In the Matter of Licensee Identified in Attachment 1 and all Other Persons Who Seek or Obtain Access to Safeguards Information Described Herein; Order Imposing Fingerprinting and Criminal History Records Check Requirements for Access to Safeguards Information (Effective Immediately), 65210-65215 [2012-26292]
Download as PDF
<![CDATA[
erowe on DSK2VPTVN1PROD with
65210
Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices
plug-in, is available on the NRC’s public
Web site at https://www.nrc.gov/sitehelp/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/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 email notice
confirming receipt of the document. The
E-Filing system also distributes an email
notice that provides access to the
document to the NRC’s 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’s Meta System Help
Desk through the ‘‘Contact Us’’ link
located on the NRC’s public Web site at
https://www.nrc.gov/site-help/esubmittals.html, by email 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,
VerDate Mar<15>2010
12:06 Oct 24, 2012
Jkt 229001
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 firstclass 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.
IV. Opportunity To Provide Written
Comments
Within 30 days from the date of
publication of this notice, persons may
submit written comments regarding the
CA transfer application, as provided for
in 10 CFR 2.1305. The NRC will
consider and, if appropriate, respond to
these comments, but such comments
will not otherwise constitute part of the
decisional record. Comments should be
submitted to the Secretary, U.S. Nuclear
Regulatory Commission, Washington,
DC 20555–0001, Attention: Rulemakings
and Adjudications Staff, and should cite
the publication date and page number of
this Federal Register notice. Comments
received after 30 days will be
considered if practicable to do so, but
only those comments received on or
before the due date can be assured
consideration.
For further details with respect to this
CA transfer application, see the
application dated August 30, 2012.
Publicly-available records will be
accessible electronically from the
PO 00000
Frm 00045
Fmt 4703
Sfmt 4703
Agency Wide Documents Access and
Management System’s (ADAMS) Public
Electronic Reading Room on the Internet
at the NRC Web site https://www.nrc.gov/
reading-rm/adams.html. Persons who
do not have access to ADAMS or who
encounter problems in accessing the
documents located in ADAMS should
contact the NRC PDR Reference staff by
telephone at 1–800–397–4209, or 301–
415–4737 or by email to
pdr.resource@nrc.gov.
Dated at Rockville, Maryland, this 17th day
of October, 2012.
For the Nuclear Regulatory Commission.
David H. Tiktinsky,
Senior Project Manager, Mixed Oxide and
Deconversion Branch, Division of Fuel Cycle
Safety and Safeguards, Office of Nuclear
Material Safety and Safeguards.
[FR Doc. 2012–26300 Filed 10–24–12; 8:45 am]
BILLING CODE 7590–01–P
NUCLEAR REGULATORY
COMMISSION
[NRC–2012–0255; EA–12–148]
In the Matter of Licensee Identified in
Attachment 1 and all Other Persons
Who Seek or Obtain Access to
Safeguards Information Described
Herein; Order Imposing Fingerprinting
and Criminal History Records Check
Requirements for Access to
Safeguards Information (Effective
Immediately)
I
The Licensee identified in
Attachment 11 to this Order, holds a
license issued in accordance with the
Atomic Energy Act (AEA) of 1954, as
amended, by the U.S. Nuclear
Regulatory Commission (NRC or the
Commission), authorizing them to
engage in an activity subject to
regulation by the Commission or
Agreement States. In accordance with
Section 149 of the AEA, fingerprinting
and a Federal Bureau of Investigation
(FBI) identification and criminal history
records check are required of any person
who is to be permitted to have access to
Safeguards Information (SGI).2 The AEA
permits the Commission by rule to
except certain categories of individuals
from the fingerprinting requirement,
which the Commission has done (see 10
CFR 73.59, 71 FR 33989; June 13, 2006).
Individuals relieved from fingerprinting
and criminal history records checks
1 Attachment 1 contains sensitive information
and will not be released to the public.
2 Safeguards Information 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.
E:\FR\FM\25OCN1.SGM
25OCN1
Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices
under the relief rule include Federal,
State, and local officials and law
enforcement personnel; Agreement State
inspectors who conduct security
inspections on behalf of the NRC;
members of Congress and certain
employees of members of Congress or
Congressional Committees, and
representatives of the International
Atomic Energy Agency (IAEA) or certain
foreign government organizations. In
addition, individuals who have a
favorably-decided U.S. Government
criminal history records check within
the last five (5) years, or individuals
who have active Federal security
clearances (provided in either case that
they make available the appropriate
documentation), have satisfied the AEA
fingerprinting requirement and need not
be fingerprinted again. Therefore, in
accordance with Section 149 of the AEA
the Commission is imposing additional
requirements for access to SGI, as set
forth by this Order, so that affected
licensees can obtain and grant access to
SGI. This Order also imposes
requirements for access to SGI by any
person, from any person,3 whether or
not a Licensee, Applicant, or Certificate
Holder of the Commission or Agreement
States.
II
erowe on DSK2VPTVN1PROD with
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 149 of the AEA
requires fingerprinting and an FBI
identification and a criminal history
records check of each individual who
seeks access to SGI. In addition, no
person may have access to SGI unless
the person has an established need-toknow the information and satisfies the
trustworthy and reliability requirements
described in Attachment 3 to Order EA–
12–147.
In order to provide assurance that the
Licensee identified in Attachment 1 to
this Order is implementing appropriate
measures to comply with the
3 Person means (1) any individual, corporation,
partnership, firm, association, trust, estate, public
or private institution, group, government agency
other than the Commission or the Department of
Energy, except that the Department of Energy shall
be considered a person with respect to those
facilities of the Department of Energy specified in
section 202 of the Energy Reorganization Act of
1974 (88 Stat. 1244), any State or any political
subdivision of, or any political entity within a State,
any foreign government or nation or any political
subdivision of any such government or nation, or
other entity; and (2) any legal successor,
representative, agent, or agency of the foregoing.
VerDate Mar<15>2010
12:06 Oct 24, 2012
Jkt 229001
fingerprinting and criminal history
records check requirements for access to
SGI, the Licensee identified in
Attachment 1 to this Order shall
implement the requirements of this
Order. In addition, pursuant to 10 CFR
2.202, I find that in light of the common
defense and security matters identified
above, which warrant the issuance of
this Order, the public health, safety and
interest require that this Order be
effective immediately.
III
Accordingly, pursuant to Sections 81,
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, 10 CFR
Parts 30 and 73, it is hereby ordered,
effective immediately, that the licensee
identified in attachment 1 to this order
and all other persons who seek or obtain
access to safeguards information, as
described above, shall comply with the
requirements set forth in this order.
A. 1. No person may have access to
SGI unless that person has a need-toknow the SGI, has been fingerprinted or
who has a favorably-decided FBI
identification and criminal history
records check, and satisfies all other
applicable requirements for access to
SGI. Fingerprinting and the FBI
identification and criminal history
records check are not required,
however, for any person who is relieved
from that requirement by 10 CFR 73.59
(71 Fed. Reg. 33,989 (June 13, 2006)), or
who has a favorably-decided U.S.
Government criminal history records
check within the last five (5) years, or
who has an active Federal security
clearance, provided in the latter two
cases that the appropriate
documentation is made available to the
Licensee’s NRC-approved reviewing
official described in paragraph III.C.2 of
this Order.
2. No person may have access to any
SGI if the NRC has determined, based
on fingerprinting and an FBI
identification and criminal history
records check, that the person may not
have access to SGI.
B. No person may provide SGI to any
other person except in accordance with
Condition III.A. above. Prior to
providing SGI to any person, a copy of
this Order shall be provided to that
person.
C. The Licensee identified in
Attachment 1 to this Order shall comply
with the following requirements:
1. The Licensee shall, within twenty
(20) days of the date of this Order,
establish and maintain a fingerprinting
program that meets the requirements of
Attachment 2 to this Order.
PO 00000
Frm 00046
Fmt 4703
Sfmt 4703
65211
2. The Licensee shall, within twenty
(20) days of the date of this Order,
submit the fingerprints of one (1)
individual who a) the Licensee
nominates as the ‘‘reviewing official’’
for determining access to SGI by other
individuals, and b) has an established
need-to-know the information and has
been determined to be trustworthy and
reliable in accordance with the
requirements described in Attachment 3
to Order EA–12–147. The NRC will
determine whether this individual (or
any subsequent reviewing official) may
have access to SGI and, therefore, will
be permitted to serve as the Licensee’s
reviewing official.4 The Licensee may,
at the same time or later, submit the
fingerprints of other individuals to
whom the Licensee seeks to grant access
to SGI or designate an additional
reviewing official(s). Fingerprints shall
be submitted and reviewed in
accordance with the procedures
described in Attachment 2 of this Order.
3. The Licensee shall, in writing,
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 this Order,
including Attachment 2 to this Order, or
(2) if compliance with any of the
requirements is unnecessary in its
specific circumstances. The notification
shall provide the Licensee’s justification
for seeking relief from or variation of
any specific requirement.
Licensee responses to C.1., C.2., and
C.3. above shall be submitted to the
Director, Office of Federal and State
Materials and Environmental
Management Programs, U.S. Nuclear
Regulatory Commission, Washington,
DC 20555. In addition, Licensee
responses shall be marked as ‘‘SecurityRelated Information—Withhold Under
10 CFR 2.390.’’
The Director, Office of Federal and
State Materials and Environmental
Management Programs, may, in writing,
relax or rescind any of the above
conditions upon demonstration of good
cause by the Licensee.
IV
In accordance with 10 CFR 2.202, the
Licensee must, and any other person
adversely affected by this Order may,
submit an answer to this Order within
twenty (20) days of the date of this
Order. In addition, the Licensee and any
other person adversely affected by this
Order may request a hearing of this
Order within twenty (20) days of the
4 The NRC’s determination of this individual’s
access to SGI in accordance with the process
described in Enclosure 5 to the transmittal letter of
this Order is an administrative determination that
is outside the scope of this Order.
E:\FR\FM\25OCN1.SGM
25OCN1
erowe on DSK2VPTVN1PROD with
65212
Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices
date of the Order. Where good cause is
shown, consideration will be given to
extending the time to request a hearing.
A request for extension of time must be
made, in writing, to the Director, Office
of Federal and State Materials and
Environmental Management Programs,
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 the
Licensee relies and the reasons as to
why the Order should not have been
issued. If a person other than the
Licensee requests a hearing, that person
shall set forth with particularity the
manner in which his interest is
adversely affected by this Order and
shall address the criteria set forth in 10
CFR 2.309(d).
All documents filed in the 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’s E-Filing rule
(72 FR 49139; August 28, 2007). The EFiling 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
the Secretary by email 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
VerDate Mar<15>2010
12:06 Oct 24, 2012
Jkt 229001
Secretary has not already established an
electronic docket.
Information about applying for a
digital ID certificate is available on the
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 the
NRC’s ‘‘Guidance for Electronic
Submission,’’ which is available on the
NRC’s public Web site at https://
www.nrc.gov/site-help/esubmittals.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’s Web
site. Further information on the Webbased 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/esubmittals.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 the NRC
guidance available on the NRC’s 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 email notice
confirming receipt of the document. The
E-Filing system also distributes an email
notice that provides access to the
document to the NRC’s 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
PO 00000
Frm 00047
Fmt 4703
Sfmt 4703
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’s Web site at http:
//www.nrc.gov/site-help/esubmittals.html, by email 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
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 the 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
E:\FR\FM\25OCN1.SGM
25OCN1
Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices
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 the
Licensee 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), the
Licensee 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 ground 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 specified in
Section III above shall be final twenty
(20) days from the date of this Order
without further order or proceedings. If
an extension of time for requesting a
hearing has been approved, the
provisions specified in Section III shall
be final when the extension expires if a
hearing request has not been received.
AN ANSWER OR A REQUEST FOR
HEARING SHALL NOT STAY THE
IMMMEDIATE EFFECTIVENESS OF
THIS ORDER.
Dated at Rockville, Maryland, this 16th day
of October, 2012.
For the Nuclear Regulatory Commission.
Mark A. Satorius,
Director, Office of Federal and State Materials
and Environmental Management Programs.
Attachment 1: Applicable Materials
Licensees Redacted
erowe on DSK2VPTVN1PROD with
Attachment 2: Requirements for
Fingerprinting and Criminal History
Records Checks of Individuals When
Licensee’s Reviewing Official is Determining
Access to Safeguards Information
General Requirements
Licensees shall comply with the
requirements of this attachment.
A. 1. Each Licensee subject to the
provisions of this attachment shall
fingerprint each individual who is seeking or
permitted access to Safeguards Information
(SGI). The Licensee shall review and use the
information received from the Federal
Bureau of Investigation (FBI) and ensure that
the provisions contained in the subject Order
and this attachment are satisfied.
2. The Licensee shall notify each affected
individual that the fingerprints will be used
to secure a review of his/her criminal history
record and inform the individual of the
VerDate Mar<15>2010
12:06 Oct 24, 2012
Jkt 229001
procedures for revising the record or
including an explanation in the record, as
specified in the ‘‘Right to Correct and
Complete Information’’ section of this
attachment.
3. Fingerprints need not be taken if an
employed individual (e.g., a Licensee
employee, contractor, manufacturer, or
supplier) is relieved from the fingerprinting
requirement by 10 CFR 73.59, has a
favorably-decided U.S. Government criminal
history records check within the last five (5)
years, or has an active Federal security
clearance. Written confirmation from the
Agency/employer which granted the Federal
security clearance or reviewed the criminal
history records check must be provided. The
Licensee must retain this documentation for
a period of three (3) years from the date the
individual no longer requires access to SGI
associated with the Licensee’s activities.
4. All fingerprints obtained by the Licensee
pursuant to this Order must be submitted to
the Commission for transmission to the FBI.
5. The Licensee shall review the
information received from the FBI and
consider it, in conjunction with the
trustworthy and reliability requirements
included in Attachment 3 to NRC Order EA–
08–161, in making a determination whether
to grant access to SGI to individuals who
have a need-to-know the SGI.
6. The Licensee shall use any information
obtained as part of a criminal history records
check solely for the purpose of determining
an individual’s suitability for access to SGI.
7. The Licensee shall document the basis
for its determination whether to grant access
to SGI.
B. The Licensee shall notify the NRC of any
desired change in reviewing officials. The
NRC will determine whether the individual
nominated as the new reviewing official may
have access to SGI based on a previouslyobtained or new criminal history check and,
therefore, will be permitted to serve as the
Licensee’s reviewing official.
Prohibitions
A Licensee shall not base a final
determination to deny an individual access
to SGI solely on the basis of information
received from the FBI involving: An arrest
more than one (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.
A Licensee shall not use information
received from a criminal history check
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
which would discriminate among
individuals on the basis of race, religion,
national origin, sex, or age.
Procedures for Processing Fingerprint Checks
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 T–6E46, one completed, legible
standard fingerprint card (Form FD–258,
ORIMDNRCOOOZ) or, where practicable,
PO 00000
Frm 00048
Fmt 4703
Sfmt 4703
65213
other fingerprint records for each individual
seeking access to Safeguards Information, 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–
415–7232, or by email to
forms.resource@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 due to 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
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.
Fees for processing fingerprint checks are
due upon application. Licensees shall submit
payment with the application for processing
fingerprints by corporate check, certified
check, cashier’s check, or money order, 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.]
Combined payment for multiple applications
is acceptable. The application fee (currently
$36) 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. The
Commission will forward to the submitting
Licensee all data received from the FBI as a
result of the Licensee’s application(s) for
criminal history records checks, including
the FBI fingerprint record.
Right To Correct and Complete Information
Prior to 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 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 the notification.
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
E:\FR\FM\25OCN1.SGM
25OCN1
65214
Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices
erowe on DSK2VPTVN1PROD with
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 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 ten (10) days for an
individual to initiate an action challenging
the results of an FBI criminal history records
check after the record is made available for
his/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. Access to SGI shall not be
granted to an individual during the review
process.
Protection of Information
1. 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.
2. 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 access to Safeguards
Information. No individual authorized to
have access to the information may redisseminate the information to any other
individual who does not have a need-toknow.
3. The personal information obtained on an
individual from a criminal history record
check may be transferred to another Licensee
if the Licensee holding the criminal history
record check 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.
4. 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.
5. The Licensee shall retain all fingerprint
and criminal history records received from
the FBI, or a copy if the individual’s file has
been transferred, for three (3) years after
termination of employment or determination
of access to SGI (whether access was
approved or denied). After the required three
(3) year period, these documents shall be
VerDate Mar<15>2010
12:06 Oct 24, 2012
Jkt 229001
destroyed by a method that will prevent
reconstruction of the information in whole or
in part.
Guidance for Licensee’s Evaluation of
Access to Safeguards Information With the
Inclusion of Criminal History Records
(Fingerprint) Checks
When a Licensee submits fingerprints to
the NRC pursuant to an NRC Order, it will
receive a criminal history summary of
information, provided in Federal records,
since the individual’s eighteenth birthday.
Individuals retain the right to correct and
complete information and to initiate
challenge procedures described in
Attachment 2 of Enclosure 1. The Licensee
will receive the information from the
criminal history records check of those
individuals requiring access to Safeguards
Information, and the reviewing official
should 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.
The Licensee’s reviewing official is
required to evaluate all pertinent and
available information in making a
determination of access to SGI, including the
criminal history information pertaining to the
individual as required by the NRC Order. The
criminal history records check is used in the
determination of whether the individual has
a record of criminal activity that indicates
that the individual should not have access to
SGI. Each determination of access to SGI,
which includes a review of criminal history
information, must be documented to include
the basis for the decision made.
(i) If negative information is discovered
that was not provided by the individual, or
which is different in any material respect
from the information provided by the
individual, this information should be
considered, and decisions made based on
these findings, must be documented.
(ii) Any record containing a pattern of
behaviors which indicates that the behaviors
could be expected to recur or continue, or
recent behaviors which cast questions on
whether an individual should have access to
SGI, should be carefully evaluated prior to
any authorization of access to SGI.
It is necessary for a Licensee to resubmit
fingerprints only under two conditions:
(1) the 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 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 for
individuals whom NRC licensees nominate
as reviewing officials to challenge and appeal
PO 00000
Frm 00049
Fmt 4703
Sfmt 4703
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.
2. Applicability.
This policy applies solely to those
employees of licensees who are nominated as
a reviewing official, and who are thus to be
considered by the NRC for initial or
continued access to SGI in that position.
3. SGI Access Determination Criteria.
Determinations for granting a nominated
reviewing official access to SGI will be made
by the NRC staff. Access to SGI shall be
denied or revoked whenever it is determined
that an individual does not meet the
applicable standards. Any doubt about an
individual’s eligibility for initial or
continued access to SGI shall be resolved in
favor of the national security and access will
be denied or revoked.
4. Procedures to Challenge the Contents of
Records Obtained from the FBI.
a. Prior to a determination by the NRC
Facilities Security Branch Chief that an
individual nominated as a reviewing official
is denied or revoked access to SGI, the
individual shall:
(i) Be provided the contents of records
obtained from the FBI for the purpose of
assuring correct and complete information. 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 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.
(ii) Be afforded 10 days to initiate an action
challenging the results of an FBI criminal
history records check (described in (i), above)
after the record is made available for the
individual’s review. If such a challenge is
initiated, 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.
E:\FR\FM\25OCN1.SGM
25OCN1
Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices
a. Prior to a determination by the NRC
Facilities Security Branch Chief that an
individual nominated as a reviewing official
is denied or revoked access to SGI, the
individual shall:
(i) Be afforded an opportunity to submit
information relevant to the individual’s
trustworthiness and reliability. The NRC
Facilities Security Branch Chief shall, in
writing, notify the individual of this
opportunity, and 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
Determination to Deny or Revoke Access to
SGI.
a. Upon a determination by the NRC
Facilities Security Branch Chief that an
individual nominated as a reviewing official
is denied or revoked access to SGI, the
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
SGI.
a. Upon a determination by the NRC
Facilities Security Branch Chief that an
individual nominated as a reviewing official
is denied or revoked access to SGI, the
individual shall be afforded an opportunity
to appeal this determination to the Director,
Division of Facilities and Security. The
determination must be appealed within 20
days of receipt of the written notice of the
determination by the Facilities Security
Branch Chief, and may either be 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 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. A determination by the Director,
Division of Facilities and Security, shall be
provided to the individual in writing and
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.
[FR Doc. 2012–26292 Filed 10–24–12; 8:45 am]
erowe on DSK2VPTVN1PROD with
BILLING CODE 7590–01–P
VerDate Mar<15>2010
12:06 Oct 24, 2012
Jkt 229001
NUCLEAR REGULATORY
COMMISSION
[NRC–2012–0254; EA–12–147]
In the Matter of Licensee Identified in
Attachment 1 and all Other Persons
Who Obtain Safeguards Information
Described Herein; Order Imposing
Requirements for the Protection of
Certain Safeguards Information
(Effective Immediately)
I
The Licensee, identified in
Attachment 1 1 to this Order, holds a
license issued in accordance with the
Atomic Energy Act of 1954, as amended,
(AEA) by the U.S. Nuclear Regulatory
Commission (NRC or the Commission),
authorizing it to possess, use, and
transfer items containing radioactive
material quantities of concern. The NRC
intends to issue a security Order to this
Licensee in the near future. The Order
will require compliance with specific
Additional Security Measures to
enhance the security for certain
radioactive material quantities of
concern. The Commission has
determined that these documents will
contain Safeguards Information, will not
be released to the public, and must be
protected from unauthorized disclosure.
Therefore, the Commission is imposing
the requirements, as set forth in
Attachments 2 and 3 to this Order and
in Order EA–12–148, so that the
Licensee can receive these documents.
This Order also imposes requirements
for the protection of Safeguards
Information in the hands of any person,2
whether or not a licensee of the
Commission, who produces, receives, or
acquires Safeguards Information.
II
The Commission has broad statutory
authority to protect and prohibit the
unauthorized disclosure of Safeguards
Information. Section 147 of the AEA
grants the Commission explicit
authority to ‘‘* * * issue such orders,
as necessary to prohibit the
unauthorized disclosure of safeguards
1 Attachment 1 contains sensitive information
and will not be released to the public.
2 Person means (1) any individual, corporation,
partnership, firm, association, trust, estate, public
or private institution, group, government agency
other than the Commission or the Department of
Energy, except that the Department of Energy shall
be considered a person with respect to those
facilities of the Department of Energy specified in
section 202 of the Energy Reorganization Act of
1974 (88 Stat. 1244), any State or any political
subdivision of, or any political entity within a State,
any foreign government or nation or any political
subdivision of any such government or nation, or
other entity; and (2) any legal successor,
representative, agent, or agency of the foregoing.
PO 00000
Frm 00050
Fmt 4703
Sfmt 4703
65215
information * * *.’’ This authority
extends to information concerning the
security measures for the physical
protection of special nuclear material,
source material, and byproduct material.
Licensees and all persons who produce,
receive, or acquire Safeguards
Information must ensure proper
handling and protection of Safeguards
Information to avoid unauthorized
disclosure in accordance with the
specific requirements for the protection
of Safeguards Information contained in
Attachments 2 and 3 to this Order. The
Commission hereby provides notice that
it intends to treat violations of the
requirements contained in Attachments
2 and 3 to this Order, applicable to the
handling and unauthorized disclosure
of Safeguards Information, as serious
breaches of adequate protection of the
public health and safety and the
common defense and security of the
United States.
Access to Safeguards Information is
limited to those persons who have
established the need-to-know the
information and are considered to be
trustworthy and reliable, and meet the
requirements of Order EA–12–148. A
need-to-know means a determination by
a person having responsibility for
protecting Safeguards Information that a
proposed recipient’s access to
Safeguards Information is necessary in
the performance of official, contractual,
or licensee duties of employment.
The Licensee and all other persons
who obtain Safeguards Information
must ensure that they develop, maintain
and implement strict policies and
procedures for the proper handling of
Safeguards Information to prevent
unauthorized disclosure, in accordance
with the requirements in Attachments 2
and 3 to this Order. The Licensee must
ensure that all contractors whose
employees may have access to
Safeguards Information either adhere to
the Licensee’s policies and procedures
on Safeguards Information or develop,
or maintain and implement their own
acceptable policies and procedures. The
Licensee remains responsible for the
conduct of their contractors. The
policies and procedures necessary to
ensure compliance with applicable
requirements contained in Attachments
2 and 3 to this Order must address, at
a minimum, the following: the general
performance requirement that each
person who produces, receives, or
acquires Safeguards Information shall
ensure that Safeguards Information is
protected against unauthorized
disclosure; protection of Safeguards
Information at fixed sites, in use and in
storage, and while in transit;
correspondence containing Safeguards
E:\FR\FM\25OCN1.SGM
25OCN1
]]>Agencies
[Federal Register Volume 77, Number 207 (Thursday, October 25, 2012)]
[Notices]
[Pages 65210-65215]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-26292]
-----------------------------------------------------------------------
NUCLEAR REGULATORY COMMISSION
[NRC-2012-0255; EA-12-148]
In the Matter of Licensee Identified in Attachment 1 and all
Other Persons Who Seek or Obtain Access to Safeguards Information
Described Herein; Order Imposing Fingerprinting and Criminal History
Records Check Requirements for Access to Safeguards Information
(Effective Immediately)
I
The Licensee identified in Attachment 1\1\ to this Order, holds a
license issued in accordance with the Atomic Energy Act (AEA) of 1954,
as amended, by the U.S. Nuclear Regulatory Commission (NRC or the
Commission), authorizing them to engage in an activity subject to
regulation by the Commission or Agreement States. In accordance with
Section 149 of the AEA, fingerprinting and a Federal Bureau of
Investigation (FBI) identification and criminal history records check
are required of any person who is to be permitted to have access to
Safeguards Information (SGI).\2\ The AEA permits the Commission by rule
to except certain categories of individuals from the fingerprinting
requirement, which the Commission has done (see 10 CFR 73.59, 71 FR
33989; June 13, 2006). Individuals relieved from fingerprinting and
criminal history records checks
[[Page 65211]]
under the relief rule include Federal, State, and local officials and
law enforcement personnel; Agreement State inspectors who conduct
security inspections on behalf of the NRC; members of Congress and
certain employees of members of Congress or Congressional Committees,
and representatives of the International Atomic Energy Agency (IAEA) or
certain foreign government organizations. In addition, individuals who
have a favorably-decided U.S. Government criminal history records check
within the last five (5) years, or individuals who have active Federal
security clearances (provided in either case that they make available
the appropriate documentation), have satisfied the AEA fingerprinting
requirement and need not be fingerprinted again. Therefore, in
accordance with Section 149 of the AEA the Commission is imposing
additional requirements for access to SGI, as set forth by this Order,
so that affected licensees can obtain and grant access to SGI. This
Order also imposes requirements for access to SGI by any person, from
any person,\3\ whether or not a Licensee, Applicant, or Certificate
Holder of the Commission or Agreement States.
---------------------------------------------------------------------------
\1\ Attachment 1 contains sensitive information and will not be
released to the public.
\2\ Safeguards Information 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.
\3\ Person means (1) any individual, corporation, partnership,
firm, association, trust, estate, public or private institution,
group, government agency other than the Commission or the Department
of Energy, except that the Department of Energy shall be considered
a person with respect to those facilities of the Department of
Energy specified in section 202 of the Energy Reorganization Act of
1974 (88 Stat. 1244), any State or any political subdivision of, or
any political entity within a State, any foreign government or
nation or any political subdivision of any such government or
nation, or other entity; and (2) any legal successor,
representative, agent, or agency of the foregoing.
---------------------------------------------------------------------------
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 149 of the AEA requires fingerprinting and an FBI
identification and a criminal history records check of each individual
who seeks access to SGI. In addition, no person may have access to SGI
unless the person has an established need-to-know the information and
satisfies the trustworthy and reliability requirements described in
Attachment 3 to Order EA-12-147.
In order to provide assurance that the Licensee identified in
Attachment 1 to this Order is implementing appropriate measures to
comply with the fingerprinting and criminal history records check
requirements for access to SGI, the Licensee identified in Attachment 1
to this Order shall implement the requirements of this Order. In
addition, pursuant to 10 CFR 2.202, I find that in light of the common
defense and security matters identified above, which warrant the
issuance of this Order, the public health, safety and interest require
that this Order be effective immediately.
III
Accordingly, pursuant to Sections 81, 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, 10 CFR Parts 30 and 73, it is
hereby ordered, effective immediately, that the licensee identified in
attachment 1 to this order and all other persons who seek or obtain
access to safeguards information, as described above, shall comply with
the requirements set forth in this order.
A. 1. No person may have access to SGI unless that person has a
need-to-know the SGI, has been fingerprinted or who has a favorably-
decided FBI identification and criminal history records check, and
satisfies all other applicable requirements for access to SGI.
Fingerprinting and the FBI identification and criminal history records
check are not required, however, for any person who is relieved from
that requirement by 10 CFR 73.59 (71 Fed. Reg. 33,989 (June 13, 2006)),
or who has a favorably-decided U.S. Government criminal history records
check within the last five (5) years, or who has an active Federal
security clearance, provided in the latter two cases that the
appropriate documentation is made available to the Licensee's NRC-
approved reviewing official described in paragraph III.C.2 of this
Order.
2. No person may have access to any SGI if the NRC has determined,
based on fingerprinting and an FBI identification and criminal history
records check, that the person may not have access to SGI.
B. No person may provide SGI to any other person except in
accordance with Condition III.A. above. Prior to providing SGI to any
person, a copy of this Order shall be provided to that person.
C. The Licensee identified in Attachment 1 to this Order shall
comply with the following requirements:
1. The Licensee shall, within twenty (20) days of the date of this
Order, establish and maintain a fingerprinting program that meets the
requirements of Attachment 2 to this Order.
2. The Licensee shall, within twenty (20) days of the date of this
Order, submit the fingerprints of one (1) individual who a) the
Licensee nominates as the ``reviewing official'' for determining access
to SGI by other individuals, and b) has an established need-to-know the
information and has been determined to be trustworthy and reliable in
accordance with the requirements described in Attachment 3 to Order EA-
12-147. The NRC will determine whether this individual (or any
subsequent reviewing official) may have access to SGI and, therefore,
will be permitted to serve as the Licensee's reviewing official.\4\ The
Licensee may, at the same time or later, submit the fingerprints of
other individuals to whom the Licensee seeks to grant access to SGI or
designate an additional reviewing official(s). Fingerprints shall be
submitted and reviewed in accordance with the procedures described in
Attachment 2 of this Order.
---------------------------------------------------------------------------
\4\ The NRC's determination of this individual's access to SGI
in accordance with the process described in Enclosure 5 to the
transmittal letter of this Order is an administrative determination
that is outside the scope of this Order.
---------------------------------------------------------------------------
3. The Licensee shall, in writing, 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 this Order, including
Attachment 2 to this Order, or (2) if compliance with any of the
requirements is unnecessary in its specific circumstances. The
notification shall provide the Licensee's justification for seeking
relief from or variation of any specific requirement.
Licensee responses to C.1., C.2., and C.3. above shall be submitted
to the Director, Office of Federal and State Materials and
Environmental Management Programs, U.S. Nuclear Regulatory Commission,
Washington, DC 20555. In addition, Licensee responses shall be marked
as ``Security-Related Information--Withhold Under 10 CFR 2.390.''
The Director, Office of Federal and State Materials and
Environmental Management Programs, may, in writing, relax or rescind
any of the above conditions upon demonstration of good cause by the
Licensee.
IV
In accordance with 10 CFR 2.202, the Licensee must, and any other
person adversely affected by this Order may, submit an answer to this
Order within twenty (20) days of the date of this Order. In addition,
the Licensee and any other person adversely affected by this Order may
request a hearing of this Order within twenty (20) days of the
[[Page 65212]]
date of the Order. Where good cause is shown, consideration will be
given to extending the time to request a hearing. A request for
extension of time must be made, in writing, to the Director, Office of
Federal and State Materials and Environmental Management Programs, 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 the
Licensee relies and the reasons as to why the Order should not have
been issued. If a person other than the Licensee requests a hearing,
that person shall set forth with particularity the manner in which his
interest is adversely affected by this Order and shall address the
criteria set forth in 10 CFR 2.309(d).
All documents filed in the 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's 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 the Secretary by email 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 the 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 the NRC's ``Guidance for
Electronic Submission,'' which is available on the NRC'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's
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 the NRC guidance
available on the NRC's 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 email notice confirming receipt of the document. The
E-Filing system also distributes an email notice that provides access
to the document to the NRC's 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's Web site
at https://www.nrc.gov/site-help/e-submittals.html, by email 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 the
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
[[Page 65213]]
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 the Licensee 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), the Licensee 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 ground 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
specified in Section III above shall be final twenty (20) days from the
date of this Order without further order or proceedings. If an
extension of time for requesting a hearing has been approved, the
provisions specified in Section III shall be final when the extension
expires if a hearing request has not been received. AN ANSWER OR A
REQUEST FOR HEARING SHALL NOT STAY THE IMMMEDIATE EFFECTIVENESS OF THIS
ORDER.
Dated at Rockville, Maryland, this 16th day of October, 2012.
For the Nuclear Regulatory Commission.
Mark A. Satorius,
Director, Office of Federal and State Materials and Environmental
Management Programs.
Attachment 1: Applicable Materials Licensees Redacted
Attachment 2: Requirements for Fingerprinting and Criminal History
Records Checks of Individuals When Licensee's Reviewing Official is
Determining Access to Safeguards Information
General Requirements
Licensees shall comply with the requirements of this attachment.
A. 1. Each Licensee subject to the provisions of this attachment
shall fingerprint each individual who is seeking or permitted access
to Safeguards Information (SGI). The Licensee shall review and use
the information received from the Federal Bureau of Investigation
(FBI) and ensure that the provisions contained in the subject Order
and this attachment are satisfied.
2. The Licensee shall notify each affected individual that the
fingerprints will be used to secure 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''
section of this attachment.
3. Fingerprints need not be taken if an employed individual
(e.g., a Licensee employee, contractor, manufacturer, or supplier)
is relieved from the fingerprinting requirement by 10 CFR 73.59, has
a favorably-decided U.S. Government criminal history records check
within the last five (5) years, or has an active Federal security
clearance. Written confirmation from the Agency/employer which
granted the Federal security clearance or reviewed the criminal
history records check must be provided. The Licensee must retain
this documentation for a period of three (3) years from the date the
individual no longer requires access to SGI associated with the
Licensee's activities.
4. All fingerprints obtained by the Licensee pursuant to this
Order must be submitted to the Commission for transmission to the
FBI.
5. The Licensee shall review the information received from the
FBI and consider it, in conjunction with the trustworthy and
reliability requirements included in Attachment 3 to NRC Order EA-
08-161, in making a determination whether to grant access to SGI to
individuals who have a need-to-know the SGI.
6. The Licensee shall use any information obtained as part of a
criminal history records check solely for the purpose of determining
an individual's suitability for access to SGI.
7. The Licensee shall document the basis for its determination
whether to grant access to SGI.
B. The Licensee shall notify the NRC of any desired change in
reviewing officials. The NRC will determine whether the individual
nominated as the new reviewing official may have access to SGI based
on a previously-obtained or new criminal history check and,
therefore, will be permitted to serve as the Licensee's reviewing
official.
Prohibitions
A Licensee shall not base a final determination to deny an
individual access to SGI solely on the basis of information received
from the FBI involving: An arrest more than one (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.
A Licensee shall not use information received from a criminal
history check 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 which would discriminate among
individuals on the basis of race, religion, national origin, sex, or
age.
Procedures for Processing Fingerprint Checks
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 T-6E46, one
completed, legible standard fingerprint card (Form FD-258,
ORIMDNRCOOOZ) or, where practicable, other fingerprint records for
each individual seeking access to Safeguards Information, 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 301-415-7232, or by email to
forms.resource@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 due to 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
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.
Fees for processing fingerprint checks are due upon application.
Licensees shall submit payment with the application for processing
fingerprints by corporate check, certified check, cashier's check,
or money order, 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.] Combined
payment for multiple applications is acceptable. The application fee
(currently $36) 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. The
Commission will forward to the submitting Licensee all data received
from the FBI as a result of the Licensee's application(s) for
criminal history records checks, including the FBI fingerprint
record.
Right To Correct and Complete Information
Prior to 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 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 the notification.
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
[[Page 65214]]
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
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 ten (10) days for an
individual to initiate an action challenging the results of an FBI
criminal history records check after the record is made available
for his/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. Access to SGI shall not be granted to an individual during
the review process.
Protection of Information
1. 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.
2. 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 access to Safeguards Information. No
individual authorized to have access to the information may re-
disseminate the information to any other individual who does not
have a need-to-know.
3. The personal information obtained on an individual from a
criminal history record check may be transferred to another Licensee
if the Licensee holding the criminal history record check 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.
4. 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.
5. The Licensee shall retain all fingerprint and criminal
history records received from the FBI, or a copy if the individual's
file has been transferred, for three (3) years after termination of
employment or determination of access to SGI (whether access was
approved or denied). After the required three (3) year period, these
documents shall be destroyed by a method that will prevent
reconstruction of the information in whole or in part.
Guidance for Licensee's Evaluation of Access to Safeguards Information
With the Inclusion of Criminal History Records (Fingerprint) Checks
When a Licensee submits fingerprints to the NRC pursuant to an
NRC Order, it will receive a criminal history summary of
information, provided in Federal records, since the individual's
eighteenth birthday. Individuals retain the right to correct and
complete information and to initiate challenge procedures described
in Attachment 2 of Enclosure 1. The Licensee will receive the
information from the criminal history records check of those
individuals requiring access to Safeguards Information, and the
reviewing official should 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.
The Licensee's reviewing official is required to evaluate all
pertinent and available information in making a determination of
access to SGI, including the criminal history information pertaining
to the individual as required by the NRC Order. The criminal history
records check is used in the determination of whether the individual
has a record of criminal activity that indicates that the individual
should not have access to SGI. Each determination of access to SGI,
which includes a review of criminal history information, must be
documented to include the basis for the decision made.
(i) If negative information is discovered that was not provided
by the individual, or which is different in any material respect
from the information provided by the individual, this information
should be considered, and decisions made based on these findings,
must be documented.
(ii) Any record containing a pattern of behaviors which
indicates that the behaviors could be expected to recur or continue,
or recent behaviors which cast questions on whether an individual
should have access to SGI, should be carefully evaluated prior to
any authorization of access to SGI.
It is necessary for a Licensee to resubmit fingerprints only
under two conditions:
(1) the 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 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 for individuals whom NRC
licensees nominate as reviewing officials 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.
2. Applicability.
This policy applies solely to those employees of licensees who
are nominated as a reviewing official, and who are thus to be
considered by the NRC for initial or continued access to SGI in that
position.
3. SGI Access Determination Criteria.
Determinations for granting a nominated reviewing official
access to SGI will be made by the NRC staff. Access to SGI shall be
denied or revoked whenever it is determined that an individual does
not meet the applicable standards. Any doubt about an individual's
eligibility for initial or continued access to SGI shall be resolved
in favor of the national security and access will be denied or
revoked.
4. Procedures to Challenge the Contents of Records Obtained from
the FBI.
a. Prior to a determination by the NRC Facilities Security
Branch Chief that an individual nominated as a reviewing official is
denied or revoked access to SGI, the individual shall:
(i) Be provided the contents of records obtained from the FBI
for the purpose of assuring correct and complete information. 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 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.
(ii) Be afforded 10 days to initiate an action challenging the
results of an FBI criminal history records check (described in (i),
above) after the record is made available for the individual's
review. If such a challenge is initiated, 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.
[[Page 65215]]
a. Prior to a determination by the NRC Facilities Security
Branch Chief that an individual nominated as a reviewing official is
denied or revoked access to SGI, the individual shall:
(i) Be afforded an opportunity to submit information relevant to
the individual's trustworthiness and reliability. The NRC Facilities
Security Branch Chief shall, in writing, notify the individual of
this opportunity, and 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 Determination to Deny or Revoke Access to SGI.
a. Upon a determination by the NRC Facilities Security Branch
Chief that an individual nominated as a reviewing official is denied
or revoked access to SGI, the 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 SGI.
a. Upon a determination by the NRC Facilities Security Branch
Chief that an individual nominated as a reviewing official is denied
or revoked access to SGI, the individual shall be afforded an
opportunity to appeal this determination to the Director, Division
of Facilities and Security. The determination must be appealed
within 20 days of receipt of the written notice of the determination
by the Facilities Security Branch Chief, and may either be 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 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. A determination by the Director, Division of Facilities and
Security, shall be provided to the individual in writing and 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.
[FR Doc. 2012-26292 Filed 10-24-12; 8:45 am]
BILLING CODE 7590-01-P
