[Code of Federal Regulations]

[Title 10, Volume 2]

[Revised as of January 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 10CFR73.57]



[Page 444-447]

 

                            TITLE 10--ENERGY

 

          CHAPTER I--NUCLEAR REGULATORY COMMISSION (CONTINUED)

 

PART 73_PHYSICAL PROTECTION OF PLANTS AND MATERIALS--Table of Contents

 

Sec. 73.57  Requirements for criminal history checks of individuals 

granted unescorted access to a nuclear power facility or access to 

Safeguards Information by power reactor licensees.



    (a) General. (1) Each licensee who is authorized to operate a 

nuclear power reactor under part 50 shall comply with the requirements 

of this section.

    (2) Each applicant for a license to operate a nuclear power reactor 

under part 50 of this chapter shall submit fingerprints for those 

individuals who have or will have access to Safeguards Information.

    (3) Prior to receiving its operating license, each applicant for a 

license to operate a nuclear power reactor pursuant to part 50 of this 

chapter may submit fingerprints for those individuals who will require 

unescorted access to the nuclear power facility.

    (b) General performance objective and requirements. (1) Except those 

listed in paragraph (b)(2) of this section, each licensee subject to the 

provisions of this section shall fingerprint each individual who is 

permitted unescorted access to the nuclear power facility or access to 

Safeguards Information. Individuals who have unescorted access 

authorization on April 1, 1987 will retain such access pending licensee 

receipt of the results of the criminal history check on the individual's 

fingerprints, so long as the cards were submitted by September 28, 1987. 

The licensee will then review and use the information received from the 

Federal Bureau of Investigation (FBI), and based on the provisions 

contained in this rule, determine either to continue to grant or to deny 

further unescorted access to the facility or Safeguards Information for 

that individual. Individuals who do not have unescorted access or access 

to Safeguards Information after April 1, 1987 shall be fingerprinted by 

the licensee and the results of the criminal history records check shall 

be used prior to making a determination for granting unescorted access 

to the nuclear power facility or access to Safeguards Information.

    (2) Licensees need not fingerprint in accordance with the 

requirements of this section for the following categories:

    (i) For unescorted access to the nuclear power facility or for 

access to Safeguards Information (but must adhere to provisions 

contained in Sec. 73.21): NRC employees and NRC contractors on official 

agency business; individuals responding to a site emergency in 

accordance with the provisions of Sec. 73.55(a); a representative of 

the International Atomic Energy Agency (IAEA) engaged in activities 

associated with the U.S./IAEA Safeguards Agreement at designated 

facilities who has been certified by the NRC; law enforcement personnel 

acting in an official capacity; State or local government employees who 

have had equivalent reviews of FBI criminal history data; and 

individuals employed at a facility who possess ``Q'' or ``L'' clearances 

or possess another active government granted security clearance, i.e., 

Top Secret, Secret, or Confidential;

    (ii) For access to Safeguards Information only but must adhere to 

provisions contained in Sec. 73.21: Employees of other agencies of the 

United States Government; a member of a duly authorized committee of the 

Congress; the Governor of a State or his/her designated representative; 

individuals to whom disclosure is ordered pursuant to Sec. 2.744(e);

    (iii) Any licensee currently processing criminal history requests 

through the FBI pursuant to Executive Order 10450 need not also submit 

such requests to the NRC under this section; and

    (iv) Upon further notice to licensees and without further 

rulemaking, the Commission may waive certain requirements of this 

section on a temporary basis.

    (3) 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 proper procedures for revising the 

record or including explanation in the record.

    (4) Fingerprinting is not required if the utility is reinstating the 

unescorted access to the nuclear power facility or access to Safeguards 

Information granted an individual if:



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    (i) The individual returns to the same nuclear power utility that 

granted access and such access has not been interrupted for a continuous 

period of more than 365 days; and

    (ii) The previous access was terminated under favorable conditions.

    (5) Fingerprints need not be taken, in the discretion of the 

licensee, if an individual who is an employee of a licensee, contractor, 

manufacturer, or supplier has been granted unescorted access to a 

nuclear power facility or to Safeguards Information by another licensee, 

based in part on a criminal history records check under this section. 

The criminal history check file may be transferred to the gaining 

licensee in accordance with the provisions of paragraph (f)(3) of this 

section.

    (6) All fingerprints obtained by the licensee under this section 

must be submitted to the Attorney General of the United States through 

the Commission.

    (7) The licensee shall review the information received from the 

Attorney General and consider it in making a determination for granting 

unescorted access to the individual or access to Safeguards Information.

    (8) A licensee shall use the information obtained as part of a 

criminal history records check solely for the purpose of determining an 

individual's suitability for unescorted access to the nuclear power 

facility or access to Safeguards Information.

    (c) Prohibitions. (1) A licensee may not base a final determination 

to deny an individual unescorted access to the nuclear power facility or 

access to Safeguards Information solely on the basis of information 

received from the FBI involving:

    (i) An arrest more than 1 year old for which there is no information 

of the disposition of the case; or

    (ii) An arrest that resulted in dismissal of the charge or an 

acquittal.

    (2) A licensee may not use information received from a criminal 

history check obtained under this section 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.

    (d) Procedures for processing of fingerprint checks. (1) For the 

purpose of complying with this section, licensees shall, using an 

appropriate method listed in Sec. 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 record for each individual requiring 

unescorted access to the nuclear power facility or access to Safeguards 

Information, to the Director of the NRC's 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. Guidance on what alternative formats might be practicable 

is referenced in Sec. 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.

    (2) The Commission will review applications for criminal history 

checks for completeness. Any Form FD-258 or other fingerprint record 

containing omissions or evident errors will be returned to the licensee 

for corrections. The fee for processing fingerprint checks includes one 

free resubmission if the initial submission is returned by the FBI 

because the fingerprint impressions cannot be classified. The one free 

resubmission must have the FBI Transaction Control Number reflected on 

the resubmission. If additional submissions are necessary, they will be 

treated as an initial submittal and require a second payment of the 

processing fee. The payment of a new processing fee entitles the 

submitter to an additional free resubmittal, if necessary. Previously 

rejected submissions may not be included with the third submission 

because the submittal will be rejected automatically.

    (3)(i) Fees for the processing of fingerprint checks are due upon 

application. Licensees shall submit payment



[[Page 446]]



with the application for the processing of fingerprints through 

corporate check, certified check, cashier's check, money order, or 

electronic payment, made payable to ``U.S. NRC.'' (For guidance on 

making electronic payments, contact the Security Branch, Division of 

Facilities and Security, at (301) 415-7404). Combined payment for 

multiple applications is acceptable.

    (ii) The application fee is the sum of the user fee charged by the 

FBI for each fingerprint card or other fingerprint record submitted by 

the NRC on behalf of a nuclear power plant licensee, and an 

administrative processing fee assessed by the NRC. The NRC processing 

fee covers administrative costs associated with NRC handling of licensee 

fingerprint submissions. The Commission publishes the amount of the 

fingerprint check application fee on the NRC public Web site. (To find 

the current fee amount, go to the Electronic Submittals page at http://

www.nrc.gov/site-help/eie.html and select the link for the Criminal 

History Program.) 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 

criminal history checks, to include the FBI fingerprint record.

    (e) Right to correct and complete information. (1) Prior to any 

final adverse determination, the licensee shall make available to the 

individual the contents of records obtained from the FBI for the purpose 

of assuring correct and complete information. Confirmation of receipt by 

the individual of this notification must be maintained by the licensee 

for a period of 1 year from the date of the notification.

    (2) If after reviewing the record, an individual believes that it is 

incorrect or incomplete in any respect and wishes changes, corrections, 

or updating (of the alleged deficiency), or to explain any matter in the 

record, the individual may initiate challenge procedures. These 

procedures include 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 then forwards the challenge to the 

agency that submitted the data requesting 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. Licensees must provide at 

least 10 days for an individual to initiate action to challenge the 

results of an FBI criminal history records check after the record being 

made available for his/her review. The licensee may make a final adverse 

determination based upon the criminal history record, if applicable, 

only upon receipt of the FBI's confirmation or correction of the record.

    (f) Protection of information. (1) Each licensee who obtains a 

criminal history record on an individual under this section shall 

establish and maintain a system of files and procedures for protection 

of 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 have access to 

the information in performing assigned duties in the process of granting 

or denying unescorted access to the nuclear power facility or 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:

    (i) Upon the individual's written request to the licensee holding 

the data to re-disseminate the information contained in his/her file; 

and



[[Page 447]]



    (ii) The gaining licensee verifies information such as name, date of 

birth, social security number, sex, and other applicable physical 

characteristics for identification.

    (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, on an individual (including data indicating no record) 

for 1 year after termination or denial of unescorted access to the 

nuclear power facility or access to Safeguards Information.



[52 FR 6314, Mar. 2, 1987; 52 FR 7821, Mar. 13, 1987, as amended at 53 

FR 52994, Dec. 30, 1988; 55 FR 35563, Aug. 31, 1990; 56 FR 19008, Apr. 

25, 1991; 57 FR 7645, Mar. 4, 1992; 59 FR 662, Jan. 6, 1994; 59 FR 

38554, July 29, 1994; 60 FR 24552, May 9, 1995; 68 FR 58820, Oct. 10, 

2003; 69 FR 58822, Oct. 1, 2004]