In the Matter of Indiana Michigan Power Company; DC Cook Nuclear Plant Independent Spent Fuel Installation; Order Modifying License (Effective Immediately), 20722-20727 [2011-9007]
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Federal Register / Vol. 76, No. 71 / Wednesday, April 13, 2011 / Notices
1. Applicant Paul Ponganis,
Center for Marine Biotechnology and Biomedicine, Scripps Institution of
Oceanography, University of
California, San Diego, La
Jolla, CA 92093–0204..
Permit
Application
No. 2012–
001
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Activity for Which Permit Is Requested
Take and Import into the U.S.A. The
applicant plans to capture up to 10
fledgling Emperor chicks for research
studies at University of California, San
Diego. The volume of the air sacs and
lungs are critical to the diving
physiology of penguins in at least two
ways. First, the respiratory oxygen store
is estimated to comprise one-third to
one-half the total body O2 stores in
various species. And second, the ratio of
air sac to lung volume is a potential
mechanism for prevention of pulmonary
barotrauma (‘‘lung squeeze’’). Yet the
volumes of the air sacs and lungs have
never been directly measured in any
penguin species. There have only been
indirect estimates based on simulated
dives in pressure chambers or on
buoyancy-swim speed calculations
during dives at sea. Therefore, in this
research project, air sac and lung
volumes in emperor penguins
(Aptenodytes forsteri), king penguins (A.
´
patagonicus), and Adelie penguins
(Pygoscelis adeliae) will be measured by
3D reconstructions from computerized
tomography (CT) and magnetic
resonance imaging (MRI) scans. The
study, to be conducted in collaboration
with the University of California San
Diego Keck Center for Magnetic
Resonance Imaging, will utilize captive
birds. Subjects from the latter two
species are already available. Most of
the captive emperor penguins would be
considered geriatric and at risk for
anesthesia, therefore emperor penguins
will be exported as chicks, and then
raised and maintained for the study.
The export of 10 chicks will have no
impact on the Cape Washington colony
as emperor penguin chick censuses
between 1983 and 2005 have been as
high as 24,000 chicks.
Given (a) the significance of the
volume of the air sacs and lungs in
determination of the magnitude and
distribution of total body O2 stores, (b)
the lack of verification of indirect
estimates of diving air volume in
penguins, (c) the possibility of air
exhalation during many dives of
penguins, and d) the limited data used
to construct allometric equations to
predict air sac/lung volume on the basis
of body mass, it is imperative to obtain
direct measures of air sac and lung
volumes in emperor penguins, king
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´
penguins, and Adelie penguins. Such
direct measurements would provide the
maximum available respiratory volume
for O2 store calculations and allow
better evaluation and interpretation off
data obtained with indirect techniques
at sea for the three species. This is
especially important for emperor
penguins, as it is the species in which
the most detailed diving physiology
studies are available.
Location
Cape Washington, Terra Nova Bay,
Victoria Land.
Dates
September 1, 2011 to December 31,
2012.
Nadene G. Kennedy,
Permit Officer, Office of Polar Programs.
[FR Doc. 2011–8772 Filed 4–12–11; 8:45 am]
BILLING CODE 7555–01–M
NUCLEAR REGULATORY
COMMISSION
[Docket No. 72–72; NRC–2011–0079; EA–
11–039]
In the Matter of Indiana Michigan
Power Company; DC Cook Nuclear
Plant Independent Spent Fuel
Installation; Order Modifying License
(Effective Immediately)
Nuclear Regulatory
Commission.
AGENCY:
Issuance of Order for
Implementation of Additional Security
Measures and Fingerprinting for
Unescorted Access to Indiana Michigan
Power Company.
ACTION:
L.
Raynard Wharton, Senior Project
Manager, Licensing and Inspection
Directorate, Division of Spent Fuel
Storage and Transportation, Office of
Nuclear Material Safety and Safeguards,
U.S. Nuclear Regulatory Commission
(NRC), Rockville, MD 20852. Telephone:
301–492–3316; fax number: 301–492–
3348; e-mail:
Raynard.Wharton@nrc.gov.
FOR FURTHER INFORMATION CONTACT:
SUPPLEMENTARY INFORMATION:
I. Introduction
Pursuant to 10 CFR 2.106, the NRC (or
the Commission) is providing notice, in
the matter of DC Cook Nuclear Plant
Independent Spent Fuel Storage
Installation (ISFSI) Order Modifying
License (Effective Immediately).
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II. Further Information
I
NRC has issued a general license to
Indiana Michigan Power Company
(I&M), authorizing the operation of an
ISFSI, in accordance with the Atomic
Energy Act of 1954, as amended, and
Title 10 of the Code of Federal
Regulations (10 CFR) part 72. This
Order is being issued to I&M because it
has identified near-term plans to store
spent fuel in an ISFSI under the general
license provisions of 10 CFR part 72.
The Commission’s regulations at 10 CFR
72.212(b)(5), 10 CFR 50.54(p)(1), and 10
CFR 73.55(c)(5) require licensees to
maintain safeguards contingency plan
procedures to respond to threats of
radiological sabotage and to protect the
spent fuel against the threat of
radiological sabotage, in accordance
with 10 CFR part 73, Appendix C.
Specific physical security requirements
are contained in 10 CFR 73.51 or 73.55,
as applicable.
Inasmuch as an insider has an
opportunity equal to, or greater than,
any other person, to commit radiological
sabotage, the Commission has
determined these measures to be
prudent. Comparable Orders have been
issued to all licensees that currently
store spent fuel or have identified nearterm plans to store spent fuel in an
ISFSI.
II
On September 11, 2001, terrorists
simultaneously attacked targets in New
York, NY, and Washington, DC, using
large commercial aircraft as weapons. In
response to the attacks and intelligence
information subsequently obtained, the
Commission issued a number of
Safeguards and Threat Advisories to its
licensees to strengthen licensees’
capabilities and readiness to respond to
a potential attack on a nuclear facility.
On October 16, 2002, the Commission
issued Orders to the licensees of
operating ISFSIs, to place the actions
taken in response to the Advisories into
the established regulatory framework
and to implement additional security
enhancements that emerged from NRC’s
ongoing comprehensive review. The
Commission has also communicated
with other Federal, State, and local
government agencies and industry
representatives to discuss and evaluate
the current threat environment in order
to assess the adequacy of security
measures at licensed facilities. In
addition, the Commission has
conducted a comprehensive review of
its safeguards and security programs
and requirements.
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As a result of its consideration of
current safeguards and security
requirements, as well as a review of
information provided by the intelligence
community, the Commission has
determined that certain additional
security measures (ASMs) are required
to address the current threat
environment, in a consistent manner
throughout the nuclear ISFSI
community. Therefore, the Commission
is imposing requirements, as set forth in
Attachments 1 and 2 of this Order, on
all licensees of these facilities. These
requirements, which supplement
existing regulatory requirements, will
provide the Commission with
reasonable assurance that the public
health and safety, the environment, and
common defense and security continue
to be adequately protected in the current
threat environment. These requirements
will remain in effect until the
Commission determines otherwise.
The Commission recognizes that
licensees may have already initiated
many of the measures set forth in
Attachments 1 and 2 to this Order, in
response to previously issued
Advisories, or on their own. It also
recognizes that some measures may not
be possible or necessary at some sites,
or may need to be tailored to
accommodate the specific
circumstances existing at I&M’s facility,
to achieve the intended objectives and
avoid any unforeseen effect on the safe
storage of spent fuel.
Although the ASMs implemented by
licensees in response to the Safeguards
and Threat Advisories have been
sufficient to provide reasonable
assurance of adequate protection of
public health and safety, in light of the
continuing threat environment, the
Commission concludes that these
actions must be embodied in an Order,
consistent with the established
regulatory framework.
To provide assurance that licensees
are implementing prudent measures to
achieve a consistent level of protection
to address the current threat
environment, licenses issued pursuant
to 10 CFR 72.210 shall be modified to
include the requirements identified in
Attachments 1 and 2 to this Order. In
addition, pursuant to 10 CFR 2.202, I
find that, in light of the common
defense and security circumstances
described above, the public health,
safety, and interest require that this
Order be effective immediately.
III
Accordingly, pursuant to Sections 53,
103, 104, 147, 149, 161b, 161i, 161o,
182, and 186 of the Atomic Energy Act
of 1954, as amended, and the
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Commission’s regulations in 10 CFR
2.202 and 10 CFR Parts 50, 72, and 73,
it is hereby ordered, effective
immediately, that your general license is
modified as follows:
A. I&M shall comply with the
requirements described in Attachments
1 and 2 to this Order, except to the
extent that a more stringent requirement
is set forth in the Waterford Steam
Electric Station’s physical security plan.
I&M shall demonstrate its ability to
comply with the requirements in
Attachments 1 and 2 to the Order no
later than 365 days from the date of this
Order or 90 days before the first day that
spent fuel is initially placed in the
ISFSI, whichever is earlier. I&M must
implement these requirements before
initially placing spent fuel in the ISFSI.
Additionally, I&M must receive written
verification from the NRC that it has
adequately demonstrated compliance
with these requirements before initially
placing spent fuel in the ISFSI.
B. 1. I&M shall, within twenty (20)
days of the date of this Order, notify the
Commission: (1) If it is unable to
comply with any of the requirements
described in Attachments 1 and 2; (2) if
compliance with any of the
requirements is unnecessary, in its
specific circumstances; or (3) if
implementation of any of the
requirements would cause I&M to be in
violation of the provisions of any
Commission regulation or the facility
license. The notification shall provide
I&M’s justification for seeking relief
from, or variation of, any specific
requirement.
2. If I&M considers that
implementation of any of the
requirements described in Attachments
1 and 2 to this Order would adversely
impact the safe storage of spent fuel,
I&M must notify the Commission,
within twenty (20) days of this Order, of
the adverse safety impact, the basis for
its determination that the requirement
has an adverse safety impact, and either
a proposal for achieving the same
objectives specified in Attachments 1
and 2 requirements in question, or a
schedule for modifying the facility, to
address the adverse safety condition. If
neither approach is appropriate, I&M
must supplement its response, to
Condition B.1 of this Order, to identify
the condition as a requirement with
which it cannot comply, with attendant
justifications, as required under
Condition B.1.
C. 1. I&M shall, within twenty (20)
days of this Order, submit to the
Commission, a schedule for achieving
compliance with each requirement
described in Attachments 1 and 2.
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2. I&M shall report to the Commission
when it has achieved full compliance
with the requirements described in
Attachments 1 and 2.
D. All measures implemented or
actions taken in response to this Order
shall be maintained until the
Commission determines otherwise.
I&M’s response to Conditions B.1, B.2,
C.1, and C.2, above, shall be submitted
in accordance with 10 CFR 72.4. In
addition, submittals and documents
produced by I&M as a result of this
order, that contain Safeguards
Information as defined by 10 CFR 73.22,
shall be properly marked and handled,
in accordance with 10 CFR 73.21 and
73.22.
The Director, Office of Nuclear
Material Safety and Safeguards, may, in
writing, relax or rescind any of the
above conditions, for good cause.
IV
In accordance with 10 CFR 2.202, I&M
must, and any other person adversely
affected by this Order may, submit an
answer to this Order within 20 days of
its publication in the Federal Register.
In addition, I&M and any other person
adversely affected by this Order may
request a hearing on this Order within
20 days of its publication in the Federal
Register. Where good cause is shown,
consideration will be given to extending
the time to answer or request a hearing.
A request for extension of time must be
made, in writing, to the Director, Office
of Nuclear Material Safety and
Safeguards, U.S. Nuclear Regulatory
Commission, Washington, DC 20555–
0001, and include a statement of good
cause for the extension.
The answer may consent to this
Order. If the answer includes a request
for a hearing, it shall, under oath or
affirmation, specifically set forth the
matters of fact and law on which I&M
relies and the reasons as to why the
Order should not have been issued. If a
person other than I&M 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).
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
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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 ten
(10) days prior to the filing deadline, the
participant should contact the Office of
the Secretary by e-mail at
hearing.docket@nrc.gov, or by telephone
at 301–415–1677, to request (1) a digital
identification (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 NRCissued 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 https://
www.nrc.gov/site-help/e-submittals/
apply-certificates.html. System
requirements for accessing the ESubmittal server are detailed in NRC’s
‘‘Guidance for Electronic Submission,’’
which is available on the agency’s
public Web site at https://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 the Electronic
Information Exchange System, 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 https://www.nrc.gov/site-help/
e-submittals.html.
Once a participant has obtained a
digital ID certificate and a docket has
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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
https://www.nrc.gov/site-help/esubmittals.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 email 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 https://
www.nrc.gov/site-help/
e-submittals.html, by e-mail at
MSHD.Resource@nrc.gov, or by a tollfree call at 1–866–672–7640. 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
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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 https://
ehd1.nrc.gov/EHD/, 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.
If a hearing is requested by I&M or a
person whose interest is adversely
affected, 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 such hearing
shall be whether this Order should be
sustained.
Pursuant to 10 CFR 2.202(c)(2)(i), I&M
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
hearing, or written approval of an
extension of time in which to request a
hearing, the provisions as specified in
Section III shall be final twenty (20)
days from the date this Order is
published in the Federal Register,
without further Order or proceedings. If
an extension of time for requesting a
hearing has been approved, the
provisions as specified in Section III,
shall be final when the extension
expires, if a hearing request has not
been received. An answer or a request
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for hearing shall not stay the immediate
effectiveness of this order.
Dated at Rockville, Maryland, this 6th day
of April 2011.
For the Nuclear Regulatory Commission.
Catherine Haney,
Director, Office of Nuclear Material Safety
and Safeguards.
Attachment 1—Additional Security
Measures (ASMs) for Physical
Protection of Dry Independent Spent
Fuel Storage Installations (ISFSIs)
Contains Safeguards Information and Is
Not Included in the Federal Register
Notice
Attachment 2—Additional Security
Measures for Access Authorization and
Fingerprinting at Independent Spent
Fuel Storage Installations, Dated June
3, 2010
A. General Basis Criteria
1. These additional security measures
(ASMs) are established to delineate an
independent spent fuel storage
installation (ISFSI) licensee’s
responsibility to enhance security
measures related to authorization for
unescorted access to the protected area
of an ISFSI in response to the current
threat environment.
2. Licensees whose ISFSI is collocated
with a power reactor may choose to
comply with the U.S. Nuclear
Regulatory Commission (NRC)-approved
reactor access authorization program for
the associated reactor as an alternative
means to satisfy the provisions of
sections B through G below. Otherwise,
licensees shall comply with the access
authorization and fingerprinting
requirements of section B through G of
these ASMs.
3. Licensees shall clearly distinguish
in their 20-day response which method
they intend to use in order to comply
with these ASMs.
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B. Additional Security Measures for
Access Authorization Program
1. The licensee shall develop,
implement and maintain a program, or
enhance its existing program, designed
to ensure that persons granted
unescorted access to the protected area
of an ISFSI are trustworthy and reliable
and do not constitute an unreasonable
risk to the public health and safety for
the common defense and security,
including a potential to commit
radiological sabotage.
a. To establish trustworthiness and
reliability, the licensee shall develop,
implement, and maintain procedures for
conducting and completing background
investigations, prior to granting access.
The scope of background investigations
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must address at least the past 3 years
and, as a minimum, must include:
i. Fingerprinting and a Federal Bureau
of Investigation (FBI) identification and
criminal history records check (CHRC).
Where an applicant for unescorted
access has been previously fingerprinted
with a favorably completed CHRC, (such
as a CHRC pursuant to compliance with
orders for access to safeguards
information) the licensee may accept the
results of that CHRC, and need not
submit another set of fingerprints,
provided the CHRC was completed not
more than 3 years from the date of the
application for unescorted access.
ii. Verification of employment with
each previous employer for the most
recent year from the date of application.
iii. Verification of employment with
an employer of the longest duration
during any calendar month for the
remaining next most recent 2 years.
iv. A full credit history review.
v. An interview with not less than two
character references, developed by the
investigator.
vi. A review of official identification
(e.g., driver’s license; passport;
government identification; state-,
province-, or country-of-birth issued
certificate of birth) to allow comparison
of personal information data provided
by the applicant. The licensee shall
maintain a photocopy of the identifying
document(s) on file, in accordance with
‘‘Protection of Information,’’ in Section G
of these ASMs.
vii. Licensees shall confirm eligibility
for employment through the regulations
of the U.S. Department of Homeland
Security, U.S. Citizenship and
Immigration Services, and shall verify
and ensure, to the extent possible, the
accuracy of the provided social security
number and alien registration number,
as applicable.
b. The procedures developed or
enhanced shall include measures for
confirming the term, duration, and
character of military service for the past
3 years, and/or academic enrollment
and attendance in lieu of employment,
for the past 5 years.
c. Licensees need not conduct an
independent investigation for
individuals employed at a facility who
possess active ‘‘Q’’ or ‘‘L’’ clearances or
possess another active U.S.
Government-granted security clearance
(i.e., Top Secret, Secret, or
Confidential).
d. A review of the applicant’s
criminal history, obtained from local
criminal justice resources, may be
included in addition to the FBI CHRC,
and is encouraged if the results of the
FBI CHRC, employment check, or credit
check disclose derogatory information.
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The scope of the applicant’s local
criminal history check shall cover all
residences of record for the past 3 years
from the date of the application for
unescorted access.
2. The licensee shall use any
information obtained as part of a CHRC
solely for the purpose of determining an
individual’s suitability for unescorted
access to the protected area of an ISFSI.
3. The licensee shall document the
basis for its determination for granting
or denying access to the protected area
of an ISFSI.
4. The licensee shall develop,
implement, and maintain procedures for
updating background investigations for
persons who are applying for
reinstatement of unescorted access.
Licensees need not conduct an
independent reinvestigation for
individuals who possess active ‘‘Q’’ or
‘‘L’’ clearances or possess another active
U.S. Government granted security
clearance, i.e., Top Secret, Secret or
Confidential.
5. The licensee shall develop,
implement, and maintain procedures for
reinvestigations of persons granted
unescorted access, at intervals not to
exceed 5 years. Licensees need not
conduct an independent reinvestigation
for individuals employed at a facility
who possess active ‘‘Q’’ or ‘‘L’’ clearances
or possess another active U.S.
Government granted security clearance,
i.e., Top Secret, Secret or Confidential.
6. The licensee shall develop,
implement, and maintain procedures
designed to ensure that persons who
have been denied unescorted access
authorization to the facility are not
allowed access to the facility, even
under escort.
7. The licensee shall develop,
implement, and maintain an audit
program for licensee and contractor/
vendor access authorization programs
that evaluate all program elements and
include a person knowledgeable and
practiced in access authorization
program performance objectives to assist
in the overall assessment of the site’s
program effectiveness.
C. Fingerprinting Program Requirements
1. In a letter to the NRC, the licensee
must nominate an individual who will
review the results of the FBI CHRCs to
make trustworthiness and reliability
determinations for unescorted access to
an ISFSI. This individual, referred to as
the ‘‘reviewing official,’’ must be
someone who requires unescorted
access to the ISFSI. The NRC will
review the CHRC of any individual
nominated to perform the reviewing
official function. Based on the results of
the CHRC, the NRC staff will determine
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whether this individual may have
access. If the NRC determines that the
nominee may not be granted such
access, that individual will be
prohibited from obtaining access.1 Once
the NRC approves a reviewing official,
the reviewing official is the only
individual permitted to make access
determinations for other individuals
who have been identified by the
licensee as having the need for
unescorted access to the ISFSI, and have
been fingerprinted and have had a
CHRC in accordance with these ASMs.
The reviewing official can only make
access determinations for other
individuals, and therefore cannot
approve other individuals to act as
reviewing officials. Only the NRC can
approve a reviewing official. Therefore,
if the licensee wishes to have a new or
additional reviewing official, the NRC
must approve that individual before he
or she can act in the capacity of a
reviewing official.
2. No person may have access to
Safeguards Information (SGI) or
unescorted access to any facility subject
to NRC regulation, if the NRC has
determined, in accordance with its
administrative review process based on
fingerprinting and an FBI identification
and CHRC, that the person may not have
access to SGI or unescorted access to
any facility subject to NRC regulation.
3. All fingerprints obtained by the
licensee under this Order, must be
submitted to the Commission for
transmission to the FBI.
4. The licensee shall notify each
affected individual that the fingerprints
will be used to conduct a review of his/
her criminal history record and inform
the individual of the procedures for
revising the record or including an
explanation in the record, as specified
in the ‘‘Right to Correct and Complete
Information,’’ in section F of these
ASMs.
5. Fingerprints need not be taken if
the employed individual (e.g., a licensee
employee, contractor, manufacturer, or
supplier) is relieved from the
fingerprinting requirement by 10 CFR
73.61, has a favorably adjudicated U.S.
Government CHRC within the last 5
years, or has an active Federal security
clearance. Written confirmation from
the Agency/employer who granted the
Federal security clearance or reviewed
the CHRC must be provided to the
licensee. The licensee must retain this
documentation for a period of 3 years
1 The NRC’s determination of this individual’s
unescorted access to the ISFSI, in accordance with
the process, is an administrative determination that
is outside the scope of the Order.
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from the date the individual no longer
requires access to the facility.
D. Prohibitions
1. A licensee shall not base a final
determination to deny an individual
unescorted access to the protected area
of an ISFSI solely on the basis of
information received from the FBI
involving: an arrest more than 1 year old
for which there is no information of the
disposition of the case, or an arrest that
resulted in dismissal of the charge, or an
acquittal.
2. A licensee shall not use
information received from a CHRC
obtained pursuant to this Order in a
manner that would infringe upon the
rights of any individual under the First
Amendment to the Constitution of the
United States, nor shall the licensee use
the information in any way that would
discriminate among individuals on the
basis of race, religion, national origin,
sex, or age.
E. Procedures for Processing Fingerprint
Checks
1. For the purpose of complying with
this Order, licensees shall, using an
appropriate method listed in 10 CFR
73.4, submit to the NRC’s Division of
Facilities and Security, Mail Stop TWB–
05B32M, one completed, legible
standard fingerprint card (Form FD–258,
ORIMDNRCOOOZ) or, where
practicable, other fingerprint records for
each individual seeking unescorted
access to an ISFSI, to the Director of the
Division of Facilities and Security,
marked for the attention of the
Division’s Criminal History Check
Section. Copies of these forms 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 forms@nrc.gov.
Practicable alternative formats are set
forth in 10 CFR 73.4. The licensee shall
establish procedures to ensure that the
quality of the fingerprints taken results
in minimizing the rejection rate of
fingerprint cards because of illegible or
incomplete cards.
2. 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 initial submission is
returned by the FBI because the
fingerprint impressions cannot be
classified. The one free re-submission
must have the FBI Transaction Control
Number reflected on the re-submission.
If additional submissions are necessary,
PO 00000
Frm 00104
Fmt 4703
Sfmt 4703
they will be treated as initial submittals
and will require a second payment of
the processing fee.
3. Fees for processing fingerprint
checks are due upon application. The
licensee shall submit payment of the
processing fees electronically. To be
able to submit secure electronic
payments, licensees will need to
establish an account with Pay.Gov
(https://www.pay.gov). To request an
account, the licensee shall send an
e-mail to det@nrc.gov. The e-mail must
include the licensee’s company name,
address, point of contact (POC), POC
e-mail address, and phone number. The
NRC will forward the request to
Pay.Gov; who will contact the licensee
with a password and user lD. Once the
licensee has established an account and
submitted payment to Pay.Gov, they
shall obtain a receipt. The licensee shall
submit the receipt from Pay.Gov to the
NRC along with fingerprint cards. For
additional guidance on making
electronic payments, contact the
Facilities Security Branch, Division of
Facilities and Security, at 301–492–
3531. 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 handling of licensee fingerprint
submissions. The Commission will
directly notify licensees who are subject
to this regulation of any fee changes.
4. The Commission will forward to
the submitting licensee all data received
from the FBI as a result of the licensee’s
application(s) for CHRCs, including the
FBI fingerprint record.
F. Right to Correct and Complete
Information
1. Prior to any final adverse
determination, the licensee shall make
available to the individual the contents
of any criminal history records obtained
from the FBI for the purpose of assuring
correct and complete information.
Written confirmation by the individual
of receipt of this notification must be
maintained by the licensee for a period
of one 1 year from the date of
notification.
2. If, after reviewing the record, an
individual believes that it 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, the individual may initiate
challenge procedures. These procedures
include either direct application by the
individual challenging the record to the
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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 through 16.34). In
the latter case, the FBI forwards the
challenge to the agency that submitted
the data and requests that agency to
verify or correct the challenged entry.
Upon receipt of an official
communication directly from the agency
that contributed the original
information, the FBI Identification
Division makes any changes necessary
in accordance with the information
supplied by that agency. The licensee
must provide at least 10 days for an
individual to initiate an action
challenging the results of a FBI CHRC
after the record is made available for
his/her review. The licensee may make
a final access determination based on
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 an ISFSI, the licensee shall
provide the individual its documented
basis for denial. Access to an ISFSI shall
not be granted to an individual during
the review process.
mstockstill on DSKH9S0YB1PROD with NOTICES
G. Protection of Information
1. The licensee shall develop,
implement, and maintain a system for
personnel information management
with appropriate procedures for the
protection of personal, confidential
information. This system shall be
designed to prohibit unauthorized
access to sensitive information and to
prohibit modification of the information
without authorization.
2. Each licensee who obtains a
criminal history record on an individual
pursuant to this Order shall establish
and maintain a system of files and
procedures, for protecting the record
and the personal information from
unauthorized disclosure.
3. The licensee may not disclose the
record or personal information collected
and maintained to persons other than
the subject individual, his/her
representative, or to those who have a
need to access the information in
performing assigned duties in the
process of determining suitability for
unescorted access to the protected area
of an ISFSI. No individual authorized to
have access to the information may redisseminate the information to any
other individual who does not have the
appropriate need to know.
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4. The personal information obtained
on an individual from a CHRC may be
transferred to another licensee if the
gaining licensee receives the
individual’s written request to redisseminate the information contained
in his/her file, and the gaining licensee
verifies information such as the
individual’s name, date of birth, social
security number, sex, and other
applicable physical characteristics for
identification purposes.
5. 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.
[FR Doc. 2011–9007 Filed 4–12–11; 8:45 am]
BILLING CODE 7590–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. IC–29627; File No. 812–13806]
National Life Insurance Company, et al.
April 7, 2011.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of application for an
order pursuant to Section 26(c) of the
Investment Company Act of 1940 (the
‘‘1940 Act’’).
AGENCY:
National Life Insurance
Company (‘‘NLIC’’), National Variable
Annuity Account II (‘‘Annuity
Account’’), National Variable Life
Insurance Account (‘‘Life Account’’, and
together with Annuity Account,
‘‘Separate Accounts’’).
SUMMARY OF APPLICATION: Applicants
request an order of the Commission
pursuant to Section 26(c) of 1940 Act,
as amended, approving the substitution
of shares of the Money Market Portfolio
(the ‘‘Replacement Portfolio’’) of the
Variable Insurance Products Fund V
(‘‘VIPFV’’) for shares of the Money
Market Fund (the ‘‘Substituted
Portfolio’’) of the Sentinel Variable
Products Trust (‘‘SVPT’’) held by the
Separate Accounts to support variable
annuity contracts or variable life
insurance contracts (collectively, the
‘‘Contracts’’) issued by NLIC.
FILING DATE: The application was
originally filed on July 26, 2010 and
amended on December 13, 2010, and
March 28, 2011.
HEARING OR NOTIFICATION OF HEARING:
An order granting the application will
be issued unless the Commission orders
a hearing. Interested persons may
request a hearing by writing to the
APPLICANTS:
PO 00000
Frm 00105
Fmt 4703
Sfmt 4703
20727
Secretary of the Commission and
serving NLIC with a copy of the request,
personally or by mail. Hearing requests
must be received by the Commission by
5:30 p.m. on April 28, 2011, and should
be accompanied by proof of service on
NLIC in the form of an affidavit or, for
lawyers, a certificate of service. Hearing
requests should state the nature of the
requester’s interest, the reason for the
request, and the issues contested.
Persons who wish to be notified of a
hearing may request notification by
writing to the Secretary of the
Commission.
ADDRESSES: Secretary, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC 20549–1090.
Applicants, c/o Lisa F. Muller, Counsel,
National Life Insurance Company,
National Life Drive, Montpelier,
Vermont 05604.
FOR FURTHER INFORMATION CONTACT:
Craig Ruckman, Attorney-Adviser, at
(202) 551–6753 or Michael Kosoff,
Branch Chief, Office of Insurance
Products, Division of Investment
Management, at (202) 551–6754.
SUPPLEMENTARY INFORMATION: The
following is a summary of the
application. The complete application
may be obtained via the Commission’s
Web site by searching for the file
number, or an applicant using the
Company name box, at https://
www.sec.gov/search/search.htm or by
calling (202) 551–8090.
Applicants’ Representations
1. NLIC is a stock life insurance
company, all the outstanding stock of
which is indirectly owned by National
Life Holding Company, a mutual
insurance holding company established
under Vermont law on January 1, 1999.
NLIC is authorized to transact life
insurance and annuity business in
Vermont and in 50 other jurisdictions.
For purposes of the 1940 Act, NLIC is
the depositor and sponsor of the
Annuity Account and the Life Account
as those terms have been interpreted by
the Commission with respect to variable
life insurance and variable annuity
separate accounts.
2. Under Vermont law, the assets of
each Separate Account attributable to
the Contracts through which interests in
that Separate Account are issued are
owned by NLIC but are held separately
from all other assets of NLIC for the
benefit of the owners of, and the persons
entitled to payment under, those
Contracts. Consequently, the assets in
each Separate Account equal to the
reserves and other contract liabilities of
the Separate Account are not chargeable
with liabilities arising out of any other
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[Federal Register Volume 76, Number 71 (Wednesday, April 13, 2011)]
[Notices]
[Pages 20722-20727]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-9007]
=======================================================================
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NUCLEAR REGULATORY COMMISSION
[Docket No. 72-72; NRC-2011-0079; EA-11-039]
In the Matter of Indiana Michigan Power Company; DC Cook Nuclear
Plant Independent Spent Fuel Installation; Order Modifying License
(Effective Immediately)
AGENCY: Nuclear Regulatory Commission.
ACTION: Issuance of Order for Implementation of Additional Security
Measures and Fingerprinting for Unescorted Access to Indiana Michigan
Power Company.
-----------------------------------------------------------------------
FOR FURTHER INFORMATION CONTACT: L. Raynard Wharton, Senior Project
Manager, Licensing and Inspection Directorate, Division of Spent Fuel
Storage and Transportation, Office of Nuclear Material Safety and
Safeguards, U.S. Nuclear Regulatory Commission (NRC), Rockville, MD
20852. Telephone: 301-492-3316; fax number: 301-492-3348; e-mail:
Raynard.Wharton@nrc.gov.
SUPPLEMENTARY INFORMATION:
I. Introduction
Pursuant to 10 CFR 2.106, the NRC (or the Commission) is providing
notice, in the matter of DC Cook Nuclear Plant Independent Spent Fuel
Storage Installation (ISFSI) Order Modifying License (Effective
Immediately).
II. Further Information
I
NRC has issued a general license to Indiana Michigan Power Company
(I&M), authorizing the operation of an ISFSI, in accordance with the
Atomic Energy Act of 1954, as amended, and Title 10 of the Code of
Federal Regulations (10 CFR) part 72. This Order is being issued to I&M
because it has identified near-term plans to store spent fuel in an
ISFSI under the general license provisions of 10 CFR part 72. The
Commission's regulations at 10 CFR 72.212(b)(5), 10 CFR 50.54(p)(1),
and 10 CFR 73.55(c)(5) require licensees to maintain safeguards
contingency plan procedures to respond to threats of radiological
sabotage and to protect the spent fuel against the threat of
radiological sabotage, in accordance with 10 CFR part 73, Appendix C.
Specific physical security requirements are contained in 10 CFR 73.51
or 73.55, as applicable.
Inasmuch as an insider has an opportunity equal to, or greater
than, any other person, to commit radiological sabotage, the Commission
has determined these measures to be prudent. Comparable Orders have
been issued to all licensees that currently store spent fuel or have
identified near-term plans to store spent fuel in an ISFSI.
II
On September 11, 2001, terrorists simultaneously attacked targets
in New York, NY, and Washington, DC, using large commercial aircraft as
weapons. In response to the attacks and intelligence information
subsequently obtained, the Commission issued a number of Safeguards and
Threat Advisories to its licensees to strengthen licensees'
capabilities and readiness to respond to a potential attack on a
nuclear facility. On October 16, 2002, the Commission issued Orders to
the licensees of operating ISFSIs, to place the actions taken in
response to the Advisories into the established regulatory framework
and to implement additional security enhancements that emerged from
NRC's ongoing comprehensive review. The Commission has also
communicated with other Federal, State, and local government agencies
and industry representatives to discuss and evaluate the current threat
environment in order to assess the adequacy of security measures at
licensed facilities. In addition, the Commission has conducted a
comprehensive review of its safeguards and security programs and
requirements.
[[Page 20723]]
As a result of its consideration of current safeguards and security
requirements, as well as a review of information provided by the
intelligence community, the Commission has determined that certain
additional security measures (ASMs) are required to address the current
threat environment, in a consistent manner throughout the nuclear ISFSI
community. Therefore, the Commission is imposing requirements, as set
forth in Attachments 1 and 2 of this Order, on all licensees of these
facilities. These requirements, which supplement existing regulatory
requirements, will provide the Commission with reasonable assurance
that the public health and safety, the environment, and common defense
and security continue to be adequately protected in the current threat
environment. These requirements will remain in effect until the
Commission determines otherwise.
The Commission recognizes that licensees may have already initiated
many of the measures set forth in Attachments 1 and 2 to this Order, in
response to previously issued Advisories, or on their own. It also
recognizes that some measures may not be possible or necessary at some
sites, or may need to be tailored to accommodate the specific
circumstances existing at I&M's facility, to achieve the intended
objectives and avoid any unforeseen effect on the safe storage of spent
fuel.
Although the ASMs implemented by licensees in response to the
Safeguards and Threat Advisories have been sufficient to provide
reasonable assurance of adequate protection of public health and
safety, in light of the continuing threat environment, the Commission
concludes that these actions must be embodied in an Order, consistent
with the established regulatory framework.
To provide assurance that licensees are implementing prudent
measures to achieve a consistent level of protection to address the
current threat environment, licenses issued pursuant to 10 CFR 72.210
shall be modified to include the requirements identified in Attachments
1 and 2 to this Order. In addition, pursuant to 10 CFR 2.202, I find
that, in light of the common defense and security circumstances
described above, the public health, safety, and interest require that
this Order be effective immediately.
III
Accordingly, pursuant to Sections 53, 103, 104, 147, 149, 161b,
161i, 161o, 182, and 186 of the Atomic Energy Act of 1954, as amended,
and the Commission's regulations in 10 CFR 2.202 and 10 CFR Parts 50,
72, and 73, it is hereby ordered, effective immediately, that your
general license is modified as follows:
A. I&M shall comply with the requirements described in Attachments
1 and 2 to this Order, except to the extent that a more stringent
requirement is set forth in the Waterford Steam Electric Station's
physical security plan. I&M shall demonstrate its ability to comply
with the requirements in Attachments 1 and 2 to the Order no later than
365 days from the date of this Order or 90 days before the first day
that spent fuel is initially placed in the ISFSI, whichever is earlier.
I&M must implement these requirements before initially placing spent
fuel in the ISFSI. Additionally, I&M must receive written verification
from the NRC that it has adequately demonstrated compliance with these
requirements before initially placing spent fuel in the ISFSI.
B. 1. I&M shall, within twenty (20) days of the date of this Order,
notify the Commission: (1) If it is unable to comply with any of the
requirements described in Attachments 1 and 2; (2) if compliance with
any of the requirements is unnecessary, in its specific circumstances;
or (3) if implementation of any of the requirements would cause I&M to
be in violation of the provisions of any Commission regulation or the
facility license. The notification shall provide I&M's justification
for seeking relief from, or variation of, any specific requirement.
2. If I&M considers that implementation of any of the requirements
described in Attachments 1 and 2 to this Order would adversely impact
the safe storage of spent fuel, I&M must notify the Commission, within
twenty (20) days of this Order, of the adverse safety impact, the basis
for its determination that the requirement has an adverse safety
impact, and either a proposal for achieving the same objectives
specified in Attachments 1 and 2 requirements in question, or a
schedule for modifying the facility, to address the adverse safety
condition. If neither approach is appropriate, I&M must supplement its
response, to Condition B.1 of this Order, to identify the condition as
a requirement with which it cannot comply, with attendant
justifications, as required under Condition B.1.
C. 1. I&M shall, within twenty (20) days of this Order, submit to
the Commission, a schedule for achieving compliance with each
requirement described in Attachments 1 and 2.
2. I&M shall report to the Commission when it has achieved full
compliance with the requirements described in Attachments 1 and 2.
D. All measures implemented or actions taken in response to this
Order shall be maintained until the Commission determines otherwise.
I&M's response to Conditions B.1, B.2, C.1, and C.2, above, shall
be submitted in accordance with 10 CFR 72.4. In addition, submittals
and documents produced by I&M as a result of this order, that contain
Safeguards Information as defined by 10 CFR 73.22, shall be properly
marked and handled, in accordance with 10 CFR 73.21 and 73.22.
The Director, Office of Nuclear Material Safety and Safeguards,
may, in writing, relax or rescind any of the above conditions, for good
cause.
IV
In accordance with 10 CFR 2.202, I&M must, and any other person
adversely affected by this Order may, submit an answer to this Order
within 20 days of its publication in the Federal Register. In addition,
I&M and any other person adversely affected by this Order may request a
hearing on this Order within 20 days of its publication in the Federal
Register. Where good cause is shown, consideration will be given to
extending the time to answer or request a hearing. A request for
extension of time must be made, in writing, to the Director, Office of
Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, and include a statement of good
cause for the extension.
The answer may consent to this Order. If the answer includes a
request for a hearing, it shall, under oath or affirmation,
specifically set forth the matters of fact and law on which I&M relies
and the reasons as to why the Order should not have been issued. If a
person other than I&M 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).
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
[[Page 20724]]
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
ten (10) days prior to the filing deadline, the participant should
contact the Office of the Secretary by e-mail at
hearing.docket@nrc.gov, or by telephone at 301-415-1677, to request (1)
a digital identification (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 https://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
https://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 the Electronic Information Exchange System,
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 https://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 https://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 https://www.nrc.gov/site-help/e-submittals.html, by e-mail at
MSHD.Resource@nrc.gov, or by a toll-free call at 1-866-672-7640. 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
https://ehd1.nrc.gov/EHD/, 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.
If a hearing is requested by I&M or a person whose interest is
adversely affected, 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 such hearing shall be whether this Order should be
sustained.
Pursuant to 10 CFR 2.202(c)(2)(i), I&M 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 hearing, or written approval of
an extension of time in which to request a hearing, the provisions as
specified in Section III shall be final twenty (20) days from the date
this Order is published in the Federal Register, without further Order
or proceedings. If an extension of time for requesting a hearing has
been approved, the provisions as specified in Section III, shall be
final when the extension expires, if a hearing request has not been
received. An answer or a request
[[Page 20725]]
for hearing shall not stay the immediate effectiveness of this order.
Dated at Rockville, Maryland, this 6th day of April 2011.
For the Nuclear Regulatory Commission.
Catherine Haney,
Director, Office of Nuclear Material Safety and Safeguards.
Attachment 1--Additional Security Measures (ASMs) for Physical
Protection of Dry Independent Spent Fuel Storage Installations (ISFSIs)
Contains Safeguards Information and Is Not Included in the Federal
Register Notice
Attachment 2--Additional Security Measures for Access Authorization and
Fingerprinting at Independent Spent Fuel Storage Installations, Dated
June 3, 2010
A. General Basis Criteria
1. These additional security measures (ASMs) are established to
delineate an independent spent fuel storage installation (ISFSI)
licensee's responsibility to enhance security measures related to
authorization for unescorted access to the protected area of an ISFSI
in response to the current threat environment.
2. Licensees whose ISFSI is collocated with a power reactor may
choose to comply with the U.S. Nuclear Regulatory Commission (NRC)-
approved reactor access authorization program for the associated
reactor as an alternative means to satisfy the provisions of sections B
through G below. Otherwise, licensees shall comply with the access
authorization and fingerprinting requirements of section B through G of
these ASMs.
3. Licensees shall clearly distinguish in their 20-day response
which method they intend to use in order to comply with these ASMs.
B. Additional Security Measures for Access Authorization Program
1. The licensee shall develop, implement and maintain a program, or
enhance its existing program, designed to ensure that persons granted
unescorted access to the protected area of an ISFSI are trustworthy and
reliable and do not constitute an unreasonable risk to the public
health and safety for the common defense and security, including a
potential to commit radiological sabotage.
a. To establish trustworthiness and reliability, the licensee shall
develop, implement, and maintain procedures for conducting and
completing background investigations, prior to granting access. The
scope of background investigations must address at least the past 3
years and, as a minimum, must include:
i. Fingerprinting and a Federal Bureau of Investigation (FBI)
identification and criminal history records check (CHRC). Where an
applicant for unescorted access has been previously fingerprinted with
a favorably completed CHRC, (such as a CHRC pursuant to compliance with
orders for access to safeguards information) the licensee may accept
the results of that CHRC, and need not submit another set of
fingerprints, provided the CHRC was completed not more than 3 years
from the date of the application for unescorted access.
ii. Verification of employment with each previous employer for the
most recent year from the date of application.
iii. Verification of employment with an employer of the longest
duration during any calendar month for the remaining next most recent 2
years.
iv. A full credit history review.
v. An interview with not less than two character references,
developed by the investigator.
vi. A review of official identification (e.g., driver's license;
passport; government identification; state-, province-, or country-of-
birth issued certificate of birth) to allow comparison of personal
information data provided by the applicant. The licensee shall maintain
a photocopy of the identifying document(s) on file, in accordance with
``Protection of Information,'' in Section G of these ASMs.
vii. Licensees shall confirm eligibility for employment through the
regulations of the U.S. Department of Homeland Security, U.S.
Citizenship and Immigration Services, and shall verify and ensure, to
the extent possible, the accuracy of the provided social security
number and alien registration number, as applicable.
b. The procedures developed or enhanced shall include measures for
confirming the term, duration, and character of military service for
the past 3 years, and/or academic enrollment and attendance in lieu of
employment, for the past 5 years.
c. Licensees need not conduct an independent investigation for
individuals employed at a facility who possess active ``Q'' or ``L''
clearances or possess another active U.S. Government-granted security
clearance (i.e., Top Secret, Secret, or Confidential).
d. A review of the applicant's criminal history, obtained from
local criminal justice resources, may be included in addition to the
FBI CHRC, and is encouraged if the results of the FBI CHRC, employment
check, or credit check disclose derogatory information. The scope of
the applicant's local criminal history check shall cover all residences
of record for the past 3 years from the date of the application for
unescorted access.
2. The licensee shall use any information obtained as part of a
CHRC solely for the purpose of determining an individual's suitability
for unescorted access to the protected area of an ISFSI.
3. The licensee shall document the basis for its determination for
granting or denying access to the protected area of an ISFSI.
4. The licensee shall develop, implement, and maintain procedures
for updating background investigations for persons who are applying for
reinstatement of unescorted access. Licensees need not conduct an
independent reinvestigation for individuals who possess active ``Q'' or
``L'' clearances or possess another active U.S. Government granted
security clearance, i.e., Top Secret, Secret or Confidential.
5. The licensee shall develop, implement, and maintain procedures
for reinvestigations of persons granted unescorted access, at intervals
not to exceed 5 years. Licensees need not conduct an independent
reinvestigation for individuals employed at a facility who possess
active ``Q'' or ``L'' clearances or possess another active U.S.
Government granted security clearance, i.e., Top Secret, Secret or
Confidential.
6. The licensee shall develop, implement, and maintain procedures
designed to ensure that persons who have been denied unescorted access
authorization to the facility are not allowed access to the facility,
even under escort.
7. The licensee shall develop, implement, and maintain an audit
program for licensee and contractor/vendor access authorization
programs that evaluate all program elements and include a person
knowledgeable and practiced in access authorization program performance
objectives to assist in the overall assessment of the site's program
effectiveness.
C. Fingerprinting Program Requirements
1. In a letter to the NRC, the licensee must nominate an individual
who will review the results of the FBI CHRCs to make trustworthiness
and reliability determinations for unescorted access to an ISFSI. This
individual, referred to as the ``reviewing official,'' must be someone
who requires unescorted access to the ISFSI. The NRC will review the
CHRC of any individual nominated to perform the reviewing official
function. Based on the results of the CHRC, the NRC staff will
determine
[[Page 20726]]
whether this individual may have access. If the NRC determines that the
nominee may not be granted such access, that individual will be
prohibited from obtaining access.\1\ Once the NRC approves a reviewing
official, the reviewing official is the only individual permitted to
make access determinations for other individuals who have been
identified by the licensee as having the need for unescorted access to
the ISFSI, and have been fingerprinted and have had a CHRC in
accordance with these ASMs. The reviewing official can only make access
determinations for other individuals, and therefore cannot approve
other individuals to act as reviewing officials. Only the NRC can
approve a reviewing official. Therefore, if the licensee wishes to have
a new or additional reviewing official, the NRC must approve that
individual before he or she can act in the capacity of a reviewing
official.
---------------------------------------------------------------------------
\1\ The NRC's determination of this individual's unescorted
access to the ISFSI, in accordance with the process, is an
administrative determination that is outside the scope of the Order.
---------------------------------------------------------------------------
2. No person may have access to Safeguards Information (SGI) or
unescorted access to any facility subject to NRC regulation, if the NRC
has determined, in accordance with its administrative review process
based on fingerprinting and an FBI identification and CHRC, that the
person may not have access to SGI or unescorted access to any facility
subject to NRC regulation.
3. All fingerprints obtained by the licensee under this Order, must
be submitted to the Commission for transmission to the FBI.
4. The licensee shall notify each affected individual that the
fingerprints will be used to conduct a review of his/her criminal
history record and inform the individual of the procedures for revising
the record or including an explanation in the record, as specified in
the ``Right to Correct and Complete Information,'' in section F of
these ASMs.
5. Fingerprints need not be taken if the employed individual (e.g.,
a licensee employee, contractor, manufacturer, or supplier) is relieved
from the fingerprinting requirement by 10 CFR 73.61, has a favorably
adjudicated U.S. Government CHRC within the last 5 years, or has an
active Federal security clearance. Written confirmation from the
Agency/employer who granted the Federal security clearance or reviewed
the CHRC must be provided to the licensee. The licensee must retain
this documentation for a period of 3 years from the date the individual
no longer requires access to the facility.
D. Prohibitions
1. A licensee shall not base a final determination to deny an
individual unescorted access to the protected area of an ISFSI solely
on the basis of information received from the FBI involving: an arrest
more than 1 year old for which there is no information of the
disposition of the case, or an arrest that resulted in dismissal of the
charge, or an acquittal.
2. A licensee shall not use information received from a CHRC
obtained pursuant to this Order in a manner that would infringe upon
the rights of any individual under the First Amendment to the
Constitution of the United States, nor shall the licensee use the
information in any way that would discriminate among individuals on the
basis of race, religion, national origin, sex, or age.
E. Procedures for Processing Fingerprint Checks
1. For the purpose of complying with this Order, licensees shall,
using an appropriate method listed in 10 CFR 73.4, submit to the NRC's
Division of Facilities and Security, Mail Stop TWB-05B32M, one
completed, legible standard fingerprint card (Form FD-258,
ORIMDNRCOOOZ) or, where practicable, other fingerprint records for each
individual seeking unescorted access to an ISFSI, to the Director of
the Division of Facilities and Security, marked for the attention of
the Division's Criminal History Check Section. Copies of these forms
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 forms@nrc.gov. Practicable alternative
formats are set forth in 10 CFR 73.4. The licensee shall establish
procedures to ensure that the quality of the fingerprints taken results
in minimizing the rejection rate of fingerprint cards because of
illegible or incomplete cards.
2. 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 re-submission if the
initial submission is returned by the FBI because the fingerprint
impressions cannot be classified. The one 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 initial
submittals and will require a second payment of the processing fee.
3. Fees for processing fingerprint checks are due upon application.
The licensee shall submit payment of the processing fees
electronically. To be able to submit secure electronic payments,
licensees will need to establish an account with Pay.Gov (https://www.pay.gov). To request an account, the licensee shall send an e-mail
to det@nrc.gov. The e-mail must include the licensee's company name,
address, point of contact (POC), POC e-mail address, and phone number.
The NRC will forward the request to Pay.Gov; who will contact the
licensee with a password and user lD. Once the licensee has established
an account and submitted payment to Pay.Gov, they shall obtain a
receipt. The licensee shall submit the receipt from Pay.Gov to the NRC
along with fingerprint cards. For additional guidance on making
electronic payments, contact the Facilities Security Branch, Division
of Facilities and Security, at 301-492-3531. 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 handling of licensee fingerprint submissions. The
Commission will directly notify licensees who are subject to this
regulation of any fee changes.
4. The Commission will forward to the submitting licensee all data
received from the FBI as a result of the licensee's application(s) for
CHRCs, including the FBI fingerprint record.
F. Right to Correct and Complete Information
1. Prior to any final adverse determination, the licensee shall
make available to the individual the contents of any criminal history
records obtained from the FBI for the purpose of assuring correct and
complete information. Written confirmation by the individual of receipt
of this notification must be maintained by the licensee for a period of
one 1 year from the date of notification.
2. If, after reviewing the record, an individual believes that it
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, the individual may initiate challenge procedures. These
procedures include either direct application by the individual
challenging the record to the
[[Page 20727]]
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 through 16.34). In the latter
case, the FBI forwards the challenge to the agency that submitted the
data and requests that agency to verify or correct the challenged
entry. Upon receipt of an official communication directly from the
agency that contributed the original information, the FBI
Identification Division makes any changes necessary in accordance with
the information supplied by that agency. The licensee must provide at
least 10 days for an individual to initiate an action challenging the
results of a FBI CHRC after the record is made available for his/her
review. The licensee may make a final access determination based on 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 an ISFSI, the licensee shall provide the
individual its documented basis for denial. Access to an ISFSI shall
not be granted to an individual during the review process.
G. Protection of Information
1. The licensee shall develop, implement, and maintain a system for
personnel information management with appropriate procedures for the
protection of personal, confidential information. This system shall be
designed to prohibit unauthorized access to sensitive information and
to prohibit modification of the information without authorization.
2. Each licensee who obtains a criminal history record on an
individual pursuant to this Order shall establish and maintain a system
of files and procedures, for protecting the record and the personal
information from unauthorized disclosure.
3. The licensee may not disclose the record or personal information
collected and maintained to persons other than the subject individual,
his/her representative, or to those who have a need to access the
information in performing assigned duties in the process of determining
suitability for unescorted access to the protected area of an ISFSI. No
individual authorized to have access to the information may re-
disseminate the information to any other individual who does not have
the appropriate need to know.
4. The personal information obtained on an individual from a CHRC
may be transferred to another licensee if the gaining licensee receives
the individual's written request to re-disseminate the information
contained in his/her file, and the gaining licensee verifies
information such as the individual's name, date of birth, social
security number, sex, and other applicable physical characteristics for
identification purposes.
5. 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.
[FR Doc. 2011-9007 Filed 4-12-11; 8:45 am]
BILLING CODE 7590-01-P