   hours of discovery    and renumbered.
 event log.                    in the safeguards
                               event log.
(a) Any failure,              IV.(a) Any failure,   The current
 degradation, or discovered    degradation, or       requirement would
 vulnerability in a            discovered            be renumbered and
 safeguards system that        vulnerability in a    revised to delete
 could have allowed            safeguards system     the previously
 unauthorized or undetected    that could have       specifically
 access to a protected area,   allowed               mentioned areas
 material access area,         unauthorized or       (``protected area,
 controlled access area,       undetected access     material access
 vital area, or transport      to any area or        area, controlled
 had compensatory measures     transport in which    access area, vital
 not been established.         the licensee is       area'') requiring
                               required by           access controls and
                               Commission            change the language
                               regulations to        to include the
                               control access had    actual or attempted
                               compensatory          entry of an
                               measures not been     unauthorized
                               established.          individual into any
                                                     area required to be
                                                     controlled by
                                                     Commission
                                                     regulations (see
                                                     considerations for
                                                     paragraph II.(b)
                                                     above). Additional
                                                     information
                                                     regarding
                                                     identification of
                                                     events to be
                                                     recorded will be
                                                     provided in
                                                     guidance.
(b) Any other threatened,     IV.(b) Any other      This requirement
 attempted, or committed act   threatened,           would be renumbered
 not previously defined in     attempted, or         and retained with
 appendix G with the           committed act not     minor revisions.
 potential for reducing the    previously defined    This paragraph
 effectiveness of the          in this appendix      would be changed to
 safeguards system below       with the potential    replace ``the
 that committed to in a        for reducing the      physical protection
 licensed physical security    effectiveness of      system'' with ``the
 or contingency plan or the    the physical          safeguards system''
 actual condition of such      protection program    and ``described''
 reduction in effectiveness.   below that            for ``committed.''
                               described in a        These changes would
                               licensee physical     reflect Commission
                               security or           experience with
                               safeguards            implementation of
                               contingency plan,     security order
                               or the actual         requirements and
                               condition of such a   reviews of
                               reduction in          revisions to
                               effectiveness.        licensee security
                                                     plans.
------------------------------------------------------------------------

V. Guidance

    The NRC is preparing new regulatory guides that will contain 
detailed guidance on the implementation of the proposed rule 
requirements. These regulatory guides, currently under development, 
will consolidate and update or eliminate previous guidance that was 
used to develop, review, and approve the power reactor security plans 
that licensees revised in response to the post-September 11, 2001, 
security orders. Development of the regulatory guides is ongoing and 
the publication of the regulatory guides is planned after the 
publication of the final rule. Because this regulatory guidance may 
contain Safeguard Information (SGI) and/or classified information, 
these documents would only be available to those individuals with a 
need-to-know, and are qualified to have access to SGI and/or classified 
information, as applicable. However, the NRC has determined that access 
to these guidance documents is not necessary for the public or other 
stakeholders to provide informed comment on this proposed rule.

VI. Criminal Penalties

    For the purposes of Section 223 of the Atomic Energy Act, as 
amended, the Commission is proposing to amend 10

[[Page 62843]]

CFR parts 50, 72, and 73 under sections 161b, 161i, or 161o of the AEA. 
Criminal penalties, as they apply to regulations in part 73, are 
discussed in Sec.  73.81. The new Sec. Sec.  73.18, 73.19, and 73.58 
are issued under Sections 161b, 161i, or 161o of the AEA, and are not 
included in Sec.  73.81(b).

 VII. Compatibility of Agreement State Regulations

    Under the ``Policy Statement on Adequacy and Compatibility of 
Agreement States Programs,'' approved by the Commission on June 20, 
1997, and published in the Federal Register (62 FR 46517; September 3, 
1997), this rule is classified as compatibility ``NRC.'' Compatibility 
is not required for Category ``NRC'' regulations. The NRC program 
elements in this category are those that relate directly to areas of 
regulation reserved to the NRC by the AEA or the provisions of Title 10 
of the Code of Federal Regulations (10 CFR), and although an Agreement 
State may not adopt program elements reserved to NRC, it may wish to 
inform its licensees of certain requirements via a mechanism that is 
consistent with the particular State's administrative procedure laws, 
but does not confer regulatory authority on the State.

 VIII. Availability of Documents

    The following table indicates which documents relating to this 
rulemaking are available to the public and how they may be obtained.
    Public Document Room (PDR). The NRC's Public Document Room is 
located at the NRC's headquarters at 11555 Rockville Pike, Rockville, 
MD 20852.
    Rulemaking Web site (Web). The NRC's interactive rulemaking Web 
site is located at http://ruleforum.llnl.gov. These documents may be 
viewed and downloaded electronically via this Web site.
    NRC's Electronic Reading Room (ERR). The NRC's electronic reading 
room is located at http://www.nrc.gov/reading-rm.html.

----------------------------------------------------------------------------------------------------------------
                    Document                         PDR         Web                   ERR (ADAMS)
----------------------------------------------------------------------------------------------------------------
Environmental Assessment.......................          X           X   ML061920093
Regulatory Analysis
Regulatory Analysis--appendices................          X           X   ML061920012
                                                                         ML061380796
                                                                         ML061440013
Information Collection Analysis................          X           X   ML062340362
                                                                         ML062830016
NRC Form 754...................................          X           X   ML060930319
Memorandum: Status of Security-Related                   X           X   ML041180532
 Rulemaking (July 19, 2004).
Commission SRM (August 23, 2004)...............          X           X   ML042360548
Memorandum: Schedule for Part 73 Rulemakings             X           X   ML043060572
 (November 16, 2004).
Revised Schedule for Completing Part 73                  X           X   ML051800350
 rulemaking (July 29, 2005).
COMSECY-05-0046 (September 29, 2005)...........          X           X   ML052710167
SRM on COMSECY-05-0046 (November 1, 2005)......          X           X   ML053050439
EA-02-026, ``Interim Compensatory Measures               X           X   ML020520754
 (ICM) Order''(67 FR 9792).
EA-02-261, ``Issuance of Order for Compensatory          X           X   ML030060360
 Measures Related to Access Authorization'' (68
 FR 1643).
EA-03-039, ``Issuance of Order for Compensatory          X           X   ML030980015
 Measures Related to Training Enhancements on
 Tactical and Firearms Proficiency and Physical
 Fitness Applicable to Armed Nuclear Power
 Plant Security Force Personnel'' (68 FR 24514).
NRC Bulletin 2005-02, ``Emergency Preparedness           X           X   ML051740058
 and ResponseActions for Security-based
 Events''.
Petition for Rulemaking (PRM-50-80)............          X           X   ML031681105
SECY-05-0048, Petition for Rulemaking on                 X           X   ML051790404
 Protection of U.S.Nuclear Power Plants Against
 Radiological Sabotage (PRM-50-80).
SRM-SECY-05-0048, Staff Requirements on SECY-05-         X           X   ML053000500
 0048.
Table 9 Cross-walk table for proposed Sec.               X           X   ML060910004
 73.55.
Table 10 Cross-walk table for proposed 10 CFR            X           X   ML060910006
 part 73 appendix B.
Table 11 Cross-walk table for proposed 10 CFR            X           X   ML060910007
 part 73 appendix C.
----------------------------------------------------------------------------------------------------------------

IX. Plain Language

    The Presidential memorandum dated June 1, 1998, entitled ``Plain 
Language in Government Writing'' directed that the Government's writing 
be in plain language. This memorandum was published on June 10, 1998 
(63 FR 31883). In complying with this directive, the NRC made editorial 
changes to improve the organization and readability of the existing 
language of the paragraphs being revised. These types of changes are 
not discussed further in this document. The NRC has used the phrase 
``may not'' throughout this proposed rule to indicate that a person or 
entity is prohibited from taking a specific action. The NRC requests 
comments on the proposed rule specifically with respect to the clarity 
and reflectiveness of the language used. Comments should be sent to the 
address listed under the ADDRESSES caption of the preamble.

X. Voluntary Consensus Standards

    The National Technology Transfer and Advancement Act of 1995, Pub. 
L. 104-113, requires that Federal agencies use technical standards that 
are developed or adopted by voluntary consensus standards bodies unless 
using such a standard is inconsistent with applicable law or is 
otherwise impractical. The NRC is not aware of any voluntary consensus 
standard that could be used instead of the proposed Government-unique 
standards. The NRC will consider using a voluntary consensus standard 
if an appropriate standard is identified.

XI. Finding of No Significant Environmental Impact

    The Commission has determined under the National Environmental 
Policy Act of 1969, as amended, and the Commission's regulations in 
subpart A of 10 CFR part 51, that this rule, if adopted, would not be a 
major Federal action significantly affecting the quality of the human 
environment and, therefore, an environmental impact statement is not 
required.
    The determination of this environmental assessment is that there 
will be no significant offsite impact to

[[Page 62844]]

the public from this action. However, the general public should note 
that the NRC is seeking public participation; availability of the 
environmental assessment is provided in Section VIII. Comments on any 
aspect of the environmental assessment may be submitted to the NRC as 
indicated under the ADDRESSES heading.
    The NRC has sent a copy of the environmental assessment and this 
proposed rule to every State Liaison Officer and requested their 
comments on the environmental assessment.

XII. Paperwork Reduction Act Statement

    This proposed rule contains new or amended information collection 
requirements that are subject to the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501, et seq.). This rule has been submitted to the Office 
of Management and Budget for review and approval of the information 
collection requirements.
    Type of submission, new or revision: Revision and new.
    The title of the information collection: 10 CFR part 73, ``Power 
Reactor Security Requirements'' proposed rule, and NRC Form 754, 
``Armed Security Personnel Background Check.''
    The form number if applicable: NRC Form 754.
    How often the collection is required: Collections will be initially 
required due to the need for power reactor licensees to revise security 
plans and submit the plans for staff review and approval. New records 
requirements are imposed to: document target sets in procedures, 
maintain records of storage locations for unirradiated MOX fuel, 
document the onsite physical protection system review, document 
problems and deficiencies, implement a cyber security program including 
the requirement to develop associated implementing procedures, 
implement a cyber incident response and recovery plan, implement a 
cyber security awareness and training plan, and implement the access 
authorization program. New annual collection requirements will be 
imposed including requirements to maintain a record of all individuals 
to whom access control devices were issued. Collections will also be 
required on a continuing basis due to new proposed reporting 
requirements which include: to notify the NRC within 72 hours of taking 
action to remove security personnel per proposed Sec.  73.18, to notify 
the NRC within 15 minutes after discovery of an imminent threat or 
actual safeguards threat against the facility including a requirement 
to follow this report with a written report within 60 days, and a 
requirement to report to NRC within 4 hours of incidents of suspicious 
activity or tampering. A new NRC form 754 background check would be 
required to be completed by all security personnel to be assigned armed 
duties.
    Who will be required or asked to report: Power reactor licensees 
will be subject to all the proposed requirements in this rulemaking. 
Category I special nuclear material facilities will be required to 
report for only the collections in proposed Sec.  73.18 and Sec.  
73.19.
    An estimate of the number of annual responses: 10 CFR part 73--
15,156 (8,523 annualized one-time plus 6,644 annual responses).
    The estimated number of annual respondents: 65 to 68 and, 
additionally, decommissioning sites for Sec.  73.55(a)(1).
    An estimate of the total number of hours needed annually to 
complete the requirement or request: 10 CFR 73--145,613 hours (84,190 
hours annualized one-time and 49,013 hours annual recordkeeping [732 
hours per recordkeeper] plus 821 hours annualized one-time and 11,590 
hours annual reporting [173 hours per licensee]; NRC form 754--1,250 
hours (or an average of 18.7 hours per site) for one-time collections 
and 261 hours (or an average of 3.9 hours per site) annually.
    Abstract: The Nuclear Regulatory Commission (NRC) is proposing to 
amend the current security regulations and add new security 
requirements pertaining to nuclear power reactors. Additionally, this 
rulemaking includes new security requirements for Category I strategic 
special nuclear material (SSNM) facilities for access to enhanced 
weapons and firearms background checks. The proposed rulemaking would: 
(1) Make generically applicable security requirements imposed by 
Commission orders issued after the terrorist attacks of September 11, 
2001, based upon experience and insights gained by the Commission 
during implementation, (2) fulfill certain provisions of the Energy 
Policy Act of 2005, (3) add several new requirements that resulted from 
insights from implementation of the security orders, review of site 
security plans, and implementation of the enhanced baseline inspection 
program and force-on-force exercises, (4) update the regulatory 
framework in preparation for receiving license applications for new 
reactors, and (5) impose requirements to assess and manage site 
activities that can adversely affect safety and security.
    The U.S. Nuclear Regulatory Commission is seeking public comment on 
the potential impact of the information collections contained in this 
proposed rule and on the following issues:
    1. Is the proposed information collection necessary for the proper 
performance of the functions of the NRC, including whether the 
information will have practical utility?
    2. Estimate of burden?
    3. Is there a way to enhance the quality, utility, and clarity of 
the information to be collected?
    4. How can the burden of the information collection be minimized, 
including the use of automated collection techniques?
    A copy of the OMB clearance package may be viewed free of charge at 
the NRC Public Document Room, One White Flint North, 11555 Rockville 
Pike, Room O-1 F21, Rockville, MD 20852. The OMB clearance package and 
rule are available at the NRC worldwide Web site: http://www.nrc.gov/public-involve/doc-comment/omb/index.html for 60 days after the 
signature date of this notice and are also available at the rule forum 
site, http://ruleforum.llnl.gov.
    Send comments on any aspect of these proposed information 
collections, including suggestions for reducing the burden and on the 
above issues, by November 27, 2006 to the Records and FOIA/Privacy 
Services Branch (T-5 F52), U.S. Nuclear Regulatory Commission, 
Washington, DC 20555-0001, or by Internet electronic mail to 
<a href="/cdn-cgi/l/email-protection#90d9ded6dfd3dfdcdcd5d3c4c3d0dec2d3bed7dfc6"><span class="__cf_email__" data-cfemail="c38a8d858c808c8f8f86809790838d9180ed848c95">[email protected]</span></a> and to the Desk Officer, John A. Asalone, Office 
of Information and Regulatory Affairs, NEOB-10202, (3150-0002 and 3150-
new), Office of Management and Budget, Washington, DC 20503. Comments 
received after this date will be considered if it is practical to do 
so, but assurance of consideration cannot be given to comments received 
after this date. You may also e-mail comments to <a href="/cdn-cgi/l/email-protection#307a5f585e6f711e6f7143515c5f5e55705f5d521e555f401e575f46"><span class="__cf_email__" data-cfemail="3e74515650617f10617f4d5f5251505b7e51535c105b514e10595148">[email protected]</span></a> or comment by telephone at (202) 395-4650.

 XIII. Public Protection Notification

    The NRC may not conduct or sponsor, and a person is not required to 
respond to, a request for information or an information collection 
requirement unless the requesting document displays a currently valid 
OMB control number.

 XIV. Regulatory Analysis

    The Commission has prepared a draft regulatory analysis on this 
proposed regulation. The analysis examines the costs and benefits of 
the alternatives considered by the Commission. The Commission requests 
public comments on the draft regulatory analysis. Availability of the 
regulatory analysis is

[[Page 62845]]

provided in Section VIII. Comments on the draft analysis may be 
submitted to the NRC as indicated under the ADDRESSES heading.

 XV. Regulatory Flexibility Certification

    In accordance with the Regulatory Flexibility Act (5 U.S.C. 
605(b)), the Commission certifies that this rule would not, if 
promulgated, have a significant economic impact on a substantial number 
of small entities. This proposed rule affects only the licensing and 
operation of nuclear power plants, production facilities, spent fuel 
reprocessing or recycling facilities, fuel fabrication facilities, and 
uranium enrichment facilities. The companies that own these plants do 
not fall within the scope of the definition of ``small entities'' set 
forth in the Regulatory Flexibility Act or the size standards 
established by the NRC (10 CFR 2.810).

 XVI. Backfit Analysis

    The NRC evaluated the aggregated set of requirements in this 
proposed rulemaking that constitute backfits in accordance with 10 CFR 
50.109 to determine if the costs of implementing the rule would be 
justified by a substantial increase in public health and safety or 
common defense and security. The NRC finds that qualitative safety 
benefits of the proposed part 73 rule provisions that qualify as 
backfits in this proposed rulemaking, considered in the aggregate, 
would constitute a substantial increase in protection to public health 
and safety and the common defense and security, and that the costs of 
this rule would be justified in view of the increase in protection to 
safety and security provided by the backfits embodied in the proposed 
rule. The backfit analysis is contained within Section 4.2 of the 
regulatory analysis. Availability of the regulatory analysis is 
provided in Section VIII.

 List of Subjects

10 CFR Part 50

    Antitrust, Classified information, Criminal penalties, Fire 
protection, Intergovernmental relations, Nuclear power plants and 
reactors, Radiation protection, Reactor siting criteria, Reporting and 
recordkeeping requirements.

10 CFR Part 72

    Administrative practice and procedure, Criminal penalties, Manpower 
training programs, Nuclear materials, Occupational safety and health, 
Penalties, Radiation protection, Reporting and recordkeeping 
requirements, Security measures, Spent fuel, Whistleblowing.

10 CFR Part 73

    Criminal penalties, Export, Hazardous materials transportation, 
Import, Nuclear materials, Nuclear power plants and reactors, Reporting 
and recordkeeping requirements, Security measures.

    For the reasons set out in the preamble and under the authority of 
the AEA, as amended; the Energy Reorganization Act of 1974, as amended; 
and 5 U.S.C. 553; the NRC is proposing to adopt the following 
amendments to 10 CFR parts 50, 72, and 73.

PART 50--DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION 
FACILITIES

    1. The authority citation for part 50 is revised to read as 
follows:

    Authority: Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 
Stat. 936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 
83 Stat. 444, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 
2232, 2233, 2236, 2239, 2282); secs. 201, as amended, 202, 206, 88 
Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); 
sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act 
of 2005, Pub. L. No. 109-58, 119 Stat. 594 (2005). Section 50.7 also 
issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 (42 U.S.C. 
5841). Section 50.10 also issued under secs. 101, 185, 68 Stat. 955, 
as amended (42 U.S.C. 2131, 2235); sec. 102, Pub. L. 91-190, 83 
Stat. 853 (42 U.S.C. 4332). Sections 50.13, 50.54(dd), and 50.103 
also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 
2138).
    Sections 50.23, 50.35, 50.55, and 50.56 also issued under sec. 
185, 68 Stat. 955 (42 U.S.C. 2235). Sections 50.33a, 50.55a and 
appendix Q also issued under sec. 102, Pub. L. 91-190, 83 Stat. 853 
(42 U.S.C. 4332). Sections 50.34 and 50.54 also issued under sec. 
204, 88 Stat. 1245 (42 U.S.C. 5844). Sections 50.58, 50.91, and 
50.92 also issued under Pub. L. 97-415, 96 Stat. 2073 (42 U.S.C. 
2239). Section 50.78 also issued under sec. 122, 68 Stat. 939 (42 
U.S.C. 2152). Sections 50.80-50.81 also issued under sec. 184, 68 
Stat. 954, as amended (42 U.S.C. 2234). Appendix F also issued under 
sec. 187, 68 Stat. 955 (42 U.S.C. 2237).

    2. In Sec.  50.34, footnote 9 is removed and reserved, and 
paragraph (d) is revised to read as follows:


Sec.  50.34  Contents of applications; technical information.

* * * * *
    (d) Safeguards contingency plan. (1) Each application for a license 
to operate a production or utilization facility that will be subject to 
Sec. Sec.  73.50 and 73.60 of this chapter must include a licensee 
safeguards contingency plan in accordance with the criteria set forth 
in section I of appendix C to part 73 of this chapter. The 
``Implementation Procedures'' required per section I of appendix C to 
part 73 of this chapter do not have to be submitted to the Commission 
for approval.
    (2) Each application for a license to operate a utilization 
facility that will be subject to Sec.  73.55 of this chapter must 
include a licensee safeguards contingency plan in accordance with the 
criteria set forth in section II of appendix C to part 73 of this 
chapter. The ``Implementation Procedures'' required in section 
II(g)(12) of appendix C to part 73 of this chapter do not have to be 
submitted to the Commission for approval.
* * * * *
    3. In Sec.  50.54, paragraph (p)(1) is revised to read as follows:


Sec.  50.54  Conditions of licenses.

* * * * *
    (p)(1) The licensee shall prepare and maintain safeguards 
contingency plan procedures in accordance with appendix C of part 73 of 
this chapter for affecting the actions and decisions contained in the 
Responsibility Matrix of the safeguards contingency plan. The licensee 
may make no change which would decrease the effectiveness of a physical 
security plan, or guard training and qualification plan, prepared under 
Sec.  50.34(c) or part 73 of this chapter, or of any category of 
information with the exception of the ``Implementation Procedures'' 
category contained in a licensee safeguards contingency plan prepared 
under Sec.  50.34(d) or part 73 of this chapter, as applicable, without 
prior approval of the Commission. A licensee desiring to make such a 
change shall submit an application for an amendment to the licensee's 
license under Sec.  50.90.
* * * * *
    4. In Sec.  50.72, paragraph (a), footnote 1 is revised and the 
heading of paragraph (a) is republished for the convenience of the user 
to read as follows:


Sec.  50.72  Immediate notification requirements for operating nuclear 
power reactors.

    (a) General Requirements.\1\ * * *
---------------------------------------------------------------------------

    \1\ Other requirements for immediate notification of the NRC by 
licensed operating nuclear power reactors are contained elsewhere in 
this chapter, in particular Sec. Sec.  20.1906, 20.2202, 50.36, 
72.216, and 73.71, and may require NRC notification before that 
required under Sec.  50.72.
---------------------------------------------------------------------------

* * * * *

[[Page 62846]]

PART 72--LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF 
SPENT NUCLEAR FUEL, HIGH-LEVEL RADIOACTIVE WASTE, AND REACTOR-
RELATED GREATER THAN CLASS C WASTE

    5. The authority citation for part 72 is revised to read as 
follows:

    Authority: Secs. 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183, 
184, 186, 187, 189, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 
954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 
2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 
2234, 2236, 2237, 2238, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 
688, as amended (42 U.S.C. 2021); sec. 201, as amended, 202, 206, 88 
Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); 
Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-
486, sec. 7902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 102, Pub. L. 
91-190, 83 Stat. 853 (42 U.S.C. 4332); secs. 131, 132, 133, 135, 
137, 141, Pub. L. 97-425, 96 Stat. 2229, 2230, 2232, 2241, sec. 148, 
Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10151, 10152, 10153, 
10155, 10157, 10161, 10168); sec. 1704, 112 Stat. 2750 (44 U.S.C. 
3504 note); Energy Policy Act of 2005, Pub. L. No. 109-58, 119 Stat. 
549 (2005).
    Section 72.44(g) also issued under secs. 142(b) and 148(c), (d), 
Pub. L. 100-203, 101 Stat. 1330-232, 1330-236 (42 U.S.C. 10162(b), 
10168(c), (d). Section 72.46 also issued under sec. 189, 68 Stat. 
955 (42 U.S.C. 2239); sec. 134, Pub. L. 97-425, 96 Stat. 2230 (42 
U.S.C. 10154). Section 72.96(d) also issued under sec. 145(g), Pub. 
L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10165(g). Subpart J also 
issued under secs. 2(2), 2(15), 2(19), 117(a), 141(h), Pub. L. 97-
425, 96 Stat. 2202, 2203, 2204, 2222, 2224 (42 U.S.C. 10101, 
10137(a), 10161(h). Subparts K and L are also issued under sec. 133, 
98 Stat. 2230 (42 U.S.C. 10153) and sec. 218(a), 96 Stat. 2252 (42 
U.S.C. 10198).

    6. In Sec.  72.212, paragraphs (b)(5)(ii), (b)(5)(iii), (b)(5)(iv), 
and (b)(5)(v) are revised to read as follows:


Sec.  72.212  Conditions of general license issued under Sec.  72.210.

* * * * *
    (b) * * *
    (5) * * *
    (ii) Storage of spent fuel must be within a protected area, in 
accordance with Sec.  73.55(e) of this chapter, but need not be within 
a separate vital area. Existing protected areas may be expanded or new 
protected areas added for the purpose of storage of spent fuel in 
accordance with this general license.
    (iii) For purposes of this general license, personnel searches 
required by Sec.  73.55(h) of this chapter before admission to a new 
protected area may be performed by physical pat-down searches of 
persons in lieu of firearms and explosives detection equipment.
    (iv) The observational capability required by Sec.  73.55(i)(7) of 
this chapter as applied to a new protected area may be provided by a 
guard or watchman on patrol in lieu of closed circuit television.
    (v) For the purpose of this general license, the licensee is exempt 
from Sec. Sec.  73.55(k)(2) and 73.55(k)(7)(ii) of this chapter.
* * * * *

PART 73--PHYSICAL PROTECTION OF PLANTS AND MATERIALS

    7. The authority citation for part 73 is revised to read as 
follows:

    Authority: Secs. 53, 161, 149, 68 Stat. 930, 948, as amended, 
sec. 147, 94 Stat. 780 (42 U.S.C. 2073, 2167, 2169, 2201); sec. 201, 
as amended, 204, 88 Stat. 1242, as amended, 1245, sec. 1701, 106 
Stat. 2951, 2952, 2953 (42 U.S.C. 5841, 5844, 2297f); sec. 1704, 112 
Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005, Pub. L. 
No. 109-58, 119 Stat. 594 (2005).
    Section 73.1 also issued under secs. 135, 141, Pub. L. 97-425, 
96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 73.37(f) also 
issued under sec. 301, Pub. L. 96-295, 94 Stat. 789 (42 U.S.C. 5841 
note). Section 73.57 is issued under sec. 606, Pub. L. 99-399, 100 
Stat. 876 (42 U.S.C. 2169).

    8. In Sec.  73.2, definitions for covered weapon, enhanced weapon, 
safety/security interface, security officer, standard weapon, and 
target set are added in alphabetical order to read as follows:


Sec.  73.2  Definitions.

* * * * *
    Covered weapon means any handgun, rifle, shotgun, short-barreled 
shotgun, short-barreled rifle, semi-automatic assault weapon, 
machinegun, ammunition for any such gun or weapon, or a large capacity 
ammunition feeding device as specified under section 161A of the Atomic 
Energy Act of 1954, as amended. As used here, the terms ``handgun, 
rifle, shotgun, short-barreled shotgun, short-barreled rifle, semi-
automatic assault weapon, machinegun, ammunition, or large capacity 
ammunition feeding device'' have the same meaning as set forth for 
these terms under 18 U.S.C. 921(a). Covered weapons include both 
enhanced weapons and standard weapons. However, enhanced weapons do not 
include standard weapons.
* * * * *
    Enhanced weapon means any short-barreled shotgun, short-barreled 
rifle, or machinegun. Enhanced weapons do not include destructive 
devices, including explosives or weapons greater than 50 caliber (i.e., 
weapons with a bore greater than 1.27 cm [0.5 in] diameter).
* * * * *
    Safety/Security interface (SSI) means the actual or potential 
interactions that may adversely affect security activities due to any 
operational activities, or vice versa.
* * * * *
    Security officer means a uniformed individual, either armed with a 
covered weapon or unarmed, whose primary duty is the protection of a 
facility, of radioactive material, or of other property against theft 
or diversion or against radiological sabotage.
* * * * *
    Standard weapon means any handgun, rifle, shotgun, semi-automatic 
assault weapon, or a large capacity ammunition feeding device.
* * * * *
    Target set means the combination of equipment or operator actions 
which, if all are prevented from performing their intended safety 
function or prevented from being accomplished, would likely result in 
significant core damage (e.g., non-incipient, non-localized fuel 
melting, and/or core disruption) barring extraordinary action by plant 
operators. A target set with respect to spent fuel sabotage is draining 
the spent fuel pool leaving the spent fuel uncovered for a period of 
time, allowing spent fuel heat up and the associated potential for 
release of fission products.
* * * * *
    9. In Sec.  73.8, paragraph (b) is revised and paragraph (c) is 
added to read as follows:


Sec.  73.8  Information collection requirements: OMB approval.

* * * * *
    (b) The approved information collection requirements contained in 
this part appear in Sec. Sec.  73.5, 73.18, 73.19, 73.20, 73.21, 73.24, 
73.25, 73.26, 73.27, 73.37, 73.40, 73.45, 73.46, 73.50, 73.55, 73.56, 
73.57, 73.58, 73.60, 73.67, 73.70, 73.71, 73.72, 73.73, 73.74, and 
Appendices B, C, and G to this part.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection 
requirements and control numbers under which they are approved are as 
follows:
    (1) In Sec.  73.18, NRC Form 754 is approved under control number 
3150-xxxx;
    (2) In Sec.  73.71, NRC Form 366 is approved under control number 
3150-0104; and

[[Page 62847]]

    (3) In Sec. Sec.  73.18 and 73.57, Form FD-258 is approved under 
control number 1110-yyyy.
    10. Section 73.18 is added to read as follows:


Sec.  73.18  Firearms background check for armed security personnel.

    (a) Purpose. This section sets forth the requirements for 
completion of firearms background checks on armed security personnel at 
selected NRC-regulated facilities. Firearms background checks are 
intended to verify that armed security personnel whose duties require 
access to covered weapons are not prohibited from receiving, 
possessing, transporting, importing, or using such weapons under 
applicable Federal or State law. Licensees and certificate holders 
listed under paragraph (c) of this section who have applied for 
preemption authority under Sec.  73.19 (i.e., Sec.  73.19 authority), 
or who have been granted preemption authority by Commission order, are 
subject to the requirements of this section.
    (b) General requirements. (1) Licensees and certificate holders 
listed in paragraph (c) of this section who have received NRC approval 
of their application for preemption authority shall ensure that a 
firearms background check has been satisfactorily completed for all 
security personnel requiring access to covered weapons as part of their 
official security duties prior to granting access to any covered 
weapons to those personnel. Security personnel who have satisfactorily 
completed a firearms background check, but who have had a break in 
employment with the licensee, certificate holder, or their security 
contractor of greater than one (1) week subsequent to their most recent 
firearms background check, or who have transferred from a different 
licensee or certificate holder (even though the other licensee or 
certificate holder satisfactorily completed a firearms background check 
on such individuals), are not excepted from the requirements of this 
section.
    (2) Security personnel who have satisfactorily completed a firearms 
background check pursuant to Commission orders are not subject to a 
further firearms background check under this section, unless these 
personnel have a break in service or transfer as set forth in paragraph 
(b)(1) of this section.
    (3) A change in the licensee, certificate holder, or ownership of a 
facility, radioactive material, or other property designated under 
Sec.  73.19, or a change in the security contractor that provides 
security personnel responsible for protecting such facilities, 
radioactive material, or other property, shall not constitute `a break 
in service' or `transfer,' as those terms are used in paragraph (b)(2) 
of this section.
    (4) Licensees and certificate holders listed in paragraph (c) of 
this section may begin the application process for firearms background 
checks under this section for security personnel whose duties require 
access to covered weapons immediately on application to the NRC for 
preemption authority.
    (5) Firearms background checks do not replace any other background 
checks or criminal history checks required for the licensee's or 
certificate holder's security personnel under this chapter.
    (c) Applicability. This section applies to licensees or certificate 
holders who have applied for or received NRC approval of their 
application for Sec.  73.19 authority or were issued Commission orders 
requiring firearms background checks.
    (d) Firearms background check requirements. A firearms background 
check for security personnel must include--
    (1) A check of the individual's fingerprints against the Federal 
Bureau of Investigation's (FBI's) fingerprint system; and
    (2) A check of the individual's identifying information against the 
FBI's National Instant Criminal Background Check System (NICS).
    (e) Firearms background check submittals. (1) Licensees and 
certificate holders shall submit to the NRC, in accordance with Sec.  
73.4, for all security personnel requiring a firearms background check 
under this section--
    (i) A set of fingerprints, in accordance with paragraph (o) of this 
section, and
    (ii) A completed NRC Form 754.
    (2) Licensees and certificate holders shall retain a copy of all 
NRC Forms 754 submitted to the NRC for a period of one (1) year 
subsequent to the termination of an individual's access to covered 
weapons or to the denial of an individual's access to covered weapons.
    (f) NICS portion of a firearms background check. The NRC will 
forward the information contained in the submitted NRC Forms 754 to the 
FBI for evaluation against the NICS. Upon completion of the NICS 
portion of the firearms background check, the FBI will inform the NRC 
of the results with one of three responses under 28 CFR part 25; 
``proceed,'' ``denied,'' or ``delayed,'' and the associated NICS 
transaction number. The NRC will forward these results and the 
associated NICS transaction number to the submitting licensee or 
certificate holder. The submitting licensee or certificate holder shall 
provide these results to the individual who completed the NRC Form 754.
    (g) Satisfactory and adverse firearms background checks. (1) A 
satisfactorily completed firearms background check means a ``proceed'' 
response for the individual from the FBI's NICS.
    (2) An adversely completed firearms background check means a 
``denied'' or ``delayed'' response from the FBI's NICS.
    (h) Removal from access to covered weapons. Licensees or 
certificate holders who have received NRC approval of their application 
for Sec.  73.19 authority shall ensure security personnel are removed 
from duties requiring access to covered weapons upon the licensee's or 
certificate holder's knowledge of any disqualifying status or the 
occurrence of any disqualifying events under 18 U.S.C. 922(g) or (n), 
and the ATF's implementing regulations in 27 CFR part 478.
    (i) [Reserved].
    (j) Security personnel responsibilities. Security personnel 
assigned duties requiring access to covered weapons shall promptly 
[within three (3) working days] notify their employing licensee's or 
certificate holder's security management (whether directly employed by 
the licensee or certificate holder or employed by a security contractor 
to the licensee or certificate holder) of the existence of any 
disqualifying status or upon the occurrence of any disqualifying events 
listed under 18 U.S.C. 922(g) or (n), and the ATF's implementing 
regulations in 27 CFR part 478 that would prohibit them from possessing 
or receiving a covered weapon.
    (k) Awareness of disqualifying events. Licensees and certificate 
holders who have received NRC approval of Sec.  73.19 authority shall 
include within their NRC-approved security training and qualification 
plans instruction on--
    (1) Disqualifying status or events specified in 18 U.S.C. 922(g) 
and (n), and ATF's implementing regulations in 27 CFR part 478 
(including any applicable definitions) identifying categories of 
persons who are prohibited from possessing or receiving any covered 
weapons; and
    (2) The continuing responsibility of security personnel assigned 
duties requiring access to covered weapons to promptly notify their 
employing licensee or certificate holder of the occurrence of any 
disqualifying events.
    (l) [Reserved].
    (m) Notification of removal. Within 72 hours after taking action to 
remove security personnel from duties requiring access to covered 
weapons, because of

[[Page 62848]]

the existence of any disqualifying status or the occurrence of any 
disqualifying event--other than due to the prompt notification by the 
security officer under paragraph (j) of this section--licensees and 
certificate holders who have received NRC approval of Sec.  73.19 
authority shall notify the NRC Operations Center of such removal 
actions, in accordance with appendix A of this part.
    (n) Reporting violations of law. The NRC will promptly report 
suspected violations of Federal law to the appropriate Federal agency 
or suspected violations of State law to the appropriate State agency.
    (o) Procedures for processing of fingerprint checks. (1) Licensees 
and certificate holders who have applied for Sec.  73.19 authority, 
using an appropriate method listed in Sec.  73.4, shall submit to the 
NRC's Division of Facilities and Security one (1) completed, legible 
standard fingerprint card (Form FD-258, ORIMDNRCOOOZ) or, where 
practicable, other fingerprint record for each individual requiring a 
firearms background check, to the NRC's Director, Division of 
Facilities and Security, Mail Stop T6-E46, ATTN: Criminal History 
Check. Copies of this form may be obtained by writing the Office of 
Information Services, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555-0001, by calling (301) 415-6157, or by e-mail to 
<a href="/cdn-cgi/l/email-protection#e4a2abb6a9b7a48a9687ca838b92"><span class="__cf_email__" data-cfemail="c0868f928d9380aeb2a3eea7afb6">[email protected]</span></a>. Guidance on what alternative formats, including 
electronic submissions, may be practicable are referenced in Sec.  
73.4.
    (2) Licensees and certificate holders shall indicate on the 
fingerprint card or other fingerprint record that the purpose for this 
fingerprint check is the accomplishment of a firearms background check.
    (3) Licensees and certificate holders shall establish procedures to 
ensure that the quality of the fingerprints taken results in minimizing 
the rejection rate of fingerprint cards or records due to illegible or 
incomplete information.
    (4) The Commission will review fingerprints for firearms background 
checks for completeness. Any Form FD-258 or other fingerprint record 
containing omissions or evident errors will be returned to the licensee 
or certificate holder for corrections. The fee for processing 
fingerprint checks includes one (1) free re-submission if the initial 
submission is returned by the FBI because the fingerprint impressions 
cannot be classified. The one (1) free re-submission must have the FBI 
Transaction Control Number reflected on the re-submission. If 
additional submissions are necessary, they will be treated as an 
initial submittal and require a second payment of the processing fee. 
The payment of a new processing fee entitles the submitter to an 
additional free re-submittal, if necessary. Previously rejected 
submissions may not be included with the third submission because the 
submittal will be rejected automatically. Licensees and certificate 
holders may wish to consider using different methods for recording 
fingerprints for re-submissions, if difficulty occurs with obtaining a 
legible set of impressions.
    (5)(i) Fees for the processing of fingerprint checks are due upon 
application. Licensees and certificate holders shall submit payment 
with the application for the processing of fingerprints, and payment 
must be made by corporate check, certified check, cashier's check, 
money order, or electronic payment, made payable to ``U.S. NRC.'' \1\ 
Combined payment for multiple applications is acceptable.
---------------------------------------------------------------------------

    \1\ For guidance on making electronic payments, contact the 
NRC's Security Branch, Division of Facilities and Security, Office 
of Adminsitration at (301) 415-7404.
---------------------------------------------------------------------------

    (ii) The application fee is the sum of the user fee charged by the 
FBI for each fingerprint card or other fingerprint record submitted by 
the NRC on behalf of a licensee or certificate holder, and an 
administrative processing fee assessed by the NRC. The NRC processing 
fee covers administrative costs associated with NRC handling of 
licensee and certificate holder fingerprint submissions. The Commission 
publishes the amount of the fingerprint check application fee on the 
NRC's public Web site.\2\ The Commission will directly notify licensees 
and certificate holders who are subject to this regulation of any fee 
changes.
---------------------------------------------------------------------------

    \2\ For information on the current fee amount, refer to the 
Electronic Submittals page at http://www.nrc.gov/site-help/eie.html 
and select the link for the Criminal History Program.
---------------------------------------------------------------------------

    (6) The Commission will forward to the submitting licensee or 
certificate holder all data received from the FBI as a result of the 
licensee's or certificate holder's application(s) for fingerprint 
background checks, including the FBI's fingerprint record.
    (p) Appeals and correction of erroneous system information. (1) 
Individuals who require a firearms background check under this section 
and who receive a ``denied'' NICS response or a ``delayed'' NICS 
response may not be assigned duties requiring access to covered weapons 
during the pendency of an appeal of the results of the check or during 
the pendency of providing and evaluating any necessary additional 
information to the FBI to resolve the ``delayed'' response, 
respectively.
    (2) Licensees and certificate holders shall provide information on 
the FBI's procedures for appealing a ``denied'' response to the denied 
individual or on providing additional information to the FBI to resolve 
a ``delayed'' response.
    (3) An individual who receives a ``denied'' or ``delayed'' NICS 
response to a firearms background check under this section may request 
the reason for the response from the FBI. The licensee or certificate 
holder shall provide to the individual who has received the ``denied'' 
or ``delayed'' response the unique NICS transaction number associated 
with the specific firearms background check.
    (4) These requests for the reason for a ``denied'' or ``delayed'' 
NICS response must be made in writing, and must include the NICS 
transaction number. The request must be sent to the Federal Bureau of 
Investigation; NICS Section; Appeals Service Team, Module A-1; PO Box 
4278; Clarksburg, WV 26302-9922. The FBI will provide the individual 
with the reasons for the ``denied'' response or ``delayed'' response. 
The FBI will also indicate whether additional information or documents 
are required to support an appeal or resolution, for example, where 
there is a claim that the record in question does not pertain to the 
individual who was denied.
    (5) If the individual wishes to challenge the accuracy of the 
record upon which the ``denied'' or ``delayed'' response is based, or 
if the individual wishes to assert that his or her rights to possess or 
receive a firearm have been restored by lawful process, he or she may 
make application first to the FBI. The individual shall file an appeal 
of a ``denied'' response or file a request to resolve a ``delayed'' 
response within 45 calender days of the date the NRC forwards the 
results of the firearms background check to the licensee or certificate 
holder. The appeal or request must include appropriate documentation or 
record(s) establishing the legal and/or factual basis for the 
challenge. Any record or document of a court or other government entity 
or official furnished in support of an appeal must be certified by the 
court or other government entity or official as a true copy. The 
individual may supplement their initial appeal or request--subsequent 
to the 45 day filing deadline--with additional information as it 
becomes available, for example, where obtaining a true copy of a court 
transcript may take longer than 45 days. The individual should note in 
their appeal or request any information or

[[Page 62849]]

records that are being obtained, but are not yet available.
    (6) If the individual is notified that the FBI is unable to resolve 
the appeal, the individual may then apply for correction of the record 
directly to the agency from which the information forming the basis of 
the denial was originated. If the individual is notified by the 
originating agency, that additional information or documents are 
required the individual may provide them to the originating agency. If 
the record is corrected as a result of the appeal to the originating 
agency, the individual may so notify the FBI and submit written proof 
of the correction.
    (7) An individual who has satisfactorily appealed a ``denied'' 
response or resolved a ``delayed'' response may provide written consent 
to the FBI to maintain information about himself or herself in a 
Voluntary Appeal File (VAF) to be established by the FBI and checked by 
the NICS for the purpose of preventing the erroneous denial or extended 
delay by the NICS of any future NICS checks.
    (8) Individuals appealing a ``denied'' response or resolving a 
``delayed'' response are responsible for providing the FBI any 
additional information the FBI requires to resolve the ``delayed'' 
response.
    11. Section 73.19 is added to read as follows:


Sec.  73.19  Authorization for preemption of firearms laws and use of 
enhanced weapons.

    (a) Purpose. This section sets forth the requirements for licensees 
and certificate holders to obtain NRC approval to use the expanded 
authorities provided under section 161A of the Atomic Energy Act of 
1954 (AEA), in protecting NRC-designated facilities, radioactive 
material, or other property. These authorities include ``preemption 
authority'' and ``enhanced-weapons authority.''
    (b) General requirements. Licensees and certificate holders listed 
in paragraph (c) of this section may apply to the NRC, in accordance 
with the provisions of this section, to receive stand-alone preemption 
authority or combined enhanced weapons authority and preemption 
authority.
    (1) Preemption authority, as provided in section 161A of the AEA, 
means the authority of the Commission to permit licensees or 
certificate holders, or the designated security personnel of the 
licensee or certificate holder, to transfer, receive, possess, 
transport, import, or use one (1) or more category of standard and 
enhanced weapons, as defined in Sec.  73.2, notwithstanding any local, 
State, or certain Federal firearms laws (including regulations).
    (2) Enhanced weapons authority, as provided in section 161A of the 
AEA, means the authority of the Commission to permit licensees or 
certificate holders, or the designated security personnel of the 
licensee or certificate holder, to transfer, receive, possess, 
transport, import, and use one (1) or more category of enhanced 
weapons, as defined in Sec.  73.2, notwithstanding any local, State, or 
certain Federal firearms laws (including regulations).
    (3) Prior to receiving NRC approval of enhanced-weapons authority, 
the licensee or certificate holder must have applied for and received 
NRC approval for preemption authority, in accordance with this section 
or under Commission orders.
    (4) Prior to granting either authority, the NRC must determine that 
the proposed use of this authority is necessary in the discharge of 
official duties by security personnel engaged in protecting--
    (i) Facilities owned or operated by a licensee or certificate 
holder and designated by the Commission under paragraph (c) of this 
section, or
    (ii) Radioactive material or other property that is owned or 
possessed by a licensee or certificate holder, or that is being 
transported to or from an NRC-regulated facility. Before granting such 
approval, the Commission must determined that the radioactive material 
or other property is of significance to the common defense and security 
or public health and safety and has designated such radioactive 
material or other property under paragraph (c) of this section.
    (c) Applicability. (1) The following classes of licensees or 
certificate holders may apply for stand-alone preemption authority--
    (i) Power reactor facilities; and
    (ii) Facilities authorized to possess a formula quantity or greater 
of strategic special nuclear material with security plans subject to 
Sec. Sec.  73.20, 73.45, and 73.46.
    (2) The following classes of licensees or certificate holders may 
apply for combined enhanced-weapons authority and preemption 
authority--
    (i) Power reactor facilities; and
    (ii) Facilities authorized to possess a formula quantity or greater 
of strategic special nuclear material with security plans subject to 
Sec. Sec.  73.20, 73.45, and 73.46.
    (3) With respect to the possession and use of firearms by all other 
NRC licensees or certificate holders, the Commission's requirements in 
effect before [effective date of final rule] remain applicable, except 
to the extent those requirements are modified by Commission order or 
regulations applicable to such licensees and certificate holders.
    (d) Application for preemption authority. (1) Licensees and 
certificate holders listed in paragraph (c) of this section may apply 
to the NRC for the preemption authority described in paragraph (b)(1) 
of this section. Licensees and certificate holders seeking such 
authority shall submit an application to the NRC in writing, in 
accordance with Sec.  73.4, and indicate that the licensee or 
certificate holder is requesting preemption authority under section 
161A of the AEA.
    (2) Licensees and certificate holders who have applied for 
preemption authority under this section may begin firearms background 
checks under Sec.  73.18 for their armed security personnel.
    (3) Licensees and certificate holders who have applied for 
preemption authority under this section and who have satisfactorily 
completed firearms background checks for a sufficient number of 
security personnel (to implement their security plan while meeting 
security personnel fatigue requirements of this chapter or Commission 
order) shall notify the NRC, in accordance with Sec.  73.4, of their 
readiness to receive NRC approval of preemption authority and implement 
all the provisions of Sec.  73.18.
    (4) Based upon the licensee's or certificate holder's readiness 
notification and any discussions with the licensee or certificate 
holder, the NRC will document in writing to the licensee or certificate 
holder that the Commission has approved or disapproved the licensee's 
or certificate holder's application for preemption authority.
    (e) Application for enhanced-weapons authority. (1) Licensees and 
certificate holders listed in paragraph (c)(2) of this section may 
apply to the NRC for enhanced-weapons authority described in paragraph 
(a)(2) of this section. Licensees and certificate holders applying for 
enhanced-weapons authority shall have also applied for preemption 
authority. Licensees and certificate holders may make these 
applications concurrently.
    (2) Licensees and certificate holders seeking enhanced-weapons 
authority shall submit an application to the NRC, in accordance with 
Sec.  73.4, indicating that the licensee or certificate holder is 
requesting enhanced-weapons authority under section 161A of the AEA. 
Licensees and certificate holders shall also include with their 
application--

[[Page 62850]]

    (i) The additional information required by paragraph (f) of this 
section;
    (ii) The date they applied to the NRC for preemption authority (if 
not concurrent with the application for enhanced weapons authority); 
and
    (iii) If applicable, the date when the licensee or certificate 
holder received NRC approval of their application for preemption 
authority under this section or by Commission order.
    (3) The NRC will document in writing to the licensee or certificate 
holder that the Commission has approved or disapproved the licensee's 
or certificate holder's application for enhanced-weapons authority. The 
NRC must approve, or have previously approved, a licensee's or 
certificate holder's application for preemption authority under 
paragraph (d) of this section, or via Commission order, to approve the 
application for enhanced weapons authority.
    (4) Licensees and certificate holders who have applied to the NRC 
for and received enhanced-weapons authority shall then apply to the 
U.S. Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) for a 
federal firearms license (FFL) and also register under the National 
Firearms Act (NFA) in accordance with ATF's regulations under 27 CFR 
parts 478 and 479 to obtain the enhanced weapons. Licensees and 
certificate holders shall include a copy of the NRC's written approval 
with their NFA registration application.
    (f) Application for enhanced-weapons authority additional 
information. (1) Licensees and certificate holders applying to the 
Commission for enhanced-weapons authority under paragraph (e) of this 
section shall also submit to the NRC for prior review and written 
approval new, or revised, physical security plans, security personnel 
training and qualification plans, safeguards contingency plans, and 
safety assessments incorporating the use of the specific enhanced 
weapons the licensee or certificate holder intends to use. These plans 
and assessments must be specific to the facility, radioactive material, 
or other property being protected.
    (2) In addition to other requirements set forth in this part, these 
plans and assessments must--
    (i) For the physical security plan, identify the specific types or 
models, calibers, and numbers of enhanced weapons to be used;
    (ii) For the training and qualification plan, address the training 
and qualification requirements to use these specific enhanced weapons; 
and
    (iii) For the safeguards contingency plan, address how these 
enhanced and any standard weapons will be employed by the licensee's or 
certificate holder's security personnel in meeting the NRC-required 
protective strategy, including tactical approaches and maneuvers.
    (iv) For the safety assessment--
    (A) Assess any potential safety impact on the facility, radioactive 
material, or other property from the use of these enhanced weapons;
    (B) Assess any potential safety impact on public or private 
facilities, public or private property, or on members of the public in 
areas outside of the site boundary from the use of these enhanced 
weapons; and
    (C) Assess any potential safety impact on public or private 
facilities, public or private property, or on members of the public 
from the use of these enhanced weapons at training facilities intended 
for proficiency demonstration and qualification purposes.
    (3) The licensee's or certificate holder's training and 
qualification plan on possessing, storing, maintaining, qualifying on, 
and using enhanced weapons must include information from applicable 
firearms standards developed by nationally-recognized firearms 
organizations or standard setting bodies or standards developed by 
Federal agencies, such as: The U.S. Department of Homeland Security's 
Federal Law Enforcement Training Center, the U.S. Department of 
Energy's National Training Center, and the U.S. Department of Defense.
    (4) Licensees or certificate holders shall submit any new or 
revised plans and assessments for prior NRC review and written approval 
notwithstanding the provisions of Sec. Sec.  50.54(p), 70.32(e), and 
76.60 of this chapter which otherwise permit a license or certificate 
holder to make changes to such plans ``that would not decrease their 
effectiveness'' without prior NRC review.
    (g) Completion of training and qualification prior to use of 
enhanced weapons. Licensees and certificate holders who have applied 
for and received enhanced-weapons authority under paragraph (e) of this 
section shall ensure security personnel complete required firearms 
training and qualification in accordance with the licensee's or 
certificate holder's NRC-approved training and qualification plan. Such 
training must be completed prior to security personnel's use of 
enhanced weapons to protect NRC-designated facilities, radioactive 
material, or other property and must be documented in accordance with 
the requirements of the licensee's or certificate holder's training and 
qualification plan.
    (h) Use of enhanced weapons. Requirements regarding the use of 
enhanced weapons by security personnel in the performance of their 
official duties are contained in Sec. Sec.  73.46 and 73.55 and in 
appendices B and C of this part, as applicable.
    (i) [Reserved].
    (j) Notification of adverse ATF findings or notices. NRC licensees 
and certificate holders with an ATF federal firearms license (FFL) and/
or enhanced weapons shall notify the NRC, in accordance with Sec.  
73.4, of instances involving any adverse ATF findings or ATF notices 
related to their FFL or such weapons.
    12. Section 73.55 is revised to read as follows:


Sec.  73.55  Requirements for physical protection of licensed 
activities in nuclear power reactors against radiological sabotage.

    (a) Introduction. (1) By [date--180 days--after the effective date 
of the final rule published in the Federal Register], each nuclear 
power reactor licensee, licensed under 10 CFR part 50, shall 
incorporate the revised requirements of this section through amendments 
to its Commission-approved Physical Security Plan, Training and 
Qualification Plan, and Safeguards Contingency Plan, referred to 
collectively as ``approved security plans,'' and shall submit the 
amended security plans to the Commission for review and approval.
    (2) The amended security plans must be submitted as specified in 
Sec.  50.4 of this chapter and must describe how the revised 
requirements of this section will be implemented by the licensee, to 
include a proposed implementation schedule.
    (3) The licensee shall implement the existing approved security 
plans and associated Commission orders until Commission approval of the 
amended security plans, unless otherwise authorized by the Commission.
    (4) The licensee is responsible for maintaining the onsite physical 
protection program in accordance with Commission regulations and 
related Commission-directed orders through the implementation of the 
approved security plans and site implementing procedures.
    (5) Applicants for an operating license under the provisions of 
part 50 of this chapter, or holders of a combined license under the 
provisions of part 52 of this chapter, shall satisfy the requirements 
of this section before the receipt of special nuclear material in the 
form of fuel assemblies.
    (6) For licenses issued after [effective date of the final rule], 
licensees shall

[[Page 62851]]

design construct, and equip the central alarm station and secondary 
alarm station to equivalent standards.
    (i) Licensees shall apply the requirements for the central alarm 
station listed in paragraphs (e)(6)(v), (e)(7)(iii), and (i)(8)(ii) of 
this section to the secondary alarm station as well as the central 
alarm station.
    (ii) Licensees shall comply with the requirements of paragraph 
(i)(4) of this section such that both alarm stations are provided with 
equivalent capabilities for detection, assessment, monitoring, 
observation, surveillance, and communications.
    (b) General performance objective and requirements. (1) The 
licensee shall establish and maintain a physical protection program, to 
include a security organization which will have as its objective to 
provide high assurance that activities involving special nuclear 
material are not inimical to the common defense and security and do not 
constitute an unreasonable risk to the public health and safety.
    (2) The physical protection program must be designed to detect, 
assess, intercept, challenge, delay, and neutralize threats up to and 
including the design basis threat of radiological sabotage as stated in 
Sec.  73.1(a), at all times.
    (3) The licensee physical protection program must be designed and 
implemented to satisfy the requirements of this section and ensure that 
no single act, as bounded by the design basis threat, can disable the 
personnel, equipment, or systems necessary to prevent significant core 
damage and spent fuel sabotage.
    (4) The physical protection program must include diverse and 
redundant equipment, systems, technology, programs, supporting 
processes, and implementing procedures.
    (5) Upon the request of an authorized representative of the 
Commission, the licensee shall demonstrate the ability to meet 
Commission requirements through the implementation of the physical 
protection program, including the ability of armed and unarmed 
personnel to perform assigned duties and responsibilities required by 
the approved security plans and licensee procedures.
    (6) The licensee shall establish and maintain a written performance 
evaluation program in accordance with appendix B and appendix C to this 
part, to demonstrate and assess the effectiveness of armed responders 
and armed security officers to perform their assigned duties and 
responsibilities to protect target sets described in paragraph (f) of 
this section and appendix C to this part, through implementation of the 
licensee protective strategy.
    (7) The licensee shall establish, maintain, and follow an access 
authorization program in accordance with Sec.  73.56.
    (i) In addition to the access authorization program required above, 
and the fitness-for-duty program required in part 26 of this chapter, 
each licensee shall develop, implement, and maintain an insider 
mitigation program.
    (ii) The insider mitigation program must be designed to oversee and 
monitor the initial and continuing trustworthiness and reliability of 
individuals granted or retaining unescorted access authorization to a 
protected or vital area and implement defense-in-depth methodologies to 
minimize the potential for an insider to adversely affect, either 
directly or indirectly, the licensee capability to prevent significant 
core damage or spent fuel sabotage.
    (8) The licensee shall ensure that its corrective action program 
assures that failures, malfunctions, deficiencies, deviations, 
defective equipment and nonconformances in security program components, 
functions, or personnel are promptly identified and corrected. Measures 
shall ensure that the cause of any of these conditions is determined 
and that corrective action is taken to preclude repetition.
    (c) Security plans. (1) Licensee security plans. Licensee security 
plans must implement Commission requirements and must describe:
    (i) How the physical protection program will prevent significant 
core damage and spent fuel sabotage through the establishment and 
maintenance of a security organization, the use of security equipment 
and technology, the training and qualification of security personnel, 
and the implementation of predetermined response plans and strategies; 
and
    (ii) Site-specific conditions that affect implementation of 
Commission requirements.
    (2) Protection of security plans. The licensee shall protect the 
approved security plans and other related safeguards information 
against unauthorized disclosure in accordance with the requirements of 
Sec.  73.21.
    (3) Physical security plan. (i) The licensee shall establish, 
maintain, and implement a Commission-approved physical security plan 
that describes how the performance objective and requirements set forth 
in this section will be implemented.
    (ii) The physical security plan must describe the facility location 
and layout, the security organization and structure, duties and 
responsibilities of personnel, defense-in-depth implementation that 
describes components, equipment and technology used.
    (4) Training and qualification plan. (i) The licensee shall 
establish, maintain, and follow a Commission-approved training and 
qualification plan, that describes how the criteria set forth in 
appendix B ``General Criteria for Security Personnel,'' to this part 
will be implemented.
    (ii) The training and qualification plan must describe the process 
by which armed and unarmed security personnel, watchpersons, and other 
members of the security organization will be selected, trained, 
equipped, tested, qualified, and re-qualified to ensure that these 
individuals possess and maintain the knowledge, skills, and abilities 
required to carry out their assigned duties and responsibilities 
effectively.
    (5) Safeguards contingency plan. (i) The licensee shall establish, 
maintain, and implement a Commission-approved safeguards contingency 
plan that describes how the criteria set forth in section II of 
appendix C, ``Licensee Safeguards Contingency Plans,'' to this part 
will be implemented.
    (ii) The safeguards contingency plan must describe predetermined 
actions, plans, and strategies designed to intercept, challenge, delay, 
and neutralize threats up to and including the design basis threat of 
radiological sabotage.
    (6) Implementing procedures. (i) The licensee shall establish, 
maintain, and implement written procedures that document the structure 
of the security organization, detail the specific duties and 
responsibilities of each position, and implement Commission 
requirements through the approved security plans.
    (ii) Implementing procedures need not be submitted to the 
Commission for prior approval, but are subject to inspection by the 
Commission.
    (iii) Implementing procedures must detail the specific actions to 
be taken and decisions to be made by each position of the security 
organization to implement the approved security plans.
    (iv) The licensee shall:
    (A) Develop, maintain, enforce, review, and revise security 
implementing procedures.
    (B) Provide a process for the written approval of implementing 
procedures and revisions by the individual with overall responsibility 
for the security functions.
    (C) Ensure that changes made to implementing procedures do not

[[Page 62852]]

decrease the effectiveness of any procedure to implement and satisfy 
Commission requirements.
    (7) Plan revisions. The licensee shall revise approved security 
plans as necessary to ensure the effective implementation of Commission 
regulations and the licensee's protective strategy. Commission approval 
of revisions made pursuant to this paragraph is not required, provided 
that revisions meet the requirements of Sec.  50.54(p) of this chapter. 
Changes that are beyond the scope allowed per Sec.  50.54(p) of this 
chapter shall be submitted as required by Sec. Sec.  50.90 of this 
chapter or Sec.  73.5.
    (d) Security organization. (1) The licensee shall establish and 
maintain a security organization designed, staffed, trained, and 
equipped to provide early detection, assessment, and response to 
unauthorized activities within any area of the facility.
    (2) The security organization must include:
    (i) A management system that provides oversight of the onsite 
physical protection program.
    (ii) At least one member, onsite and available at all times, who 
has the authority to direct the activities of the security organization 
and who is assigned no other duties that would interfere with this 
individual's ability to perform these duties in accordance with the 
approved security plans and licensee protective strategy.
    (3) The licensee may not permit any individual to act as a member 
of the security organization unless the individual has been trained, 
equipped, and qualified to perform assigned duties and responsibilities 
in accordance with the requirements of appendix B to part 73 and the 
Commission-approved training and qualification plan.
    (4) The licensee may not assign an individual to any position 
involving detection, assessment, or response to unauthorized activities 
unless that individual has satisfied the requirements of Sec.  73.56.
    (5) If a contracted security force is used to implement the onsite 
physical protection program, the licensee's written agreement with the 
contractor must be retained by the licensee as a record for the 
duration of the contract and must clearly state the following 
conditions:
    (i) The licensee is responsible to the Commission for maintaining 
the physical protection program in accordance with Commission orders, 
Commission regulations, and the approved security plans.
    (ii) The Commission may inspect, copy, retain, and remove all 
reports and documents required to be kept by Commission regulations, 
orders, or applicable license conditions whether the reports and 
documents are kept by the licensee or the contractor.
    (iii) An individual may not be assigned to any position involving 
detection, assessment, or response to unauthorized activities unless 
that individual has satisfied the requirements of Sec.  73.56.
    (iv) An individual may not be assigned duties and responsibilities 
required to implement the approved security plans or licensee 
protective strategy unless that individual has been properly trained, 
equipped, and qualified to perform their assigned duties and 
responsibilities in accordance with appendix B to part 73 and the 
Commission-approved training and qualification plan.
    (v) Upon the request of an authorized representative of the 
Commission, the contractor security employees shall demonstrate the 
ability to perform their assigned duties and responsibilities 
effectively.
    (vi) Any license for possession and ownership of enhanced weapons 
will reside with the licensee.
    (e) Physical barriers. Based upon the licensee's protective 
strategy, analyses, and site conditions that affect the use and 
placement of physical barriers, the licensee shall install and maintain 
physical barriers that are designed and constructed as necessary to 
deter, delay, and prevent the introduction of unauthorized personnel, 
vehicles, or materials into areas for which access must be controlled 
or restricted.
    (1) The licensee shall describe in the approved security plans, the 
design, construction, and function of physical barriers and barrier 
systems used and shall ensure that each barrier and barrier system is 
designed and constructed to satisfy the stated function of the barrier 
and barrier system.
    (2) The licensee shall retain in accordance with Sec.  73.70, all 
analyses, comparisons, and descriptions of the physical barriers and 
barrier systems used to satisfy the requirements of this section, and 
shall protect these records as safeguards information in accordance 
with the requirements of Sec.  73.21.
    (3) Physical barriers must:
    (i) Clearly delineate the boundaries of the area(s) for which the 
physical barrier provides protection or a function, such as protected 
and vital area boundaries and stand-off distance.
    (ii) Be designed and constructed to protect against the design 
basis threat commensurate to the required function of each barrier and 
in support of the licensee protective strategy.
    (iii) Provide visual deterrence, delay, and support access control 
measures.
    (iv) Support effective implementation of the licensee's protective 
strategy.
    (4) Owner controlled area. The licensee shall establish and 
maintain physical barriers in the owner controlled area to deter, 
delay, or prevent unauthorized access, facilitate the early detection 
of unauthorized activities, and control approach routes to the 
facility.
    (5) Isolation zone. (i) An isolation zone must be maintained in 
outdoor areas adjacent to the protected area perimeter barrier. The 
isolation zone shall be:
    (A) Designed and of sufficient size to permit unobstructed 
observation and assessment of activities on either side of the 
protected area barrier.
    (B) Equipped with intrusion detection equipment capable of 
detecting both attempted and actual penetration of the protected area 
perimeter barrier and assessment equipment capable of facilitating 
timely evaluation of the detected unauthorized activities before 
completed penetration of the protected area perimeter barrier.
    (ii) Assessment equipment in the isolation zone must provide real-
time and play-back/recorded video images in a manner that allows timely 
evaluation of the detected unauthorized activities before and after 
each alarm annunciation.
    (iii) Parking facilities, storage areas, or other obstructions that 
could provide concealment or otherwise interfere with the licensee's 
capability to meet the requirements of paragraphs (e)(5)(i)(A) and (B) 
of this section, must be located outside of the isolation zone.
    (6) Protected area. (i) The protected area perimeter must be 
protected by physical barriers designed and constructed to meet 
Commission requirements and all penetrations through this barrier must 
be secured in a manner that prevents or delays, and detects the 
exploitation of any penetration.
    (ii) The protected area perimeter physical barriers must be 
separated from any other barrier designated as a vital area physical 
barrier, unless otherwise identified in the approved physical security 
plan.
    (iii) All emergency exits in the protected area must be secured by 
locking devices that allow exit only and alarmed.
    (iv) Where building walls, roofs, or penetrations comprise a 
portion of the protected area perimeter barrier, an isolation zone is 
not necessary, provided that the detection, assessment, observation, 
monitoring, and

[[Page 62853]]

surveillance requirements of this section are met, appropriately 
designed and constructed barriers are installed, and the area is 
described in the approved security plans.
    (v) The reactor control room, the central alarm station, and the 
location within which the last access control function for access to 
the protected area is performed, must be bullet-resisting.
    (vi) All exterior areas within the protected area must be 
periodically checked to detect and deter unauthorized activities, 
personnel, vehicles, and materials.
    (7) Vital areas. (i) Vital equipment must be located only within 
vital areas, which in turn must be located within protected areas so 
that access to vital equipment requires passage through at least two 
physical barriers designed and constructed to perform the required 
function, except as otherwise approved by the Commission in accordance 
with paragraph (f)(3) of this section.
    (ii) More than one vital area may be located within a single 
protected area.
    (iii) The reactor control room, the spent fuel pool, secondary 
power supply systems for intrusion detection and assessment equipment, 
non-portable communications equipment, and the central alarm station, 
must be provided protection equivalent to vital equipment located 
within a vital area.
    (iv) Vital equipment that is undergoing maintenance or is out of 
service, or any other change to site conditions that could adversely 
affect plant safety or security, must be identified in accordance with 
Sec.  73.58, and adjustments must be made to the site protective 
strategy, site procedures, and approved security plans, as necessary.
    (v) The licensee shall protect all vital areas, vital area access 
portals, and vital area emergency exits with intrusion detection 
equipment and locking devices. Emergency exit locking devices shall be 
designed to permit exit only.
    (vi) Unoccupied vital areas must be locked.
    (8) Vehicle barrier system. The licensee must:
    (i) Prevent unauthorized vehicle access or proximity to any area 
from which any vehicle, its personnel, or its contents could disable 
the personnel, equipment, or systems necessary to meet the performance 
objective and requirements described in paragraph (b) of this section.
    (ii) Limit and control all vehicle approach routes.
    (iii) Design and install a vehicle barrier system, to include 
passive and active barriers, at a stand-off distance adequate to 
protect personnel, equipment, and systems against the design basis 
threat.
    (iv) Deter, detect, delay, or prevent vehicle use as a means of 
transporting unauthorized personnel or materials to gain unauthorized 
access beyond a vehicle barrier system, gain proximity to a protected 
area or vital area, or otherwise penetrate the protected area 
perimeter.
    (v) Periodically check the operation of active vehicle barriers and 
provide a secondary power source or a means of mechanical or manual 
operation, in the event of a power failure to ensure that the active 
barrier can be placed in the denial position within the time line 
required to prevent unauthorized vehicle access beyond the required 
standoff distance.
    (vi) Provide surveillance and observation of vehicle barriers and 
barrier systems to detect unauthorized activities and to ensure the 
integrity of each vehicle barrier and barrier system.
    (9) Waterways. (i) The licensee shall control waterway approach 
routes or proximity to any area from which a waterborne vehicle, its 
personnel, or its contents could disable the personnel, equipment, or 
systems necessary to meet the performance objective and requirements 
described in paragraph (b) of this section.
    (ii) The licensee shall delineate areas from which a waterborne 
vehicle must be restricted and install waterborne vehicle control 
measures, where applicable.
    (iii) The licensee shall monitor waterway approaches and adjacent 
areas to ensure early detection, assessment, and response to 
unauthorized activity or proximity, and to ensure the integrity of 
installed waterborne vehicle control measures.
    (iv) Where necessary to meet the requirements of this section, 
licensees shall coordinate with local, State, and Federal agencies 
having jurisdiction over waterway approaches.
    (10) Unattended openings in any barrier established to meet the 
requirements of this section that are 620 cm<SUP>2</SUP> (96.1 
in<SUP>2</SUP>) or greater in total area and have a smallest dimension 
of 15 m (5.9 in) or greater, must be secured and monitored at a 
frequency that would prevent exploitation of the opening consistent 
with the intended function of each barrier.
    (f) Target sets. (1) The licensee shall document in site procedures 
the process used to develop and identify target sets, to include 
analyses and methodologies used to determine and group the target set 
equipment or elements.
    (2) The licensee shall consider the effects that cyber attacks may 
have upon individual equipment or elements of each target set or 
grouping.
    (3) Target set equipment or elements that are not contained within 
a protected or vital area must be explicitly identified in the approved 
security plans and protective measures for such equipment or elements 
must be addressed by the licensee's protective strategy in accordance 
with appendix C to this part.
    (4) The licensee shall implement a program for the oversight of 
plant equipment and systems documented as part of the licensee 
protective strategy to ensure that changes to the configuration of the 
identified equipment and systems do not compromise the licensee's 
capability to prevent significant core damage and spent fuel sabotage.
    (g) Access control. (1) The licensee shall:
    (i) Control all points of personnel, vehicle, and material access 
into any area, or beyond any physical barrier or barrier system, 
established to meet the requirements of this section.
    (ii) Control all points of personnel and vehicle access into vital 
areas in accordance with access authorization lists.
    (iii) During non-emergency conditions, limit unescorted access to 
the protected area and vital areas to only those individuals who 
require unescorted access to perform assigned duties and 
responsibilities.
    (iv) Monitor and ensure the integrity of access control systems.
    (v) Provide supervision and control over the badging process to 
prevent unauthorized bypass of access control equipment located at or 
outside of the protected area.
    (vi) Isolate the individual responsible for the last access control 
function (controlling admission to the protected area) within a bullet-
resisting structure to assure the ability to respond or to summon 
assistance in response to unauthorized activities.
    (vii) In response to specific threat and security information, 
implement a two-person (line-of-sight) rule for all personnel in vital 
areas so that no one individual is permitted unescorted access to vital 
areas. Under these conditions, the licensee shall implement measures to 
verify that the two person rule has been met when a vital area is 
accessed.
    (2) In accordance with the approved security plans and before 
granting unescorted access through an access control point, the 
licensee shall:
    (i) Confirm the identity of individuals.
    (ii) Verify the authorization for access of individuals, vehicles, 
and materials.

[[Page 62854]]

    (iii) Search individuals, vehicles, packages, deliveries, and 
materials in accordance with paragraph (h) of this section.
    (iv) Confirm, in accordance with industry shared lists and 
databases, that individuals have not been denied access to another 
power reactor facility.
    (3) Access control points must be:
    (i) Equipped with locking devices, intrusion detection equipment, 
and monitoring, observation, and surveillance equipment, as 
appropriate.
    (ii) Located outside or concurrent with, the physical barrier 
system through which it controls access.
    (4) Emergency conditions. (i) The licensee shall design the access 
control system to accommodate the potential need for rapid ingress or 
egress of authorized individuals during emergency conditions or 
situations that could lead to emergency conditions.
    (ii) Under emergency conditions, the licensee shall implement 
procedures to ensure that:
    (A) Authorized emergency personnel are provided prompt access to 
affected areas and equipment.
    (B) Attempted or actual unauthorized entry to vital equipment is 
detected.
    (C) The capability to prevent significant core damage and spent 
fuel sabotage is maintained.
    (iii) The licensee shall ensure that restrictions for site access 
and egress during emergency conditions are coordinated with responses 
by offsite emergency support agencies identified in the site emergency 
plans.
    (5) Vehicles. (i) The licensee shall exercise control over all 
vehicles while inside the protected area and vital areas to ensure they 
are used only by authorized persons and for authorized purposes.
    (ii) Vehicles inside the protected area or vital areas must be 
operated by an individual authorized unescorted access to the area, or 
must be escorted by an individual trained, qualified, and equipped to 
perform vehicle escort duties, while inside the area.
    (iii) Vehicles inside the protected area must be limited to plant 
functions or emergencies, and must be disabled when not in use.
    (iv) Vehicles transporting hazardous materials inside the protected 
area must be escorted by an armed member of the security organization.
    (6) Access control devices. (i) Identification badges. The licensee 
shall implement a numbered photo identification badge/key-card system 
for all individuals authorized unescorted access to the protected area 
and vital areas.
    (A) Identification badges may be removed from the protected area 
only when measures are in place to confirm the true identity and 
authorization for unescorted access of the badge holder before allowing 
unescorted access to the protected area.
    (B) Except where operational safety concerns require otherwise, 
identification badges must be clearly displayed by all individuals 
while inside the protected area and vital areas.
    (C) The licensee shall maintain a record, to include the name and 
areas to which unescorted access is granted, of all individuals to whom 
photo identification badge/key-cards have been issued.
    (ii) Keys, locks, combinations, and passwords. All keys, locks, 
combinations, passwords, and related access control devices used to 
control access to protected areas, vital areas, security systems, and 
safeguards information must be controlled and accounted for to reduce 
the probability of compromise. The licensee shall:
    (A) Issue access control devices only to individuals who require 
unescorted access to perform official duties and responsibilities.
    (B) Maintain a record, to include name and affiliation, of all 
individuals to whom access control devices have been issued, and 
implement a process to account for access control devices at least 
annually.
    (C) Implement compensatory measures upon discovery or suspicion 
that any access control device may have been compromised. Compensatory 
measures must remain in effect until the compromise is corrected.
    (D) Retrieve, change, rotate, deactivate, or otherwise disable 
access control devices that have been, or may have been compromised.
    (E) Retrieve, change, rotate, deactivate, or otherwise disable all 
access control devices issued to individuals who no longer require 
unescorted access to the areas for which the devices were designed.
    (7) Visitors. (i) The licensee may permit escorted access to the 
protected area to individuals who do not have unescorted access 
authorization in accordance with the requirements of Sec.  73.56 and 
part 26 of this chapter. The licensee shall:
    (A) Implement procedures for processing, escorting, and controlling 
visitors.
    (B) Confirm the identity of each visitor through physical 
presentation of a recognized identification card issued by a local, 
State, or Federal Government agency that includes a photo or contains 
physical characteristics of the individual requesting escorted access.
    (C) Maintain a visitor control register in which all visitors shall 
register their name, date, time, purpose of visit, employment 
affiliation, citizenship, and name of the individual to be visited 
before being escorted into any protected or vital area.
    (D) Issue a visitor badge to all visitors that clearly indicates 
that an escort is required.
    (E) Escort all visitors, at all times, while inside the protected 
area and vital areas.
    (ii) Individuals not employed by the licensee but who require 
frequent and extended unescorted access to the protected area and vital 
areas shall satisfy the access authorization requirements of Sec.  
73.56 and part 26 of this chapter and shall be issued a non-employee 
photo identification badge that is easily distinguished from other 
identification badges before being allowed unescorted access to the 
protected area. Non-employee photo identification badges must indicate:
    (A) Non-employee, no escort required.
    (B) Areas to which access is authorized.
    (C) The period for which access is authorized.
    (D) The individual's employer.
    (E) A means to determine the individual's emergency plan assembly 
area.
    (8) Escorts. The licensee shall ensure that all escorts are trained 
in accordance with appendix B to this part, the approved training and 
qualification plan, and licensee policies and procedures.
    (i) Escorts shall be authorized unescorted access to all areas in 
which they will perform escort duties.
    (ii) Individuals assigned to escort visitors shall be provided a 
means of timely communication with both alarm stations in a manner that 
ensures the ability to summon assistance when needed.
    (iii) Individuals assigned to vehicle escort duties shall be 
provided a means of continuous communication with both alarm stations 
to ensure the ability to summon assistance when needed.
    (iv) Escorts shall be knowledgeable of those activities that are 
authorized to be performed within the areas for which they are assigned 
to perform escort duties and must also be knowledgeable of those 
activities that are authorized to be performed by any individual for 
which the escort is assigned responsibility.
    (v) Visitor to escort ratios shall be limited to 10 to 1 in the 
protected area and 5 to 1 in vital areas, provided that the necessary 
observation and control requirements of this section can be

[[Page 62855]]

maintained by the assigned escort over all visitor activities.
    (h) Search programs. (1) At each designated access control point 
into the owner controlled area and protected area, the licensee shall 
search individuals, vehicles, packages, deliveries, and materials in 
accordance with the requirements of this section and the approved 
security plans, before granting access.
    (i) The objective of the search program must be to deter, detect, 
and prevent the introduction of unauthorized firearms, explosives, 
incendiary devices, or other unauthorized materials and devices into 
designated areas in which the unauthorized items could be used to 
disable personnel, equipment, and systems necessary to meet the 
performance objective and requirements of paragraph (b) of this 
section.
    (ii) The search requirements for unauthorized firearms, explosives, 
incendiary devices, or other unauthorized materials and devices must be 
accomplished through the use of equipment capable of detecting these 
unauthorized items and through visual and hands-on physical searches, 
as needed to ensure all items are identified before granting access.
    (iii) Only trained and qualified members of the security 
organization, and other trained and qualified personnel designated by 
the licensee, shall perform search activities or be assigned duties and 
responsibilities required to satisfy observation requirements for the 
search activities.
    (2) The licensee shall establish and implement written search 
procedures for all access control points before granting access to any 
individual, vehicle, package, delivery, or material.
    (i) Search procedures must ensure that items possessed by an 
individual, or contained within a vehicle or package, must be clearly 
identified as not being a prohibited item before granting access beyond 
the access control point for which the search is conducted.
    (ii) The licensee shall visually and physically hand search all 
individuals, vehicles, and packages containing items that cannot be or 
are not clearly identified by search equipment.
    (3) Whenever search equipment is out of service or is not operating 
satisfactorily, trained and qualified members of the security 
organization shall conduct a hands-on physical search of all 
individuals, vehicles, packages, deliveries, and materials that would 
otherwise have been subject to equipment searches.
    (4) When an attempt to introduce unauthorized items has occurred or 
is suspected, the licensee shall implement actions to ensure that the 
suspect individuals, vehicles, packages, deliveries, and materials are 
denied access and shall perform a visual and hands-on physical search 
to determine the absence or existence of a threat.
    (5) Vehicle search procedures must be performed by at least two (2) 
properly trained and equipped security personnel, at least one of whom 
is positioned to observe the search process and provide a timely 
response to unauthorized activities if necessary.
    (6) Vehicle areas to be searched must include, but are not limited 
to, the cab, engine compartment, undercarriage, and cargo area.
    (7) Vehicle search checkpoints must be equipped with video 
surveillance equipment that must be monitored by an individual capable 
of initiating and directing a timely response to unauthorized activity.
    (8) Exceptions to the search requirements of this section must be 
submitted to the Commission for prior review and approval and must be 
identified in the approved security plans.
    (i) Vehicles and items that may be excepted from the search 
requirements of this section must be escorted by an armed individual 
who is trained and equipped to observe offloading and perform search 
activities at the final destination within the protected area.
    (ii) To the extent practicable, items excepted from search must be 
off loaded only at specified receiving areas that are not adjacent to a 
vital area.
    (iii) The excepted items must be searched at the receiving area and 
opened at the final destination by an individual familiar with the 
items.
    (i) Detection and assessment systems.
    (1) The licensee shall establish and maintain an intrusion 
detection and assessment system that must provide, at all times, the 
capability for early detection and assessment of unauthorized persons 
and activities.
    (2) Intrusion detection equipment must annunciate, and video 
assessment equipment images shall display, concurrently in at least two 
continuously staffed onsite alarm stations, at least one of which must 
be protected in accordance with the requirements of paragraphs 
(e)(6)(v), (e)(7)(iii), and (i)(8)(ii) of this section.
    (3) The licensee's intrusion detection system must be designed to 
ensure that both alarm station operators:
    (i) Are concurrently notified of the alarm annunciation.
    (ii) Are capable of making a timely assessment of the cause of each 
alarm annunciation.
    (iii) Possess the capability to initiate a timely response in 
accordance with the approved security plans, licensee protective 
strategy, and implementing procedures.
    (4) Both alarm stations must be equipped with equivalent 
capabilities for detection and communication, and must be equipped with 
functionally equivalent assessment, monitoring, observation, and 
surveillance capabilities to support the effective implementation of 
the approved security plans and the licensee protective strategy in the 
event that either alarm station is disabled.
    (i) The licensee shall ensure that a single act cannot remove the 
capability of both alarm stations to detect and assess unauthorized 
activities, respond to an alarm, summon offsite assistance, implement 
the protective strategy, provide command and control, or otherwise 
prevent significant core damage and spent fuel sabotage.
    (ii) The alarm station functions in paragraph (i)(4) of this 
section must remain operable from an uninterruptible backup power 
supply in the event of the loss of normal power.
    (5) Detection. Detection capabilities must be provided by security 
organization personnel and intrusion detection equipment, and shall be 
defined in implementing procedures. Intrusion detection equipment must 
be capable of operating as intended under the conditions encountered at 
the facility.
    (6) Assessment. Assessment capabilities must be provided by 
security organization personnel and video assessment equipment, and 
shall be described in implementing procedures. Video assessment 
equipment must be capable of operating as intended under the conditions 
encountered at the facility and must provide video images from which 
accurate and timely assessments can be made in response to an alarm 
annunciation or other notification of unauthorized activity.
    (7) The licensee intrusion detection and assessment system must:
    (i) Ensure that the duties and responsibilities assigned to 
personnel, the use of equipment, and the implementation of procedures 
provides the detection and assessment capabilities necessary to meet 
the requirements of paragraph (b) of this section.
    (ii) Ensure that annunciation of an alarm indicates the type and 
location of the alarm.
    (iii) Ensure that alarm devices, to include transmission lines to

[[Page 62856]]

annunciators, are tamper indicating and self-checking.
    (iv) Provide visual and audible alarm annunciation and concurrent 
video assessment capability to both alarm stations in a manner that 
ensures timely recognition, acknowledgment and response by each alarm 
station operator in accordance with written response procedures.
    (v) Provide an automatic indication when the alarm system or a 
component of the alarm system fails, or when the system is operating on 
the backup power supply.
    (vi) Maintain a record of all alarm annunciations, the cause of 
each alarm, and the disposition of each alarm.
    (8) Alarm stations. (i) Both alarm stations must be continuously 
staffed by at least one trained and qualified member of the security 
organization.
    (ii) The interior of the central alarm station must not be visible 
from the perimeter of the protected area.
    (iii) The licensee may not permit any activities to be performed 
within either alarm station that would interfere with an alarm station 
operator's ability to effectively execute assigned detection, 
assessment, surveillance, and communication duties and 
responsibilities.
    (iv) The licensee shall assess and respond to all alarms and other 
indications of unauthorized activities in accordance with the approved 
security plans and implementing procedures.
    (v) The licensee's implementing procedures must ensure that both 
alarm station operators are knowledgeable of all alarm annunciations, 
assessments, and final disposition of all alarms, to include but not 
limited to a prohibition from changing the status of a detection point 
or deactivating a locking or access control device at a protected or 
vital area portal, without the knowledge and concurrence of the other 
alarm station operator.
    (9) Surveillance, observation, and monitoring. (i) The physical 
protection program must include the capability for surveillance, 
observation, and monitoring in a manner that provides early detection 
and assessment of unauthorized activities.
    (ii) The licensee shall provide continual surveillance, 
observation, and monitoring of all areas identified in the approved 
security plans as requiring surveillance, observation, and monitoring 
to ensure early detection of unauthorized activities and to ensure the 
integrity of physical barriers or other components of the physical 
protection program.
    (A) Continual surveillance, observation, and monitoring 
responsibilities must be performed by security personnel during routine 
patrols or by other trained and equipped personnel designated as a 
component of the protective strategy.
    (B) Surveillance, observation, and monitoring requirements may be 
accomplished by direct observation or video technology.
    (iii) The licensee shall provide random patrols of all accessible 
areas containing target set equipment.
    (A) Armed security patrols shall periodically check designated 
areas and shall inspect vital area entrances, portals, and external 
barriers.
    (B) Physical barriers must be inspected at random intervals to 
identify tampering and degradation.
    (C) Security personnel shall be trained to recognize indications of 
tampering as necessary to perform assigned duties and responsibilities 
as they relate to safety and security systems and equipment.
    (iv) Unattended openings that are not monitored by intrusion 
detection equipment must be observed by security personnel at a 
frequency that would prevent exploitation of that opening.
    (v) Upon detection of unauthorized activities, tampering, or other 
threats, the licensee shall initiate actions consistent with the 
approved security plans, the licensee protective strategy, and 
implementing procedures.
    (10) Video technology. (i) The licensee shall maintain in operable 
condition all video technology used to satisfy the monitoring, 
observation, surveillance, and assessment requirements of this section.
    (ii) Video technology must be:
    (A) Displayed concurrently at both alarm stations.
    (B) Designed to provide concurrent observation, monitoring, and 
surveillance of designated areas from which an alarm annunciation or a 
notification of unauthorized activity is received.
    (C) Capable of providing a timely visual display from which 
positive recognition and assessment of the detected activity can be 
made and a timely response initiated.
    (D) Used to supplement and limit the exposure of security personnel 
to possible attack.
    (iii) The licensee shall implement controls for personnel assigned 
to monitor video technology to ensure that assigned personnel maintain 
the level of alertness required to effectively perform the assigned 
duties and responsibilities.
    (11) Illumination. (i) The licensee shall ensure that all areas of 
the facility, to include appropriate portions of the owner controlled 
area, are provided with illumination necessary to satisfy the 
requirements of this section.
    (ii) The licensee shall provide a minimum illumination level of 0.2 
footcandle measured horizontally at ground level, in the isolation 
zones and all exterior areas within the protected area, or may augment 
the facility illumination system, to include patrols, responders, and 
video technology, with low-light technology capable of meeting the 
detection, assessment, surveillance, observation, monitoring, and 
response requirements of this section.
    (iii) The licensee shall describe in the approved security plans 
how the lighting requirements of this section are met and, if used, the 
type(s) and application of low-light technology used.
    (j) Communication requirements. (1) The licensee shall establish 
and maintain, continuous communication capability with onsite and 
offsite resources to ensure effective command and control during both 
normal and emergency situations.
    (2) Individuals assigned to each alarm station shall be capable of 
calling for assistance in accordance with the approved security plans, 
licensee integrated response plan, and licensee procedures.
    (3) Each on-duty security officer, watchperson, vehicle escort, and 
armed response force member shall be capable of maintaining continuous 
communication with an individual in each alarm station.
    (4) The following continuous communication capabilities must 
terminate in both alarm stations required by this section:
    (i) Conventional telephone service.
    (ii) Radio or microwave transmitted two-way voice communication, 
either directly or through an intermediary.
    (iii) A system for communication with all control rooms, on-duty 
operations personnel, escorts, local, State, and Federal law 
enforcement agencies, and all other personnel necessary to coordinate 
both onsite and offsite responses.
    (5) Non-portable communications equipment must remain operable from 
independent power sources in the event of the loss of normal power.
    (6) The licensee shall identify site areas where communication 
could be interrupted or can not be maintained and shall establish 
alternative communication measures for these areas in implementing 
procedures.
    (k) Response requirements. (1) Personnel and equipment.
    (i) The licensee shall establish and maintain, at all times, the 
minimum number of properly trained and

[[Page 62857]]

equipped personnel required to intercept, challenge, delay, and 
neutralize threats up to and including the design basis threat of 
radiological sabotage as defined in Sec.  73.1, to prevent significant 
core damage and spent fuel sabotage.
    (ii) The licensee shall provide and maintain firearms, ammunition, 
and equipment capable of performing functions commensurate to the needs 
of each armed member of the security organization to carry out their 
assigned duties and responsibilities in accordance with the approved 
security plans, the licensee protective strategy, implementing 
procedures, and the site specific conditions under which the firearms, 
ammunition, and equipment will be used.
    (iii) The licensee shall describe in the approved security plans, 
all firearms and equipment to be possessed by and readily available to, 
armed personnel to implement the protective strategy and carry out all 
assigned duties and responsibilities. This description must include the 
general distribution and assignment of firearms, ammunition, body 
armor, and other equipment used.
    (iv) The licensee shall ensure that all firearms, ammunition, and 
equipment required by the protective strategy are in sufficient supply, 
are in working condition, and are readily available for use in 
accordance with the licensee protective strategy and predetermined time 
lines.
    (v) The licensee shall ensure that all armed members of the 
security organization are trained in the proper use and maintenance of 
assigned weapons and equipment in accordance with appendix B to part 
73.
    (2) The licensee shall instruct each armed response person to 
prevent or impede attempted acts of theft or radiological sabotage by 
using force sufficient to counter the force directed at that person, 
including the use of deadly force, when the armed response person has a 
reasonable belief that the use of deadly force is necessary in self-
defense or in the defense of others, or any other circumstances as 
authorized by applicable State law.
    (3) The licensee shall provide an armed response team consisting of 
both armed responders and armed security officers to carry out response 
duties, within predetermined time lines.
    (i) Armed responders. (A) The licensee shall determine the minimum 
number of armed responders necessary to protect against the design 
basis threat described in Sec.  73.1(a), subject to Commission 
approval, and shall document this number in the approved security 
plans.
    (B) Armed responders shall be available at all times inside the 
protected area and may not be assigned any other duties or 
responsibilities that could interfere with assigned response duties.
    (ii) Armed security officers. (A) Armed security officers 
designated to strengthen response capabilities shall be onsite and 
available at all times to carry out assigned response duties.
    (B) The minimum number of armed security officers must be 
documented in the approved security plans.
    (iii) The licensee shall ensure that training and qualification 
requirements accurately reflect the duties and responsibilities to be 
performed.
    (iv) The licensee shall ensure that all firearms, ammunition, and 
equipment needed for completing the actions described in the approved 
security plans and licensee protective strategy are readily available 
and in working condition.
    (4) The licensee shall describe in the approved security plans, 
procedures for responding to an unplanned incident that reduces the 
number of available armed response team members below the minimum 
number documented by the licensee in the approved security plans.
    (5) Licensees shall develop, maintain, and implement a written 
protective strategy in accordance with the requirements of this section 
and appendix C to this part.
    (6) The licensee shall ensure that all personnel authorized 
unescorted access to the protected area are trained and understand 
their roles and responsibilities during security incidents, to include 
hostage and duress situations.
    (7) Upon receipt of an alarm or other indication of threat, the 
licensee shall:
    (i) Determine the existence of a threat in accordance with 
assessment procedures.
    (ii) Identify the level of threat present through the use of 
assessment methodologies and procedures.
    (iii) Determine the response necessary to intercept, challenge, 
delay, and neutralize the threat in accordance with the requirements of 
appendix C to part 73, the Commission-approved safeguards contingency 
plan, and the licensee response strategy.
    (iv) Notify offsite support agencies such as local law enforcement, 
in accordance with site procedures.
    (8) The licensee shall document and maintain current agreements 
with local, State, and Federal law enforcement agencies, to include 
estimated response times and capabilities.
    (l) Facilities using mixed-oxide (MOX) fuel assemblies. In addition 
to the requirements described in this section for protection against 
radiological sabotage, operating commercial nuclear power reactors 
licensed under 10 CFR parts 50 or 52 and using special nuclear material 
in the form of MOX fuel assemblies shall protect unirradiated MOX fuel 
assemblies against theft or diversion.
    (1) Licensees shall protect the unirradiated MOX fuel assemblies 
against theft or diversion in accordance with the requirements of this 
section and the approved security plans.
    (2) Commercial nuclear power reactors using MOX fuel assemblies are 
exempt from the requirements of Sec. Sec.  73.20, 73.45, and 73.46 for 
the physical protection of unirradiated MOX fuel assemblies.
    (3) Administrative controls. (i) The licensee shall describe in the 
approved security plans, the operational and administrative controls to 
be implemented for the receipt, inspection, movement, storage, and 
protection of unirradiated MOX fuel assemblies.
    (ii) The licensee shall implement the use of tamper-indicating 
devices for unirradiated MOX fuel assembly transport and shall verify 
their use and integrity before receipt.
    (iii) Upon delivery of unirradiated MOX fuel assemblies, the 
licensee shall:
    (A) Inspect unirradiated MOX fuel assemblies for damage.
    (B) Search unirradiated MOX fuel assemblies for unauthorized 
materials.
    (iv) The licensee may conduct the required inspection and search 
functions simultaneously.
    (v) The licensee shall ensure the proper placement and control of 
unirradiated MOX fuel assemblies as follows:
    (A) At least one armed security officer, in addition to the armed 
response team required by paragraphs (h)(4) and (h)(5) of appendix C to 
part 73, shall be present during the receipt and inspection of 
unirradiated MOX fuel assemblies.
    (B) The licensee shall store unirradiated MOX fuel assemblies only 
within a spent fuel pool, located within a vital area, so that access 
to the unirradiated MOX fuel assemblies requires passage through at 
least three physical barriers.
    (vi) The licensee shall implement a material control and 
accountability program for the unirradiated MOX fuel assemblies that 
includes a predetermined and documented storage location for each 
unirradiated MOX fuel assembly.

[[Page 62858]]

    (vii) Records that identify the storage locations of unirradiated 
MOX fuel assemblies are considered safeguards information and must be 
protected and stored in accordance with Sec.  73.21.
    (4) Physical controls. (i) The licensee shall lock or disable all 
equipment and power supplies to equipment required for the movement and 
handling of unirradiated MOX fuel assemblies.
    (ii) The licensee shall implement a two-person line-of-sight rule 
whenever control systems or equipment required for the movement or 
handling of unirradiated MOX fuel assemblies must be accessed.
    (iii) The licensee shall conduct random patrols of areas containing 
unirradiated MOX fuel assemblies to ensure the integrity of barriers 
and locks, deter unauthorized activities, and to identify indications 
of tampering.
    (iv) Locks, keys, and any other access control device used to 
secure equipment and power sources required for the movement of 
unirradiated MOX fuel assemblies or openings to areas containing 
unirradiated MOX fuel assemblies must be controlled by the security 
organization.
    (v) Removal of locks used to secure equipment and power sources 
required for the movement of unirradiated MOX fuel assemblies or 
openings to areas containing unirradiated MOX fuel assemblies must 
require approval by both the on-duty security shift supervisor and the 
operations shift manager.
    (A) At least one armed security officer shall be present to observe 
activities involving the movement of unirradiated MOX fuel assemblies 
before the removal of the locks and providing power to equipment 
required for the movement or handling of unirradiated MOX fuel 
assemblies.
    (B) At least one armed security officer shall be present at all 
times until power is removed from equipment and locks are secured.
    (C) Security officers shall be trained and knowledgeable of 
authorized and unauthorized activities involving unirradiated MOX fuel 
assemblies.
    (5) At least one armed security officer shall be present and shall 
maintain constant surveillance of unirradiated MOX fuel assemblies when 
the assemblies are not located in the spent fuel pool or reactor.
    (6) The licensee shall maintain at all times the capability to 
detect, assess, intercept, challenge, delay, and neutralize threats to 
unirradiated MOX fuel assemblies in accordance with the requirements of 
this section.
    (m) Digital computer and communication networks. (1) The licensee 
shall implement a cyber-security program that provides high assurance 
that computer systems, which if compromised would likely adversely 
impact safety, security, and emergency preparedness, are protected from 
cyber attacks.
    (i) The licensee shall describe the cyber-security program 
requirements in the approved security plans.
    (ii) The licensee shall incorporate the cyber-security program into 
the onsite physical protection program.
    (iii) The cyber-security program must be designed to detect and 
prevent cyber attacks on protected computer systems.
    (2) Cyber-security assessment. The licensee shall implement a 
cyber-security assessment program to systematically assess and manage 
cyber risks.
    (3) Policies, requirements, and procedures. (i) The licensee shall 
apply cyber-security requirements and policies that identify management 
expectations and requirements for the protection of computer systems.
    (ii) The licensee shall develop and maintain implementing 
procedures to ensure cyber-security requirements and policies are 
implemented effectively.
    (4) Incident response and recovery. (i) The licensee shall 
implement a cyber-security incident response and recovery plan to 
minimize the adverse impact of a cyber-security incident on safety, 
security, or emergency preparedness systems.
    (ii) The cyber-security incident response and recovery plan must be 
described in the integrated response plan required by appendix C to 
this part.
    (iii) The cyber-security incident response and recovery plan must 
ensure the capability to respond to cyber-security incidents, minimize 
loss and destruction, mitigate and correct the weaknesses that were 
exploited, and restore systems and/or equipment affected by a cyber-
security incident.
    (5) Protective strategies. The licensee shall implement defense-in-
depth protective strategies to protect computer systems from cyber 
attacks, detecting, isolating, and neutralizing unauthorized activities 
in a timely manner.
    (6) Configuration and control management program. The licensee 
shall implement a configuration and control management program, to 
include cyber risk analysis, to ensure that modifications to computer 
system designs, access control measures, configuration, operational 
integrity, and management process do not adversely impact facility 
safety, security, and emergency preparedness systems before 
implementation of those modifications.
    (7) Cyber-security awareness and training. (i) The licensee shall 
implement a cyber-security awareness and training program.
    (ii) The cyber-security awareness and training program must ensure 
that appropriate plant personnel, including contractors, are aware of 
cyber-security requirements and that they receive the training required 
to effectively perform their assigned duties and responsibilities.
    (n) Security program reviews and audits.
    (1) The licensee shall review the physical protection program at 
intervals not to exceed 12 months, or
    (i) As necessary based upon assessments or other performance 
indicators.
    (ii) Within 12 months after a change occurs in personnel, 
procedures, equipment, or facilities that potentially could adversely 
affect security.
    (2) As a minimum, each element of the onsite physical protection 
program must be reviewed at least every twenty-four (24) months.
    (i) The onsite physical protection program review must be 
documented and performed by individuals independent of those personnel 
responsible for program management and any individual who has direct 
responsibility for implementing the onsite physical protection program.
    (ii) Onsite physical protection program reviews and audits must 
include, but not be limited to, an evaluation of the effectiveness of 
the approved security plans, implementing procedures, response 
commitments by local, State, and Federal law enforcement authorities, 
cyber-security programs, safety/security interface, and the testing, 
maintenance, and calibration program.
    (3) The licensee shall periodically review the approved security 
plans, the integrated response plan, the licensee protective strategy, 
and licensee implementing procedures to evaluate their effectiveness 
and potential impact on plant and personnel safety.
    (4) The licensee shall periodically evaluate the cyber-security 
program for effectiveness and shall update the cyber-security program 
as needed to ensure protection against changes to internal and external 
threats.
    (5) The licensee shall conduct quarterly drills and annual force-
on-force exercises in accordance with appendix C to part 73 and the 
licensee performance evaluation program.
    (6) The results and recommendations of the onsite physical 
protection program reviews and audits, management's findings regarding

[[Page 62859]]

program effectiveness, and any actions taken as a result of 
recommendations from prior program reviews, must be documented in a 
report to the licensee's plant manager and to corporate management at 
least one level higher than that having responsibility for day-to-day 
plant operation.
    (7) Findings from onsite physical protection program reviews, 
audits, and assessments must be entered into the site corrective action 
program and protected as safeguards information, if applicable.
    (8) The licensee shall make changes to the approved security plans 
and implementing procedures as a result of findings from security 
program reviews, audits, and assessments, where necessary to ensure the 
effective implementation of Commission regulations and the licensee 
protective strategy.
    (9) Unless otherwise specified by the Commission, onsite physical 
protection program reviews, audits, and assessments may be conducted up 
to thirty days prior to, but no later than thirty days after the 
scheduled date without adverse impact upon the next scheduled annual 
audit date.
    (o) Maintenance, testing, and calibration. (1) The licensee shall:
    (i) Implement a maintenance, testing and calibration program to 
ensure that security systems and equipment are tested for operability 
and performance at predetermined intervals, are maintained in operable 
condition, and are capable of performing their intended function when 
needed.
    (ii) Describe the maintenance, testing and calibration program in 
the approved physical security plan. Implementing procedures must 
specify operational and technical details required to perform 
maintenance, testing, and calibration activities to include, but not 
limited to, purpose of activity, actions to be taken, acceptance 
criteria, the intervals or frequency at which the activity will be 
performed, and compensatory actions required.
    (iii) Document problems, failures, deficiencies, and other 
findings, to include the cause of each, and enter each into the site 
corrective action program. The licensee shall protect this information 
as safeguards information, if applicable.
    (iv) Implement compensatory measures in a timely manner to ensure 
that the effectiveness of the onsite physical protection program is not 
reduced by failure or degraded operation of security-related components 
or equipment.
    (2) Each intrusion alarm must be tested for operability at the 
beginning and end of any period that it is used for security, or if the 
period of continuous use exceeds seven (7) days, the intrusion alarm 
must be tested at least once every seven (7) days.
    (3) Intrusion detection and access control equipment must be 
performance tested in accordance with the approved security plans.
    (4) Equipment required for communications onsite must be tested for 
operability not less frequently than once at the beginning of each 
security personnel work shift.
    (5) Communication systems between the alarm stations and each 
control room, and between the alarm stations and offsite support 
agencies, to include back-up communication equipment, must be tested 
for operability at least once each day.
    (6) Search equipment must be tested for operability at least once 
each day and tested for performance at least once during each seven (7) 
day period and before being placed back in service after each repair or 
inoperative state.
    (7) All intrusion detection equipment, communication equipment, 
physical barriers, and other security-related devices or equipment, to 
include back-up power supplies must be maintained in operable 
condition.
    (8) A program for testing or verifying the operability of devices 
or equipment located in hazardous areas must be specified in the 
approved security plans and must define alternate measures to be taken 
to ensure the timely completion of testing or maintenance when the 
hazardous condition or radiation restrictions are no longer applicable.
    (p) Compensatory measures. (1) The licensee shall identify measures 
and criteria needed to compensate for the loss or reduced performance 
of personnel, equipment, systems, and components, that are required to 
meet the requirements of this section.
    (2) Compensatory measures must be designed and implemented to 
provide a level of protection that is equivalent to the protection that 
was provided by the degraded or inoperable personnel, equipment, 
system, or components.
    (3) Compensatory measures must be implemented within specific time 
lines necessary to meet the requirements stated in paragraph (b) of 
this section and described in the approved security plans.
    (q) Suspension of safeguards measures. (1) The licensee may suspend 
implementation of affected requirements of this section under the 
following conditions:
    (i) In accordance with Sec. Sec.  50.54(x) and 50.54(y) of this 
chapter, the licensee may suspend any safeguards measures pursuant to 
this section in an emergency when this action is immediately needed to 
protect the public health and safety and no action consistent with 
license conditions and technical specifications that can provide 
adequate or equivalent protection is immediately apparent. This 
suspension of safeguards measures must be approved as a minimum by a 
licensed senior operator prior to taking this action.
    (ii) During severe weather when the suspension is immediately 
needed to protect personnel whose assigned duties and responsibilities 
in meeting the requirements of this section would otherwise constitute 
a life threatening situation and no action consistent with the 
requirements of this section that can provide equivalent protection is 
immediately apparent. Suspension of safeguards due to severe weather 
must be initiated by the security supervisor and approved by a licensed 
senior operator prior to taking this action.
    (2) Suspended security measures must be reimplemented as soon as 
conditions permit.
    (3) The suspension of safeguards measures must be reported and 
documented in accordance with the provisions of Sec.  73.71.
    (4) Reports made under Sec.  50.72 of this chapter need not be 
duplicated under Sec.  73.71.
    (r) Records. (1) The Commission may inspect, copy, retain, and 
remove copies of all records required to be kept by Commission 
regulations, orders, or license conditions whether the records are kept 
by the licensee or a contractor.
    (2) The licensee shall maintain all records required to be kept by 
Commission regulations, orders, or license conditions, as a record 
until the Commission terminates the license for which the records were 
developed and shall maintain superseded portions of these records for 
at least three (3) years after the record is superseded, unless 
otherwise specified by the Commission.
    (s) Safety/security interface. In accordance with the requirements 
of Sec.  73.58, the licensee shall develop and implement a process to 
inform and coordinate safety and security activities to ensure that 
these activities do not adversely affect the capabilities of the 
security organization to satisfy the requirements of this section, or 
overall plant safety.
    (t) Alternative measures. (1) The Commission may authorize an 
applicant or licensee to provide a measure for protection against 
radiological sabotage other than one required by this section if the 
applicant or licensee demonstrates that:

[[Page 62860]]

    (i) The measure meets the same performance objective and 
requirements as specified in paragraph (b) of this section and
    (ii) The proposed alternative measure provides protection against 
radiological sabotage or theft of unirradiated MOX fuel assemblies, 
equivalent to that which would be provided by the specific requirement 
for which it would substitute.
    (2) The licensee shall submit each proposed alternative measure to 
the Commission for review and approval in accordance with Sec. Sec.  
50.4 and 50.90 of this chapter before implementation.
    (3) The licensee shall submit a technical basis for each proposed 
alternative measure, to include any analysis or assessment conducted in 
support of a determination that the proposed alternative measure 
provides a level of protection that is at least equal to that which 
would otherwise be provided by the specific requirement of this 
section.
    (4) Alternative vehicle barrier systems. In the case of alterative 
vehicle barrier systems required by Sec.  73.55(e)(8), the licensee 
shall demonstrate that:
    (i) The alternative measure provides substantial protection against 
a vehicle bomb, and
    (ii) Based on comparison of the costs of the alternative measures 
to the costs of meeting the Commission's requirements using the 
essential elements of 10 CFR 50.109, the costs of fully meeting the 
Commission's requirements are not justified by the protection that 
would be provided.
    13. Section 73.56 is revised to read as follows:


Sec.  73.56  Personnel access authorization requirements for nuclear 
power plants.

    (a) Introduction. (1) By [date--180 days--after the effective date 
of the final rule published in the Federal Register], each nuclear 
power reactor licensee, licensed under 10 CFR part 50, shall 
incorporate the revised requirements of this section through amendments 
to its Commission-approved access authorization program and shall 
submit the amended program to the Commission for review and approval.
    (2) The amended program must be submitted as specified in Sec.  
50.4 and must describe how the revised requirements of this section 
will be implemented by the licensee, to include a proposed 
implementation schedule.
    (3) The licensee shall implement the existing approved access 
authorization program and associated Commission orders until Commission 
approval of the amended program, unless otherwise authorized by the 
Commission.
    (4) The licensee is responsible to the Commission for maintaining 
the authorization program in accordance with Commission regulations and 
related Commission-directed orders through the implementation of the 
approved program and site implementing procedures.
    (5) Applicants for an operating license under the provisions of 
part 50 of this chapter, or holders of a combined license under the 
provisions of part 52 of this chapter, shall satisfy the requirements 
of this section upon receipt of an operating license or upon notice of 
the Commission's finding under Sec.  52.103(g) of this chapter.
    (6) Contractors and vendors (C/Vs) who implement authorization 
programs or program elements shall develop, implement, and maintain 
authorization programs or program elements that meet the requirements 
of this section, to the extent that the licensees and applicants 
specified in paragraphs (a)(1) and (a)(5) of this section rely upon 
those C/V authorization programs or program elements to meet the 
requirements of this section. In any case, only a licensee or applicant 
shall grant or permit an individual to maintain unescorted access to 
nuclear power plant protected and vital areas.
    (b) Individuals who are subject to an authorization program. (1) 
The following individuals shall be subject to an authorization program:
    (i) Any individual to whom a licensee or applicant grants 
unescorted access to nuclear power plant protected and vital areas.
    (ii) Any individual whose assigned duties and responsibilities 
permit the individual to take actions by electronic means, either 
onsite or remotely, that could adversely impact a licensees or 
applicants operational safety, security, or emergency response 
capabilities; and
    (iii) Any individual who has responsibilities for implementing a 
licensee's or applicant's protective strategy, including, but not 
limited to, armed security force officers, alarm station operators, and 
tactical response team leaders; and
    (iv) The licensee's, applicant's, or C/V's reviewing official.
    (2) At the licensee's, applicant's, or C/V's discretion, other 
individuals who are designated in access authorization program 
procedures may be subject to an authorization program that meets the 
requirements of this section.
    (c) General performance objective. Access authorization programs 
must provide high assurance that the individuals who are specified in 
paragraph (b)(1) of this section, and, if applicable, (b)(2) of this 
section are trustworthy and reliable, such that they do not constitute 
an unreasonable risk to public health and safety or the common defense 
and security, including the potential to commit radiological sabotage.
    (d) Background investigation. In order to grant unescorted access 
authorization to an individual, the licensees, applicants, and C/Vs 
specified in paragraph (a) of this section shall ensure that the 
individual has been subject to a background investigation. The 
background investigation must include, but is not limited to, the 
following elements:
    (1) Informed consent. The licensees, applicants, and C/Vs specified 
in paragraph (a) of this section may not initiate any element of a 
background investigation without the knowledge and written consent of 
the subject individual. Licensees, applicants, and C/Vs shall inform 
the individual of his or her right to review information collected to 
assure its accuracy and provide the individual with an opportunity to 
correct any inaccurate or incomplete information that is developed by 
licensees, applicants, and C/Vs about the individual.
    (i) The subject individual may withdraw his or her consent at any 
time. The licensee, applicant, or C/V to whom the individual has 
applied for unescorted access authorization shall inform the individual 
that--
    (A) Withdrawal of his or her consent will withdraw the individual's 
current application for access authorization under the licensee's, 
applicant's, or C/V's authorization program; and
    (B) Other licensees, applicants, and C/Vs will have access to 
information documenting the withdrawal through the information-sharing 
mechanism required under paragraph (o)(6) of this section.
    (ii) If an individual withdraws his or her consent, the licensees, 
applicants, and C/Vs specified in paragraph (a) of this section may not 
initiate any elements of the background investigation that were not in 
progress at the time the individual withdrew his or her consent, but 
shall complete any background investigation elements that are in 
progress at the time consent is withdrawn. In the information-sharing 
mechanism required under paragraph (o)(6) of this section, the 
licensee, applicant, or C/V shall record the individual's application 
for unescorted access authorization; his or her withdrawal of consent 
for the background investigation; the reason given by the individual 
for the withdrawal, if any; and any pertinent information collected 
from the

[[Page 62861]]

background investigation elements that were completed.
    (iii) The licensees, applicants, and C/Vs specified in paragraph 
(a) of this section shall inform, in writing, any individual who is 
applying for unescorted access authorization that the following actions 
related to providing and sharing the personal information under this 
section are sufficient cause for denial or unfavorable termination of 
unescorted access authorization:
    (A) Refusal to provide written consent for the background 
investigation;
    (B) Refusal to provide or the falsification of any personal history 
information required under this section, including the failure to 
report any previous denial or unfavorable termination of unescorted 
access authorization;
    (C) Refusal to provide written consent for the sharing of personal 
information with other licensees, applicants, or C/Vs required under 
paragraph (d)(4)(v) of this section; and
    (D) Failure to report any arrests or formal actions specified in 
paragraph (g) of this section.
    (2) Personal history disclosure. (i) Any individual who is applying 
for unescorted access authorization shall disclose the personal history 
information that is required by the licensee's, applicant's, or C/V's 
authorization program and any information that may be necessary for the 
reviewing official to make a determination of the individual's 
trustworthiness and reliability.
    (ii) Licensees, applicants, and C/Vs may not require an individual 
to disclose an administrative withdrawal of unescorted access 
authorization under the requirements of paragraphs (g), (h)(7), or 
(i)(1)(v) of this section, if the individual's unescorted access 
authorization was not subsequently denied or terminated unfavorably by 
a licensee, applicant, or C/V.
    (3) Verification of true identity. Licensees, applicants, and C/Vs 
shall verify the true identity of an individual who is applying for 
unescorted access authorization in order to ensure that the applicant 
is the person that he or she has claimed to be. At a minimum, 
licensees, applicants, and C/Vs shall validate the social security 
number that the individual has provided, and, in the case of foreign 
nationals, the alien registration number that the individual provides. 
In addition, licensees, applicants, and C/Vs shall also determine 
whether the results of the fingerprinting required under Sec.  73.21 
confirm the individual's claimed identity, if such results are 
available.
    (4) Employment history evaluation. Licensees, applicants, and C/Vs 
shall ensure that an employment history evaluation has been completed, 
by questioning the individual's present and former employers, and by 
determining the activities of individuals while unemployed.
    (i) For the claimed employment period, the employment history 
evaluation must ascertain the reason for termination, eligibility for 
rehire, and other information that could reflect on the individual's 
trustworthiness and reliability.
    (ii) If the claimed employment was military service, the licensee, 
applicant, or C/V who is conducting the employment history evaluation 
shall request a characterization of service, reason for separation, and 
any disciplinary actions that could affect a trustworthiness and 
reliability determination.
    (iii) Periods of self-employment or unemployment may be verified by 
any reasonable method. If education is claimed in lieu of employment, 
the licensee, applicant, or C/V shall request information that could 
reflect on the individual's trustworthiness and reliability and, at a 
minimum, verify that the individual was actively participating in the 
educational process during the claimed period.
    (iv) If a company, previous employer, or educational institution to 
whom the licensee, applicant, or C/V has directed a request for 
information refuses to provide information or indicates an inability or 
unwillingness to provide information within 3 business days of the 
request, the licensee, applicant, or C/V shall document this refusal, 
inability, or unwillingness in the licensee's, applicant's, or C/V's 
record of the investigation, and obtain a confirmation of employment or 
educational enrollment and attendance from at least one alternate 
source, with questions answered to the best of the alternate source's 
ability. This alternate source may not have been previously used by the 
licensee, applicant, or C/V to obtain information about the 
individual's character and reputation. If the licensee, applicant, or 
C/V uses an alternate source because employment information is not 
forthcoming within 3 business days of the request, the licensee, 
applicant, or C/V need not delay granting unescorted access 
authorization to wait for any employer response, but shall evaluate and 
document the response if it is received.
    (v) When any licensee, applicant, or C/V specified in paragraph (a) 
of this section is legitimately seeking the information required for an 
unescorted access authorization decision under this section and has 
obtained a signed release from the subject individual authorizing the 
disclosure of such information, a licensee, applicant, or C/V who is 
subject to this section shall disclose whether the subject individual's 
unescorted access authorization was denied or terminated unfavorably. 
The licensee, applicant, or C/V who receives the request for 
information shall make available the information upon which the denial 
or unfavorable termination of unescorted access authorization was 
based.
    (vi) In conducting an employment history evaluation, the licensee, 
applicant, or C/V may obtain information and documents by electronic 
means, including, but not limited to, telephone, facsimile, or e-mail. 
The licensee, applicant, or C/V shall make a record of the contents of 
the telephone call and shall retain that record, and any documents or 
files obtained electronically, in accordance with paragraph (o) of this 
section.
    (5) Credit history evaluation. The licensees, applicants, and C/Vs 
specified in paragraph (a) of this section shall ensure that the full 
credit history of any individual who is applying for unescorted access 
authorization has been evaluated. A full credit history evaluation must 
include, but would not be limited to, an inquiry to detect potential 
fraud or misuse of social security numbers or other financial 
identifiers, and a review and evaluation of all of the information that 
is provided by a national credit-reporting agency about the 
individual's credit history.
    (6) Character and reputation. The licensees, applicants, and C/Vs 
specified in paragraph (a) of this section shall ascertain the 
character and reputation of an individual who has applied for 
unescorted access authorization by conducting reference checks. 
Reference checks may not be conducted with any person who is known to 
be a close member of the individual's family, including but not limited 
to, the individual's spouse, parents, siblings, or children, or any 
individual who resides in the individual's permanent household. The 
reference checks must focus on the individual's reputation for 
trustworthiness and reliability.
    (7) Criminal history review. The licensee's, applicant's, or C/V's 
reviewing official shall evaluate the entire criminal history record of 
an individual who is applying for unescorted access authorization to 
assist in determining whether the individual has a record of criminal 
activity that may adversely impact his or her

[[Page 62862]]

trustworthiness and reliability. The criminal history record must be 
obtained in accordance with the requirements of Sec.  73.57.
    (e) Psychological assessment. In order to assist in determining an 
individual's trustworthiness and reliability, the licensees, 
applicants, and C/Vs specified in paragraph (a) of this section shall 
ensure that a psychological assessment has been completed of the 
individual who is applying for unescorted access authorization. The 
psychological assessment must be designed to evaluate the possible 
adverse impact of any noted psychological characteristics on the 
individual's trustworthiness and reliability.
    (1) A licensed clinical psychologist or psychiatrist shall conduct 
the psychological assessment.
    (2) The psychological assessment must be conducted in accordance 
with the applicable ethical principles for conducting such assessments 
established by the American Psychological Association or American 
Psychiatric Association.
    (3) At a minimum, the psychological assessment must include the 
administration and interpretation of a standardized, objective, 
professionally accepted psychological test that provides information to 
identify indications of disturbances in personality or psychopathology 
that may have implications for an individual's trustworthiness and 
reliability. Predetermined thresholds must be applied in interpreting 
the results of the psychological test, to determine whether an 
individual shall be interviewed by a psychiatrist or licensed clinical 
psychologist under paragraph (e)(4)(i) of this section.
    (4) The psychological assessment must include a clinical 
interview--
    (i) If an individual's scores on the psychological test in 
paragraph (e)(3) of this section identify indications of disturbances 
in personality or psychopathology that may have implications for an 
individual's trustworthiness and reliability; or
    (ii) If the licensee's or applicant's Physical Security Plan 
requires a clinical interview based on job assignments.
    (5) If, in the course of conducting the psychological assessment, 
the licensed clinical psychologist or psychiatrist identifies 
indications of, or information related to, a medical condition that 
could adversely impact the individual's fitness for duty or 
trustworthiness and reliability, the psychologist or psychiatrist shall 
inform the reviewing official, who shall ensure that an appropriate 
evaluation of the possible medical condition is conducted under the 
requirements of part 26 of this chapter.
    (f) Behavioral observation. Access authorization programs must 
include a behavioral observation element that is designed to detect 
behaviors or activities that may constitute an unreasonable risk to the 
health and safety of the public and common defense and security, 
including a potential threat to commit radiological sabotage.
    (1) The licensees, applicants, and C/Vs specified in paragraph (a) 
of this section shall ensure that the individuals specified in 
paragraph (b)(1) of this section and, if applicable, (b)(2) of this 
section are subject to behavioral observation.
    (2) The individuals specified in paragraph (b)(1) and, if 
applicable, (b)(2) of this section shall observe the behavior of other 
individuals. The licensees, applicants, and C/Vs specified in paragraph 
(a) of this section shall ensure that individuals who are subject to 
this section also successfully complete behavioral observation 
training.
    (i) Behavioral observation training must be completed before the 
licensee, applicant, or C/V grants an initial unescorted access 
authorization, as defined in paragraph (h)(5) of this section, and must 
be current before the licensee, applicant, or C/V grants an unescorted 
access authorization update, as defined in paragraph (h)(6) of this 
section, or an unescorted access authorization reinstatement, as 
defined in paragraph (h)(7) of this section;
    (ii) Individuals shall complete refresher training on a nominal 12-
month frequency, or more frequently where the need is indicated. 
Individuals may take and pass a comprehensive examination that meets 
the requirements of paragraph (f)(2)(iii) of this section in lieu of 
completing annual refresher training;
    (iii) Individuals shall demonstrate the successful completion of 
behavioral observation training by passing a comprehensive examination 
that addresses the knowledge and abilities necessary to detect behavior 
or activities that have the potential to constitute an unreasonable 
risk to the health and safety of the public and common defense and 
security, including a potential threat to commit radiological sabotage. 
Remedial training and re-testing are required for individuals who fail 
to satisfactorily complete the examination.
    (iv) Initial and refresher training may be delivered using a 
variety of media (including, but not limited to, classroom lectures, 
required reading, video, or computer-based training systems). The 
licensee, applicant, or C/V shall monitor the completion of training.
    (3) Individuals who are subject to an authorization program under 
this section shall report to the reviewing official any concerns 
arising from behavioral observation, including, but not limited to, 
concerns related to any questionable behavior patterns or activities of 
others.
    (g) Arrest reporting. Any individual who has applied for or is 
maintaining unescorted access authorization under this section shall 
promptly report to the reviewing official any formal action(s) taken by 
a law enforcement authority or court of law to which the individual has 
been subject, including an arrest, an indictment, the filing of 
charges, or a conviction. On the day that the report is received, the 
reviewing official shall evaluate the circumstances related to the 
formal action(s) and determine whether to grant, maintain, 
administratively withdraw, deny, or unfavorably terminate the 
individual's unescorted access authorization.
    (h) Granting unescorted access authorization. The licensees, 
applicants, and C/Vs specified in paragraph (a) of this section shall 
implement the requirements of this paragraph for granting initial 
unescorted access authorization, updated unescorted access 
authorization, and reinstatement of unescorted access authorization.
    (1) Accepting unescorted access authorization from other 
authorization programs. Licensees, applicants, and C/Vs who are seeking 
to grant unescorted access authorization to an individual who is 
subject to another authorization program that complies with this 
section may rely on the program elements completed by the transferring 
authorization program to satisfy the requirements of this section. An 
individual may maintain his or her unescorted access authorization if 
he or she continues to be subject to either the receiving licensee's, 
applicant's, or C/V's authorization program or the transferring 
licensee's, applicant's, or C/V's authorization program, or a 
combination of elements from both programs that collectively satisfy 
the requirements of this section. The receiving authorization program 
shall ensure that the program elements maintained by the transferring 
program remain current.
    (2) Information sharing. To meet the requirements of this section, 
licensees, applicants, and C/Vs may rely upon the information that 
other licensees, applicants, and C/Vs who are subject to

[[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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    (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


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