[Federal Register Volume 75, Number 230 (Wednesday, December 1, 2010)]
[Notices]
[Pages 74750-74755]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-30221]
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NUCLEAR REGULATORY COMMISSION
[EA-10-152; Project No. 52-0001; NRC-2010-0368]
In the Matter of Toshiba America Nuclear Energy Corporation and
All Other Persons Who Seek or Obtain Access to Safeguards Information
Described Herein; Order Imposing Safeguards Information Protection
Requirements for Access to Safeguards Information (Effective
Immediately)
I
On June 12, 2009, the U.S. Nuclear Regulatory Commission (the
Commission or NRC) published a rulemaking in the Federal Register (74
FR 28112), that requires applicants for a variety of licensing
activities, including nuclear power plant designers, to perform a
design-specific assessment of the effects of a large, commercial
aircraft impact and to incorporate design features and functional
capabilities into the nuclear power plant design to provide additional
inherent protection with reduced operator actions. Section V of the
Federal Register notice contains specific requirements for applicants
for new nuclear power reactors. To assist designers in completing this
assessment, the Commission has decided to provide the detailed aircraft
impact characteristics that reactor vendors and architect/engineers who
have the need to know and who meet the NRC's requirements for the
disclosure of such information should use as reasonable input in
studies of the inherent capabilities of their designs.
The NRC derived these characteristics from agency analyses
performed on operating reactors to support, in part, the development of
a broadly effective set of mitigation strategies to combat fires and
explosions from a spectrum of hypothetical aircraft impacts. Although
the NRC did not select these detailed characteristics as a basis for
designing new reactors, the staff is suggesting that designers use them
as a starting point for aircraft impact assessments. As stated in the
rulemaking, the Commission will specify, in a safeguards information
(SGI) guidance document, the detailed aircraft impact characteristics
that should be used in a required assessment of the new reactor
designs. The agency is working to finalize the form and values of those
detailed characteristics. On July 10, 2009, the NRC issued Draft
Regulatory Guide (DG)-1176, ``Guidance for the Assessment of Beyond-
Design-Basis Aircraft Impacts,'' to assist applicants in the completion
of the assessment. The agency did not receive any comments on DG-1176.
The staff is currently finalizing the regulatory guide. In addition,
the staff recognizes that no national or international consensus has
been reached on the selection of appropriate characteristics for such
analyses. Therefore, applicants should consider the information
preliminary and subject to authorized stakeholder comment. The detailed
aircraft characteristics that are the subject of this Order are hereby
designated as SGI,\1\ in accordance with Section 147 of the Atomic
Energy Act of 1954, as amended (AEA).
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\1\ SGI is a form of sensitive, unclassified, security-related
information that the Commission has the authority to designate and
protect under Section 147 of the AEA.
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On October 24, 2008, the NRC revised Title 10 of the Code of
Federal Regulations (10 CFR) Part 73, Sec. 73.21, ``Protection of
Safeguards Information: Performance Requirements,'' to include
applicants in the list of entities required to protect SGI (73 FR
63546). The NRC is issuing this Order to Toshiba America Nuclear Energy
Corporation (TANE) to impose requirements for the protection of SGI in
addition to the requirements in the revised 10 CFR 73.21. These
additional requirements include nomination of a reviewing official,
restrictions on the storage of SGI, and access to SGI by certain
individuals.
To implement this Order, TANE must nominate an individual, known as
the ``reviewing official,'' who will review the results of the Federal
Bureau of Investigation (FBI) criminal history records check to make
SGI access determinations. The reviewing official must be someone who
seeks access to SGI. Based on the results of the FBI criminal history
records check, the NRC staff will determine whether this individual may
have access to SGI. If the NRC determines that the individual may not
be granted access to SGI, the enclosed Order prohibits that individual
from obtaining access to any SGI. Once the NRC determines that the
nominated individual may have access to SGI, and after TANE has
completed the background check on the reviewing official and has
determined that he or she is trustworthy and reliable, and has approved
the individual as the reviewing official, that reviewing official, and
only that reviewing official, can make SGI access determinations for
other individuals who have been identified by TANE as having a need to
know SGI and who have been fingerprinted and have had a criminal
history records check in accordance with this Order. The reviewing
official can only make SGI access determinations for other individuals;
he or she cannot approve other individuals to act as reviewing
officials. If TANE wishes to nominate a new or additional reviewing
official, the NRC must first determine whether that individual may have
access to SGI before he or she can act in the capacity of a reviewing
official.
The regulations at 10 CFR 73.59, ``Relief from Fingerprinting,
Identification and Criminal History Records Checks and Other Elements
of Background Checks for Designated Categories of Individuals,''
relieve certain categories of individuals from fingerprinting
requirements. Those individuals include: (1) Federal, State, and local
law enforcement personnel, (2) Agreement State inspectors who conduct
security inspections on behalf of the NRC, (3) members of Congress, (4)
employees of members of Congress or congressional committees who have
undergone fingerprinting for a prior U.S. Government criminal history
check, and (5) certain representatives of the International Atomic
Energy Agency or certain foreign government organizations. In addition,
the NRC has determined that individuals who have had a Favorably-
decided U.S. Government criminal history check within the last 5 years
or individuals
[[Page 74751]]
who have active Federal security clearances (provided, in either case,
that they make available the appropriate documentation) have already
been subjected to fingerprinting and criminal history records checks
and, therefore, have satisfied the fingerprinting requirement in the
Energy Policy Act of 2005.
II
The Commission has broad statutory authority to protect and
prohibit the unauthorized disclosure of SGI. Section 147 of the AEA
grants the Commission explicit authority to issue such orders, as
necessary, to prohibit the unauthorized disclosure of SGI. Furthermore,
Section 652 of the Energy Policy Act of 2005 amended Section 149 of the
AEA to require fingerprinting and an FBI identification and criminal
history records check of each individual who seeks access to SGI. In
addition, no person may have access to SGI unless that person has an
established need to know and satisfies the trustworthiness and
reliability requirements of the regulations.
To provide assurance that TANE is continuing to implement the
appropriate measures to ensure a consistent level of protection to
prohibit unauthorized disclosure of SGI and to comply with the
fingerprinting, criminal history records check, and background check
requirements for access to SGI, TANE shall implement the requirements
for the protection of SGI in 10 CFR 73.21, 10 CFR 73.22 and this Order.
In addition, under 10 CFR 2.202, ``Orders,'' the NRC finds that in
light of the matters identified above, which warrant the issuance of
this Order, public health and safety and the public interest require
that this Order be effective immediately.
III
Accordingly, under Sections 147, 149, 161b, 161i, 161o, 182, and
186 of the AEA and under the Commission's regulations in 10 CFR 2.202
and 10 CFR Part 73, ``Physical Protection of Plants and Materials,'' it
is hereby ordered, Effective Immediately, that Tane and all other
persons who seek or obtain access to SGI as described herein shall
comply with the requirements set forth in 10 CFR 73.21, 10 CFR 73.22,
and this order.
A.1. No person may have access to any SGI if the NRC, when
determining SGI access for a nominated reviewing official, has
determined, based on fingerprinting and an FBI identification and
criminal history records check that the person nominated may not have
access to SGI.
2. TANE shall store SGI designated by this Order only in the
facility or facilities specifically approved in writing by the NRC for
storage of SGI designated by this Order. TANE may request, in writing,
NRC approval of additional facilities for the storage of the SGI
designated by this Order that the NRC will consider on a case-by-case
basis.
3. TANE may provide SGI designated by this Order to individuals
(such as foreign nationals, U.S. citizens living in foreign countries,
or individuals under the age of 18) for whom fingerprinting and an FBI
criminal history records check are not reasonably expected to yield
sufficient criminal history information to form the basis of an
informed decision on granting access to SGI, provided that the
individual satisfies the requirements of this Order and that TANE has
implemented measures, in addition to those set forth in this Order, to
ensure that the individual is suitable for access to the SGI designated
by this Order. Such additional measures must include, but are not
limited to, equivalent criminal history records checks conducted by a
local, State, or foreign government agency, and/or enhanced background
checks, including employment and credit history. The NRC must review
these additional measures and approve them in writing.
B. No person may provide SGI to any other person except in
accordance with Section III.A above. Before providing SGI to any
person, a copy of this Order shall be provided to that person.
C. TANE shall comply with the following requirements:
1. TANE shall, within 20 days of the date of this Order, submit the
fingerprints of one individual who (a) TANE nominates as the
``reviewing official'' for determining access to SGI by other
individuals and (b) has an established need to know the information.
The NRC will determine whether this individual (or any subsequent
nominated reviewing official) may have access to SGI and, therefore,
will be permitted to serve as TANE's reviewing official.\2\ TANE may,
at the same time or later, submit the fingerprints of other individuals
to whom TANE seeks to grant access to SGI. Fingerprints shall be
submitted and reviewed in accordance with the procedures described in
the attachment to this Order.
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\2\ The NRC's determination of this individual's access to SGI
in accordance with the process described in Enclosure 3 to the
transmittal letter of this Order is an administrative determination
that is outside the scope of this Order.
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2. TANE shall, within 20 days of the date of this Order, notify, in
writing, the Commission: (a) If it is unable to comply with any of the
requirements described in the Order, including the attachment; or (b)
if compliance with any of the requirements is unnecessary in its
specific circumstances.
The notification shall provide TANE's justification for seeking
relief from, or variation of, any specific requirement.
TANE shall submit responses to Section III.C.1 and Section III.C.2
above to the Director, Office of New Reactors, U.S. Nuclear Regulatory
Commission, Washington, DC 20555. In addition, TANE shall mark its
responses as ``Security-Related Information--Withhold under 10 CFR
2.390.''
Except for the requirements for fingerprinting, the Director,
Office of New Reactors, may, in writing, relax or rescind any of the
above conditions upon demonstration of good cause by TANE.
IV
In accordance with 10 CFR 2.202, TANE must, and any other person
adversely affected by this Order may, submit an answer to this Order
and may request a hearing on this Order within 20 days of the date of
its publication in the Federal Register. Where good cause is shown, the
NRC will consider extending the time to answer or request a hearing. A
request for an extension of time in which to submit an answer or to
request a hearing must be made in writing to the Director, Office of
New Reactors, U.S. Nuclear Regulatory Commission, Washington, DC 20555,
and must include a statement of good cause for the extension.
All documents filed in NRC adjudicatory proceedings, including a
request for hearing, a petition for leave to intervene, any motion or
other document filed in the proceeding prior to the submission of a
request for hearing or petition to intervene, and documents filed by
interested governmental entities participating under 10 CFR 2.315(c),
must be filed in accordance with the NRC E-Filing rule (72 FR 49139,
August 28, 2007). The E-Filing process requires participants to submit
and serve all adjudicatory documents over the internet, or in some
cases to mail copies on electronic storage media. Participants may not
submit paper copies of their filings unless they seek an exemption in
accordance with the procedures described below.
To comply with the procedural requirements of E-Filing, at least 10
days prior to the filing deadline, the participant should contact the
Office of
[[Page 74752]]
the Secretary by e-mail at [email protected], or by telephone at
301-415-1677, to request (1) a digital ID certificate, which allows the
participant (or its counsel or representative) to digitally sign
documents and access the E-Submittal server for any proceeding in which
it is participating; and (2) advise the Secretary that the participant
will be submitting a request or petition for hearing (even in instances
in which the participant, or its counsel or representative, already
holds an NRC-issued digital ID certificate). Based upon this
information, the Secretary will establish an electronic docket for the
hearing in this proceeding if the Secretary has not already established
an electronic docket.
Information about applying for a digital ID certificate is
available on NRC's public Web site at http://www.nrc.gov/site-help/e-submittals/apply-certificates.html. System requirements for accessing
the E-Submittal server are detailed in NRC's ``Guidance for Electronic
Submission,'' which is available on the agency's public Web site at
http://www.nrc.gov/site-help/e-submittals.html. Participants may
attempt to use other software not listed on the Web site, but should
note that the NRC's E-Filing system does not support unlisted software,
and the NRC Meta System Help Desk will not be able to offer assistance
in using unlisted software.
If a participant is electronically submitting a document to the NRC
in accordance with the E-Filing rule, the participant must file the
document using the NRC's online, Web-based submission form. In order to
serve documents through EIE, users will be required to install a web
browser plug-in from the NRC Web site. Further information on the Web-
based submission form, including the installation of the Web browser
plug-in, is available on the NRC's public Web site at http://www.nrc.gov/site-help/e-submittals.html.
Once a participant has obtained a digital ID certificate and a
docket has been created, the participant can then submit a request for
hearing or petition for leave to intervene. Submissions should be in
Portable Document Format (PDF) in accordance with NRC guidance
available on the NRC public Web site at http://www.nrc.gov/site-help/e-submittals.html. A filing is considered complete at the time the
documents are submitted through the NRC's E-Filing system. To be
timely, an electronic filing must be submitted to the E-Filing system
no later than 11:59 p.m. Eastern Time on the due date. Upon receipt of
a transmission, the E-Filing system time-stamps the document and sends
the submitter an e-mail notice confirming receipt of the document. The
E-Filing system also distributes an e-mail notice that provides access
to the document to the NRC Office of the General Counsel and any others
who have advised the Office of the Secretary that they wish to
participate in the proceeding, so that the filer need not serve the
documents on those participants separately. Therefore, applicants and
other participants (or their counsel or representative) must apply for
and receive a digital ID certificate before a hearing request/petition
to intervene is filed so that they can obtain access to the document
via the E-Filing system.
A person filing electronically using the agency's adjudicatory E-
Filing system may seek assistance by contacting the NRC Meta System
Help Desk through the ``Contact Us'' link located on the NRC Web site
at http://www.nrc.gov/site-help/e-submittals.html, by e-mail at
[email protected], or by a toll-free call at (866) 672-7640. The
NRC Meta System Help Desk is available between 8 a.m. and 8 p.m.,
Eastern Time, Monday through Friday, excluding government holidays.
Participants who believe that they have a good cause for not
submitting documents electronically must file an exemption request, in
accordance with 10 CFR 2.302(g), with their initial paper filing
requesting authorization to continue to submit documents in paper
format. Such filings must be submitted by: (1) First-class mail
addressed to the Office of the Secretary of the Commission, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemaking and Adjudications Staff; or (2) courier, express mail, or
expedited delivery service to the Office of the Secretary, Sixteenth
Floor, One White Flint North, 11555 Rockville Pike, Rockville,
Maryland, 20852, Attention: Rulemaking and Adjudications Staff.
Participants filing a document in this manner are responsible for
serving the document on all other participants. Filing is considered
complete by first-class mail as of the time of deposit in the mail, or
by courier, express mail, or expedited delivery service upon depositing
the document with the provider of the service. A presiding officer,
having granted an exemption request from using E-Filing, may require a
participant or party to use E-Filing if the presiding officer
subsequently determines that the reason for granting the exemption from
use of E-Filing no longer exists.
Documents submitted in adjudicatory proceedings will appear in
NRC's electronic hearing docket, which is available to the public at
http://ehd.nrc.gov/EHD_Proceeding/home.asp, unless excluded pursuant
to an order of the Commission, or the presiding officer. Participants
are requested not to include personal privacy information, such as
social security numbers, home addresses, or home phone numbers in their
filings, unless an NRC regulation or other law requires submission of
such information. With respect to copyrighted works, except for limited
excerpts that serve the purpose of the adjudicatory filings and would
constitute a Fair Use application, participants are requested not to
include copyrighted materials in their submission.
The answer may consent to this Order. If the answer, on the other
hand, includes a request for hearing, it shall, in writing and under
oath or affirmation, specifically set forth the matters of fact and law
by which TANE relies and the reasons as to why the NRC should not have
issued this Order. If a person other than TANE requests a hearing, that
person shall set forth with particularity the manner in which his/her
interest is adversely affected by this Order and shall address the
criteria set forth in 10 CFR 2.309(d).
If TANE or a person whose interest is adversely affected requests a
hearing, the Commission will issue an order designating the time and
place of any hearing. If a hearing is held, the issue to be considered
at this hearing shall be whether this Order should be sustained.
Pursuant to 10 CFR 2.202(c)(2)(i), TANE may, in addition to
requesting a hearing, at the time the answer is filed or sooner, move
the presiding officer to set aside the immediate effectiveness of the
order on the grounds that the order, including the need for immediate
effectiveness, is not based on adequate evidence but on mere suspicion,
unfounded allegations, or error.
In the absence of any request for a hearing or written approval of
an extension of time in which to request a hearing, the provisions, as
specified above in Section III, shall be final 20 days from the date
this Order is published in the Federal Register, without further
issuance of an order or proceedings.
If the agency approves an extension of time in which to request a
hearing, the provisions, as specified above in Section III, shall be
final when the extension expires if the NRC has not received a hearing
request.
[[Page 74753]]
An answer or a request for hearing shall not stay the immediate
effectiveness of this order.
Dated at Rockville, MD, this 19th day of November 2010.
For the Nuclear Regulatory Commission.
Michael R. Johnson,
Director, Office of New Reactors.
Guidance for the Evaluation of Access to Safeguards Information With
the Inclusion of Criminal History Records (Fingerprint) Checks
When a licensee or other person \3\ submits fingerprints to the
U.S. Nuclear Regulatory Commission (NRC) in accordance with an NRC
Order, that licensee or other person will receive a criminal history
summary of information, as provided in federal records, since the
individual's 18th birthday. Individuals retain the right to correct and
complete information and to initiate challenge procedures described in
Enclosure 3. The licensee will receive the information from the
criminal history records check for those individuals who require access
to Safeguards Information (SGI), and the reviewing official will
evaluate that information using the guidance below. Furthermore, the
requirements of all orders, which apply to the information and material
to which access is being granted, must be met.
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\3\ As used herein, ``licensee'' means any licensee or other
person who must conduct fingerprinting.
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The licensee's reviewing official is required to evaluate all
pertinent and available information when determining an individual's
access to SGI, including the criminal history information pertaining to
that individual as required by the NRC Order. The reviewing official
must use the criminal history records check when determining whether an
individual has a record of criminal activity that indicates that he or
she should not have access to SGI. The reviewing official must document
each determination of access to SGI, including a review of criminal
history information and the basis for the decision that he or she made
as follows:
If the reviewing official discovers negative information
that the individual did not provide or that is different in any
material respect from the information that the individual provided, the
reviewing official should consider this information and must document
his or her decisions made based on these findings.
The reviewing official should carefully evaluate any
record that contains information on a pattern of behaviors that
indicates that the behaviors could be expected to recur or continue or
on recent behaviors that cast questions on whether an individual should
have access to SGI before any authorization of access to SGI.
A licensee must resubmit fingerprints only under either one of the
following two conditions:
(1) The Federal Bureau of Investigation (FBI) has determined that
the fingerprints cannot be classified due to poor quality in the
mechanics of taking the initial impressions; or
(2) The initial submission has been lost.
If the FBI advises that six sets of fingerprints are unclassifiable
based on conditions other than poor quality, the licensee may submit a
request to the NRC for alternatives. When those search results are
received from the FBI, no further search is necessary.
Process To Challenge NRC Denials or Revocations of Access to Safeguards
Information
1. Policy
This policy establishes a process by which individuals who are
nominated as a reviewing official by a U.S. Nuclear Regulatory
Commission (NRC) licensee or other person \1\ are afforded the
opportunity to challenge and appeal NRC denials or revocations of
access to Safeguards Information (SGI). Any individual nominated as a
licensee reviewing official whom the NRC has determined may not have
access to SGI shall, to the extent provided below, be afforded an
opportunity to challenge and appeal the NRC's determination. This
policy shall not be construed to require the disclosure of SGI to any
person, nor shall it be construed to create a liberty or property
interest of any kind in the access of any individual to SGI.
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\1\ As used herein, ``licensee'' means any licensee or other
person who must conduct fingerprinting.
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2. Applicability
This policy applies solely to those employees of licensees who are
nominated as a reviewing official and who are thus considered, by the
NRC, for initial or continued access to SGI in that position.
3. SGI Access Determination Criteria
The NRC staff will make determinations for granting a nominated
reviewing official access to SGI. The NRC shall deny or revoke access
to SGI whenever it determines that an individual does not meet the
applicable standards. The agency shall resolve any doubt about an
individual's eligibility for initial or continued access to SGI in
favor of the national security and will deny or revoke access.
4. Procedures To Challenge the Contents of Records Obtained From the
Federal Bureau of Investigation (FBI)
Before the NRC Facilities Security Branch Chief makes the
determination to deny or revoke access to SGI by an individual
nominated as a reviewing official, that individual shall be afforded
the following:
(1) The individual shall have access to the contents of records
obtained from the FBI for the purpose of ensuring correct and complete
information. If, after reviewing the record, an individual believes
that the information is incorrect or incomplete in any respect and
wishes to change, correct, or update the alleged deficiency or to
explain any matter in the record, he or she may initiate challenge
procedures. These procedures include either direct application by the
individual challenging the record to the agency (i.e., law enforcement
agency) that contributed the questioned information, or direct
challenge as to the accuracy or completeness of any entry on the
criminal history record to the Assistant Director, Federal Bureau of
Investigation, Identification Division, Washington, DC 20537-9700 (as
set forth in Title 28 of the Code of Federal Regulations (28 CFR)
16.30, ``Purpose and Scope,'' through 28 CFR 16.34, ``Procedure to
Obtain Change, Correction or Updating of Identification Records''). In
the latter case, the FBI will forward the challenge to the agency that
submitted the data and will request that the agency verify or correct
the challenged entry. Once the FBI receives an official communication
directly from the agency that contributed the original information, the
FBI's Identification Division makes any necessary changes in accordance
with the information supplied by that agency.
(2) The individual shall have 10 days to initiate an action
challenging the results of an FBI criminal history records check
(described in provision 1 above) after the record is made available for
the individual's review. If the individual initiates such a challenge,
the NRC Facilities Security Branch Chief may make a determination based
upon the criminal history record only upon receipt of the FBI's
ultimate confirmation or correction of the record.
5. Procedures To Provide Additional Information
Before the NRC Facilities Security Branch Chief makes a
determination to deny or revoke access to SGI by an individual
nominated as a reviewing official, that individual shall be given
[[Page 74754]]
the opportunity to submit information relevant to the his or her
trustworthiness and reliability. The NRC Facilities Security Branch
Chief shall, in writing, notify the individual of this opportunity and
of any deadlines for submitting this information. The NRC Facilities
Security Branch Chief may make a determination of access to SGI only
upon receipt of the additional information submitted by the individual
or, if no such information is submitted, when the deadline to submit
such information has passed.
6. Procedures To Notify an Individual of the NRC Facilities Security
Branch Chief's Determination To Deny or Revoke Access to Safeguards
Information
Once the NRC Facilities Security Branch Chief makes a determination
to deny or revoke access to SGI by an individual nominated as a
reviewing official, that individual shall be provided a written
explanation of the basis for this determination.
7. Procedures To Appeal an NRC Determination To Deny or Revoke Access
to Safeguards Information
Once the NRC Facilities Security Branch Chief makes a determination
to deny or revoke access to SGI by an individual nominated as a
reviewing official, that individual shall be afforded an opportunity to
appeal this determination to the Director, Division of Facilities and
Security. The individual must appeal the determination within 20 days
of receipt of the written notice of the determination by the Facilities
Security Branch Chief, either in writing or in person. Any appeal made
in person shall take place at the NRC's Headquarters and shall be at
the individual's own expense. The determination made by the Director,
Division of Facilities and Security, shall be rendered within 60 days
after receipt of the appeal.
8. Procedures To Notify an Individual of the Determination by the
Director, Division of Facilities and Security, Upon an Appeal
A determination by the Director, Division of Facilities and
Security, shall be provided to the individual in writing and shall
include an explanation of the basis for this determination. A
determination by the Director, Division of Facilities and Security, to
affirm the Facilities Branch Chief's determination to deny or revoke an
individual's access to SGI is final and not subject to further
administrative appeals.
General Requirements
Licensees and other persons who are required to conduct
fingerprinting shall comply with the requirements of this enclosure.\2\
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\2\ As used herein, ``licensee'' means any licensee or other
person who must conduct fingerprinting in accordance with these
requirements.
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The licensee shall notify the U.S. Nuclear Regulatory Commission
(NRC) of any desired change in reviewing officials in compliance with
Section III.C.1 of the subject order. The NRC will determine whether
the individual nominated as the new reviewing official may have access
to Safeguards Information (SGI) based on a previously obtained or new
criminal history records check and, therefore, will be permitted to
serve as the licensee's reviewing official.
Procedures for Processing Fingerprint Checks
For the purpose of complying with this Order, licensees shall,
using an appropriate method listed in Title 10 of the Code of Federal
Regulations (10 CFR) 73.4, ``Communications,'' submit to the NRC's
Division of Facilities and Security, Mail Stop T-6 E46, one completed,
legible standard fingerprint card (Form FD-258, ORIMDNRCOOOZ) or, where
practicable, other fingerprint records for each individual seeking
access to SGI to the Director, Division of Facilities and Security,
marked to the attention of the Division's Criminal History Check
Section. Licensees may obtain copies of these forms by written request
to the Office of Information Services, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001; by telephone at (301) 415-5877;
or by e-mail at [email protected]. Practicable alternative formats appear
in 10 CFR 73.4. The licensee shall establish procedures to ensure that
the quality of the fingerprints taken minimizes the rejection rate of
fingerprint cards because of illegible or incomplete cards.
The NRC will review submitted fingerprint cards for completeness.
Any Form FD-258 fingerprint record containing omissions or evident
errors will be returned to the licensee for corrections. The fee for
processing fingerprint checks includes one resubmission if the Federal
Bureau of Investigation (FBI) returns the initial submission because
the fingerprint impressions cannot be classified. The one free
resubmission must have the FBI transaction control number reflected on
it. If additional submissions are necessary, they will be treated as
initial submittals and will require a second payment of the processing
fee.
Fees for processing fingerprint checks are due upon application.
Licensees shall submit payment with the application for processing
fingerprints by a corporate check, certified check, cashier's check,
money order, or electronic payment made payable to ``U.S. NRC.'' (For
guidance on making electronic payments, contact the Facilities Security
Branch, Division of Facilities and Security, at 301-415-7404.) A
combined payment for multiple applications is acceptable. The
application fee (currently $26) 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 and an NRC processing fee, which
covers administrative costs associated with NRC's handling of licensee
fingerprint submissions. The Commission will directly notify licensees
that are subject to this regulation of any fee changes.
The Commission will forward to the submitting licensee all data
received from the FBI resulting from the licensee's application(s) for
criminal history records checks, including the FBI fingerprint record.
Right To Correct and Complete Information
Before any final adverse determination, the licensee shall make
available to the individual the contents of any criminal records
obtained from the FBI for the purpose of ensuring correct and complete
information. The licensee must maintain the individual's written
confirmation of receipt of this notification for a period of 1 year
from the date of the notification. If, after reviewing the record, an
individual believes that the information is incorrect or incomplete in
any respect and wishes to change, correct, or update the alleged
deficiency or to explain any matter in the record, he or she may
initiate challenge procedures. These procedures include either direct
application by the individual challenging the record to the agency
(i.e., law enforcement agency) that contributed the questioned
information or direct challenge as to the accuracy or completeness of
any entry on the criminal history record to the Assistant Director,
Federal Bureau of Investigation, Identification Division, Washington,
DC 20537-9700 (as set forth in 28 CFR 16.30, ``Purpose and Scope,''
through 28 CFR 16.34, ``Procedure to Obtain Change, Correction or
Updating of Identification Records''). In the latter case, the FBI will
forward the challenge to the agency that submitted the data and will
request that the agency verify or correct the challenged entry. Once
the FBI receives
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an official communication directly from the agency that contributed the
original information, the FBI's Identification Division makes any
changes necessary in accordance with the information supplied by that
agency. The licensee must allow an individual at least 10 days to
initiate an action challenging the results of an FBI criminal history
records check after the record is made available for his or her review.
The licensee may make a final SGI access determination based upon the
criminal history record only upon receipt of the FBI's ultimate
confirmation or correction of the record. Upon a final adverse
determination on access to SGI, the licensee shall provide the
individual its documented basis for denial. The licensee shall not
grant an individual access to SGI during the review process.
Protection of Information
Each licensee who obtains a criminal history record on an
individual under this Order shall establish and maintain a system of
files and procedures for protecting the record and the personal
information from unauthorized disclosure.
The licensee may not disclose the record or personal information
that it collects and maintains to persons other than the subject
individual or his or her representative or to those who have a need to
access the information in performing assigned duties in the process of
determining access to SGI. No individual authorized to have access to
the information may redisseminate the information to any other
individual who does not have a need to know.
The licensee may transfer personal information obtained on an
individual from a criminal history records check to another licensee if
the licensee holding the criminal history records check receives the
individual's written request to redisseminate the information contained
in his or her file and if the current licensee verifies information
such as the individual's name, date of birth, Social Security number,
sex, and other applicable physical characteristics for identification
purposes.
The licensee shall make criminal history records, obtained under
this section, available for examination by an authorized representative
of the NRC to determine compliance with the regulations and laws.
The licensee shall retain all fingerprint and criminal history
records that it receives from the FBI or a copy of these records if the
individual's file has been transferred for 3 years after termination of
employment or upon determination of access to SGI (whether access was
approved or denied). After the required 3-year period, the licensee
shall destroy these documents by a method that will prevent the
reconstruction of the information in whole or in part.
[FR Doc. 2010-30221 Filed 11-30-10; 8:45 am]
BILLING CODE 7590-01-P