Text

Correction Notice to SECY-76-508.Forwards Rept W/Correct Page 2a
	ML19254E660
Person / Time
Issue date:	10/21/1979
From:	; NRC OFFICE OF THE SECRETARY (SECY)
To:	;
Shared Package
ML19254E653	List: ML19254E652; ML19254E657; ML19254E660; ML19254E664; ML19254E665; ML19254E668; ML19254E674; ML19254E676; ML19254E679;
References
	RULE-RM-50-7 SECY-76-508, SECY-76-508-01, SECY-76-508-1, NUDOCS 7911020133
	Download: ML19254E660 (46)
	v • d • e

.

4 i

October 21, 1976 CORRECTION NOTICE TO ALL HOLDERS OF SECY-76-508 - A CLEARANCE PROGRAM FOR INDIVICUALS IN THE LICENSED NUCLEAR INCUSTRY (FOLICY SESSION ITEM)

THE EXECUTIVE DIRECTCR FOR OPERATIONS REQUESTS THAT YCU REPLACE PAGE 2a IN YOUR COPY (IES) 0F THE SUBJECT PAPER WITH THE ATTACHED SUB-STITUTE.

THE REPLACEMENT PAGE REFLECTS THE DEL TICN CF THE PHRASE "...

INCLUDING F0WER REACTCR SECURITY PLANS," FRCM THE FIRST SENTENCE OF PARAGRAPH fl, SECAUSE THE CCMMISSION IS NO LONGER CCNSICERING THE CLASSI-FICATION OF SUCH FLANS, HAVING CECICED THAT T'iE PLANS SHCULD NOT BE CLASSIFIED.

r SECRETARIAT ATTACHMENT A 1261 029 7911020 /}

s..

s J

t Oc:neer 7 1975' SICY 5CO wrso st Arts NUCt.E AR R tGO LMn n y cont:ssics 5

LICf 'S $5516i ' lT.E. b5

..e Ccc=;issicners ecr:

nn Frc=:

Recert 3. Minogue, Cirecter, Cffice cf Standards Ceveic; men:

Thru:

. Executive Cirec:ce for Opera:f ons,.e s [,<'1 1., n e./..,l n M; 5uy eC..

.,, ;-...., r -

A

t.. e.% siw; P.% C,.%. s, T,w, f.

.,,-..[.,b..,J

...-..e.,-

Lib

.s.;. a. r. :e.%

sn....

L.iV 6 m.

INCUSTF.Y

p., r.e s a. -

-' c w."., *..= 4... C'..

.d. e,, s i c.1.= - -., / a l ".,.,,.^, 'i f.G.

'..r.".i.'.......~...

v g

.. = r...e.a.. s. c = 2..= s" *..' 2.".

c 't a..=..=.. c.=.

. -.=."..

. r.>. - a c -

,,rw esed.

a

.2

,. 3 to special nuclear ma:erial."

(See inclosure T.)

Cacaccry:

This pacer covers a ma,'er pclicy cuestien.

Issues:

A.

Oces' na:icnal security rscuire NR" te es a::lish a c:earance prcgra:n for indivicuais in the if censed sec:ce -nc have access :c or centrci cver special a.uclear ma:erial?'

'A a *. i s '.". e ra - a. - s.~..

a.

.= n = #. '. a.c.'. v a...e..=..=..s

.-=.m ry fer the licensed sec.cr?

1.

Cecisien 1

Cr :er a:

1.. T"cere are alter-ativ*s :c 2 clearance ;regra

.shich can

\\

s~..v i d =

a, rv-. = <.. i n

.a.=. i.., s...". a. '.

a. r s.=.". w,..= c =.",v i..~.. d. / '. "..>. 'i 3 v.<...-

e w

g are au.ncriced access :c special nuclear ca ari11.

2.

T'i.e quas.icn c#..= w i a.m.- =....=.

.. -.. =. ~.. #. w r.= ~...=.e -..-2,.a..'.='.

w 3

a n uc i a.a r.~= '..a r'i,=.1 i s ra. *i.=..= ^

-..". a Q ~ e.c. '. ~,.. c'.=..~.,~.~'....,,,

prc:ece classified inf:r a:ica (security pis-s and 's0F infer a.

Ofen) a: licensed facili:ies.

3.

Fusite Law 92-377 amended ne a:ccic Ener;y.a : (sec-c

.i cn 1.-'i i )'

.- 3i v e a".*sC a.. a.

d. '. '. c.= "....,. r d..y-...~.,,.'..-c.. '. a..= r.=....= s for incividuals WCc per#cm accivici=s 'unica affere access :c special nucitar Cateriai.

.. r ", r a. v d..,'.,

.1 '. 2

.=. - a.

.#. 1 '. c e *..". a,. w c.. s .=..= s 2.^"'.-...*.=.a.

" =..= s.e.... -

4.,/,. e..

4.,...

...,,.w..s e....

3 4n

...r..

2 s.. e

,..3

.s,

... p. 4 5 2 2. =.r. - m o.

.e.a r,.. e... 1.:*.

n.

.4..

... 3.., y.: s..

.~..

w.

2 2

2.r.

i..

.2

e..,. s.. n

4.,

M.

.w

.;-::ae r

R.

w.

Jcces, SC fIQ

?q y 3/

l jJ

. -::1

.o T4e R.

v,.

.~.....,

,e. y

..s..

- -:::a 1261 030

5.

Tqe Commissicners 4 Court rulings sugges that criteria basec :n asscciaticns wnich may be used : cany em:1cyment f:r any ;ar:1:ular ;csition be narr:wly drawn :: aveic infringemen: u:en first amencrent rignts (Schneider v. Smith, 3g0 U.S. 17 (1963) and U.S. v. Accel.

.289 U.S.

,:_o, (.. 7).

c t:c 5.

The ERDA Ac=inistrat:r has the authority :: establish :he basic standards anc :rececures respecting the na:icnal security relative :: ;erscnnei security ;r grams under section 1511 of

he At:mic Er.ergy Act Of 1954, as a enced (see Sena:e Reper: g3-95C Enerev Recrcani:atice Ac: Of I?'a, p. 24).

6.

A clearance pr: gram cay impac On civil liberties.

7.

ir.ere are ;ctentia,6

.aber-managecen: pr b. isms arising fr:m i

he pcssible need f:r licensees :: cismiss ce transfer scce cur-rent employees whc fafi :: obtain clearance.

3.

A clearance ;r: gram wculd result in increas:: ::s:s f:r both licensees anc NRC.

Al ternatives

!ssue A:

1.

0c not estatiish any clearance ;r: gram for ac:ess ::

unclassified s;ecial nuclear materiai.

2.

Estaciish an ac:ess autheri:a-icn pr: gram for s;eciai nuclear materia.i.

Issue ",:

i Adapt the ;resen: NRC ;ersencei securi:y :r:grt fee access s classified inf:rma:icn, :: provice c'earance for access ::

special nuclear material.

2.

Utiiize :he investigative and review e:hces anc :rececures of :he ; resent ;erscnnei security ;r: gram but er icy se: ara:e cri:eria wnich are drawn es:ecially f:r :ne ;ur:csa Of :e:ar-mining whe:her :: gran: ac:ess :: SNM.

3.

Augment ai:erna:ive I :r 2 at:n a :sy nciegical assessmen:

3. _

Rather than a wc-level gracec :Iearance :r:grac (al:er-natives i :hr: ugh 3), es:a:iisn a :ne-levei :r: gram.

1261 031 Peo02nm,23/.

w o

a.

?00R DEEL The Cem.iss1cners

- 2a -

\\

Backercund:

The ;rc;csed SM access clea.rance pr gram described in this :a;er is 'Wlated t the protec:icn of nuclear scVer reac: Ors in we res;ects:

\\

/

1.

ThesCeanissica is censidering the c'!assift:a: fen of cerhin safeguards infer-secur4,:y p,ians, as set r. ation, i.nciud.ing ;cwer reac: r

.a.

or:n in n..e i,,. 7 i:.

in s c uig e

resuit in.aa need for inf:r atfen clearance for scme reacter licensee ec;i:yees, ine inves:i;a:fve eff:r:

and the inf mati:n nascec wc,.!d be essen:faity One same for such an.infor a-ics cleannca anc the ac:ess authorizaticn. clearance fascribed in this ;a:er.

The cr1:eria ice these clearances wcuid be :ne same (10 CFR Par: 10) but they may he'.a;;if ad differen:iy...In any case.nere wcu,i,. cc:.ue cu:1,.catten c. e- :r: 17 a given employee were :: c'eed,bo:h types cf ciearance.

Ther:

would be overia: so'Nthat there wcuid nct need : be :wo separate sets of ac;Icyees cleared.

There c:cic, hcwever, be scce em:icyees,that%.A ha Sma,iicuid need only One ty

ance, inis num:.er wcu(

\\

NSSM 216 aisc a dresses ci'assifica:icn of cer:afn safeguar:s interna:1cn cr./r.uet cyc,.e r.ac1 1. :,.es, i ne :,.ya, ac:ess c.i e:.r-ance" ;r: gram.wcuid in:erface Ni:n :ne inf rma:1:n pr gram a-these facili. ties in essentialiv :he same way at 1: ;cwer

/

reacters. /

/

2.

Tne earl',4r :re;csed recuirements f:r ;cwer reac

\\

Or protect',cn have been ::ncluded :: trpvice ;rc:ec:fcn agains:

a scecyfied exter 21 :nrea; but cct t:

r:vice sucstantial assurrnce agains: the "inside" :hrea:.s The ; resent

r: cesai (5207-75-2:20) includes a licensee em:lcyee screen-ing/requirecen: :a :erned after MSI Ni?.17 guf ance.

"'11s is/accactacle as an interim reasure again's.c the "insice

nreat bu a cera rigcrous :r:gnm is nescec : aid :ce

,Iicensee since they cannet investiga:e their.ec:icyees as

/ full

./

r.ey as is neeced.

The ;reccsed 52 access ciaarance

.a.. weu N..,..~,.v'.

.a s u"~2..=... '..s i 2 M..'..4.

n.$*i

.. ~.... =....

/

the reliabili y Of incivicuais, :Mus recucing :re s..

,c gg 4 w+ $ i $.y..:. u.. v..,..,

..y.

2.,., t,. a,...>.,w...,...

,.w a a

. ge.s. n..n. s,..a a 1. s.,- n. w.+..,s e

the cl earance ;r: gram ::..,, a.

,,- ~. c 3 go,Q e u..

,w-

z

~~.,,.,=,..a.,.,

3w.

s

r: vice addi-icnat ""nsicer'

rctacticn, as ciscussac in $ECY-75-2422 arc 2220.

Ld8

The Ccmmissioners Backgrcund:

The pre;csed SNM access clearance progra: described in this paper is related t: the pre:ection Of nuclear ;cwer reac: rs in two respects:

1.

The ccanissicn is c:nsidering the classificaticn cf cer:afn safeguards informa:1cn as se: fer:n in NSSM 215.

This c:uld result in the need for informatien clearance fer s:ce react:r ifcansee enpicyees.

The investigative effort and the infermaticn needed wculd be essentially the same for such an informa:1cn clearance and :he access authcrizatien clearanca cascribed in this ;a:er.

he cc : aria f:r these clearances wculd be the same (10 CFR Par: IC) bu: they may be applied differen:1y.

In any case there wculd n : be duplica:icn cf eff:r: if a given ec;icyee were :: ceed both types of clearance.

There wculd be cverla sc that there wculd net need to be two separate se:s of ec;1;yees cleared.

There c:uld, hcwever, be sexe er:1cyees that woulc need only cna type of clearanca.

This nu=cer wculd be small.

NSSM 2TE a1so addressas classifica:4cn of certain safeguards inferra:icn of fuel cycle faciif ties.

The SNM ac: ass clear-anca pr: gram would interface with the infermatien program at,these fccilities in essentially the same way as a: ;cwer react:rs.

2.

The earlier preccsed. re;uirstents f:r ;cwer reac.:r protecti:n have been c:ccludec :: ;revide ;re se:icn agains a specHied ex:arnal -2rea-bu: no:.: previca sucs.an:iai assuras:t agains the "inside

hreat.

The ;resan: pre;csai d

(520Y-)~-212C) includes a licansas emolcyes screening recuirement pattarned aftar ANSI Ni3.17 guidance.

This is ac:a;;acie as an intari reasure agains: : e 'inside' threa but a cre rigert:us progra: is needed := aid :ne ifcansae since they canne: investiga:a : heir emcicyees as fully as is needed.

The pre;csed SNM a :sss ciearance ;r: gram wcuid prcvide subs:an:fal acditicnai c:nficence 'n -he reif abiiity cf individuals, thus reducing :ne ;cssibili y cf sabc: age by a single individual.

Ciner techanisms and precedures are :: be 5 _dfed.: su;;'Emen: :ne clearanca pr: gram :: ;revide adci-icnai 'insicer ;re ac;ica, as d

discussed in SECY-73-2123 ar.c 212C.

1261 033 MOI 09!G4,Fl

.. _ m, = i_

The C0ctissicners 3-Discussion _:

Issue A:

Oces na:icr.. securi y require NRC to esta:iish a clearance prcgram f r individuals In :ne licensed sec::r wne have access :: or centroi cver special nuclear material?

In addressing :nis issue,.i: is useful to begin Oy reviewing c:n-vencicnal securi y clearance ;regrams.

Seca programs a: am:

o t

assess a perscn's trustwer;.11 ness, and thereby invcive t: scce degree an investigati:n ci perscnal.qist:ry an as scci a:i:cs.

Security clearar.ces are :tnsidered an essential elecen-in :he

, rn e,..a.

r. c :.

5, g.

z. -..= a. m.., s e~a

. te w. e n,. t e. e n... <..y

... :...-...,. a.

t n

, ow w

.c..

frem unautneri:ed discicsure.

The reas n for this is na :nce acwesa- - c 'i as a. #. d. e. i n f. r. $.d.

... ".. = < '. e a. r.

'3. v a...

d

.-.. = c.. a.,

...a s..

Only real rotection for tha-infcrmation is the :er.:n's charac;er and icyal ty.

No amcunt of ;nysical crc:actica scce c' 'ecarcera-

i e n s..a.d t e c '. 2. *.*. w r.

.> r.

,-"a..= r.. = a.

c. a #. =.g "..= r". -

... a.

d... #...- >. i. w n 3

contained in sc.mecne's mind.

Like classified informaticn, special nuclear material an: cuclear

. ac '.1 1 'w'.a.*, eus. '.e r 'ee..=^..

~-a.

c. =.".. '..' ' -. o s e. ". e... = s. #.

r

.o theft of special nuclear material or sabe age of a nuclear facility requires that nere be ::m:rehensive security.regrams.

.Merecver, as with classified informa:icn, special nuclear ra:erial must be prctected frcm the " insider":

the incivicual wnc seeks a c.- a s s w i '.5 "..e " r i e r i.. *.=.a..

"..' i. l '..' =..". a..= e.. =. s s

.. r.~ 'i.2 'a #. a 'i r

o ends.cr the individual who is su:creec cr c:herwise :eci:es ::

use unlaw.,,y an auencr1:a:1cn Or access.

.-ir.cings c-ne uii threa; analysis c:ncuc ec for the 5:ecial Safeguar:s stucy inci-

...g. ana. e. :.

....a..~ r.,a.qej.v

...-.2.2

t. 2-..u

~. :.... t.

a... g j.- a...

a-w Fu r * *.e r.~a ra., - ".e.. c..=.n. i.= l

. - - '. a. #.. 2.. c s.=. '..= =. '....= r.. <, #,

... a.

w.

e.ua.q.d *.4. =.

s '.". = =', i w- ' e '. 'i.=.....

s..a r ~...=..= - i.= 'i.. r..= s c..~". '.. -... a.

w.

w licensee sect r and !he number Of "Oclear ;cwsr rea

--s in :ne u..j.

. e.,..o.:

2.,.. j, r.-a..m. 4.., i s... j n.- n. e.. y - -.., s.

.. w a. 's.,

no a.

3 a.

un.j i k.a... a.

.s.e g

m.. senS..iya. '... :..-. ~,. n. w.,... a. e. a.

> - a.

~.~.j $;.

.s 4

e.

i s e e.". r *. '..,.'. '...=.r. a. '. v a. s. ~ =. e. '. =. =. r.'.#. - =.

.--.c......#..."

r...=. ~. ~.. n. - '.

i

.e ec1.2 t..t %. m.a.,a.

,4 2 'i

e. r.....

.e i 4.. s 4..- a. w s

......i e gr.i.a]..gc 'l.s.s.

....= - 4. 3 ] i3

.2 r h.v e. 4. w.2 7 $ ~. 3.., r. w-a.

.e..e..

'.a..-

4

.y

. r 1 3. 5,..,... a. a..a r.. a s. w.,y.

~ 4..j a.s s y e..n.

2

.-, 5.

Jgg -:.

...a..-

s w

3

4. s......a.q.s s.e.d

a. e.1..-..,.

. r. C a.s.... s e..

.:...t.

a.a...se.

2..,/ ;... C a...a.....

a..

..u. e..s e..n.

l. 3,y. :.. p.. s 4 1 'i C........'i n.*..I

..... a. -.......1..a.2.

a-22

..s e.. t.. n

.z e,.s t... e.. v i y s..g e..

y.....

.e..ge.

.a et v ra. ya.,,

./ e.., t v

io s e. n t.....e-e.. a.

.. c 'i..s -

.'..s..e..-

4

,--=e

e. s..s..e s..

m a

.a

..s.e.

..1

.. -:e - a s u....

n

-,c..-....-,-..:.......

,--.-,..r.

,,_4..

..s........

j]{}jl fj!1!s)!stf[

i teet,t2!stii 1261 034

4-ine C==1ssioners Mcwever, precegures anc harj'eare are nc r.au i t.t ess, are securi ty measures cculd :e rendered ineffective by inat entive ce suborned

erscnnel er faulty equi: cent.

The wcuid-te -hief cr saboteur who has access to special nuclear material Or vital equi; ment wcuid be able to make usa of any c;;crtuni y f:r :nef: ce sacc: age affordec by a lapse in securi*.y, whether in:en:icnal er ac:icantal.

A clearance :r: gram wcule serve as an 1 ;cr:an: ins:ruman to ennance One effec-iveness Of hardware and pr:cadures. A1:heugn the value is unquantifiable, ex vetence indica es -ha; sucn programs inheren-iy pr:vice a n:gher levei Of assurance of :ne trus:wcr:n<. ness er Inc<.vicual:,

. ur-her:cre, a cl earance pr:gra= can provide a meas.*e Of assur-s agains: ccli;sicn wnica is no provided by nysical secur1:y re-hces.

An evaluation er. the cec; ara:.ve c:s s and effectiveness 0-.

alternative security reasures anc clearance pr: grams wouic car-

afnly aid in resciving whe-her a clearance pr: gram is needed in the licensed nuclear incus:ry. Cbjective, retrcspective c:s:-

effectiveness analyses of existing ;erscnnel security cr: grams are cet feasible since incividuals who are :esigna ac as securi y risks are never given access to class,.71eg. int:rmatten.

inere-fcre a nr.assary reasure Of effectiveness of the :r: gram is absent:

nere is nc way of '<newing :he fracti:n Of incividuals denied access wnc wcule have inceed cisciesec sensi:ive inf:r-mation if thcy had been granted access..1cnethe:ess, :he ec -

nemic ces:s of a clearance ;r: gram can be es :fra:ed, anc aitncugn it is.very difficul: tc es:ima:a :ne sccial c:s s, :ne sccial 1 : aces may be listec.

cr exarcle, investigat :n will resul-in

~

an 4.nvasion cf ;rtvacy and scme ;eccie 7.ay icsa j:bs :ney ;re-c ar..'s y' h e 't o~.

-'.. e s ea. r.. *....= *. c w=.. 4 2 1

4....,. c.. a-t 43

.=.- ?. =.2 r=...

y r.3.

, r s f s.-.as a... 1

.-l

.e.a.-.

.ir.a Th e. ~.' e =. #. '. =.'.. *. v =.1 e s 2

..*.e 'T..="...*.'.v=. ~nv2'...='.

2.="." '.'/

.e.^ -

sures also is very cifficui: : assess anc may :e fece armina e by any acsclu:e reasure. While :here is a::le ex:erience ::

demenstra:a :na: securf:y reasures have decreasec incicen 3 cf crimes such as sncclifting and employee ;ilfering, nere is c e v..- =.nc s ' #.

d

.~. ~w =. # #. a.r.. i v.*

.2..,v a r. 4..-".1 2 - s.m e. ".

d../-

.a..s...*...=.v. - =.

~

t it.-../ e..q. <.3... -.. : '~. r a a ' c..= p=

.,v.- =.. = r.. i...=... '..

i.v'.

.a'.

a..-

i s

Nd./

2.=s3-

., e. o. r. i..> ?.

.1.. - : =. 2.- ~.. 2..s r. d.> ?.

/.... s r.. a.........

4

.w..

i 1261 035 5 a a -(w? N n mJ R 00 aa. c:rn

P00R ORGM The C:mmissicners In lign: cf the poten.ial :ensecuences of theft of s:ecial nuclear material er incustrial sa:ctage anc in :nsiceration of the quantities of such Tctarial in the private sect:r, cw and in

... e :.... r a,

..".a s w.= #. #. ra.r..e.. e.a. c s..". a.

r.gvsed.

r". l e. a k. '. a. 3, 2...= c.". e d.

.w r

as inclosure "A*, :: esta:iish a Clearance program :: Orevice increasec c nfidence in ne trustwerthiness Of :hcsa wnc nave access 0 specia. nuclear matert a,i.

i The pecs and ::ns cf the al ernatives Of establishing er n::

establishing a clearance pregram are previcec in Enciosure "5".

7. s s ua, 2. -

'ic..=. i a-

.".e r.

a.. sc. e

.= n =.. #. =. c. d. v a.

. *..=..= n c $

s pregram for ne licensac sec::r?

The goal cf any clearance ;r: gram is

Octain scre cegree Of c nfi:ence thz

eccie whc have ac: ess

wna aver is being protected are wer-hy of trus given by tha: access.

In accec ed

.e..c d '.. r g- -e v i d.'... ~.. '. s s-

.q #. i. c a...'..a

i. s... e.= r..s :.. "... w

' nv a.s.i -

d i

3 gaticn wnich prebes an indivicual's character, associa*.i:ns anc Icyal ty.

A nuccer cf agencies employ varicus means of ;sycne-legical assessment in aedi icn :: background investiga-icns, c:nsidering the inves:igatien and the :sychelegical assessment as c:mple.Tentary elecen:s in a :::al persennel security pic ure.

Otner a.gency peccra=s fer assuring trus:wcr:hiness are cescribed i

....- s. v. m.e...s.

The f llcwing pa. agracns :escribe the princi:al features c:n.

sidered by :ne staff in :evel:;ing :he prc: sed rule.

a) personnel Securi v :qvestica-icn:

Al-heugn a num:er Of agencies :erf:rm ;ersennel securi y inves:igations Of 4

.= n g 'i.a. c......=.q <. i.),.. - =.. < =.

..=.a. ". e..= s. '.....-..r.

- =.. a.- 2 1

.=..= -

geries:

(1) a.Na:icnal Agency Checx (NAC), wni:n, as 0:n-

.J C. n s.

z. w. r.. e,:e,.. n s <. a...

.u. e. 4. :. :;,s e

...w

.a v.

(..inger;rint, crimina3., ar.c su: vers:ve 7,les 3,,

r ne.ivi,i Ser/1:e C amissicn (CSC) (5ecurity - nvestiga-ive incex),

a..d.

a '...e'..k

.#....i 'i...= r,v " *. "..-

's. Sac,-*.'. r.a- * #. *. ^ r ;- V "..'. -

s 2ge.c4,e, 25 2.-a..r.s.=.

"y

..w. e,- 4. y. '..a.

d d.

-y.

.,..~..~4 j s.

...w

... i..

w.

siCM.,

s..A ( )

.1 :..l..:a.e'i u.s X....-- <. / a. s. i.... e.

. ( : '. ?

a 3....~

i wnic.". is

=.1

'..". v a. S. # A. '. *. r. " Y = - ". a-

.... * '."..*s.#..=.4

.2

, e...,

4...

,.c 1,y a..

... e..... _.

s4..,..

,,x..

..). s.) =...,.....,,-a.

.,,..,... sn,-.

ON[Q 1261 036

9 e

The Cc=nissioners 6-preceding 5-year peri:d :: the full adult life, including interviews of references and isscciates.

(personnel security investiga:icns a.e further discussed in Enciesure "5.)"

Current NRC and ERCA practice for access classifiac infor.atien in their centractor ;regrams is t: generally recuire a feil-field investiga:icn f:r ac: ass Secre: or Tcp Secre: Restricted Ca:a, Tc; Secre Nati:nal Security Infer 2tien, and Secret er C:nfiden:ial Nati:nal Security Infor.a:.cn which is intalligence infor.ati:n, is tesigna ad

' CRY;T0" (classified cry;; gra;nic infor.a:icn), Jr c n-stitutes etner classified c = uni:stien securi:y informatica (CC.MS E-).

C ner classified infor 2:icn requires aniy a Naticnal Agancy -Check (NAC).

Frem this gradation in clearanca levels it is seen : hat the sc:;e of investigaticn is directly relatec Oc the sensitiv-ity of the infer aticn :: wnich a persen has access. An analescus scheme migh-be a; repria:e f:r ac:ess :: speciai nuclear. atarial, based ucen the degree of ccper: unity t:

c:mit, thef t er sabotage. No: all ;eople who work in :ne licensed nuclear indus: y have :ne same c;;cr: unity f:r theft er sabetage, cr ac:ess :: ratarial cf the same safe-

. guards significance.

A j:b keyed ;r: gram taking full ac: un:

cf the quaif ty" of access wouic tend 00 avoid a situation in wnic aither many pec;ie wculd be investiga:ac ceyend cemenstraale need, Or individuais whose jets afferd :ne greatest ac;cr: uni y f r :nef: er sabotage would nc: be suffician:ly investiga ed.c ;revide -he desirec c:nficence in their ;russer:hiness.

Of ::urse, a cr.e-levei ;r: gram whien wculd inves: iga e ::

ce same degree all 1icensee empicyees whc have ac:sss ::

scecial nuclear ma arial wcuid be :cre c:nvenian: f m an acmints:rative stand;cin:.

In addi:icn, a :ne-levei :iaar-3 ance pr: gram wculd avcic any tancency f:r discrimina-ica in advanc.. ent accag empicyees en :ce : asis cf ane:ner :ney

cssess the accass au ncriza: icn levei nesced f:r a ;ar-icu-iar fc".

iicwever, e. j:b keyec r: gram wcuid :e in <aecing 1261 037

-..e,,,., c. ai g c. n... s../.

,y a.g. a. :... a. e n ('.st;L -

.u..;r e-a.c~w-..as.

.,,,,,/..

<.:.....a..

i.

i= -...

..e...

The inves:fga::r generally takas. cacisi:n :r -ec: tenda:icn.

~~ e i n f::- a: f cn cevel:;ed is assessac agains cri aria (usually ar.ac dar: gat:ry infar a-i:n")

by 1 eviewer wn: than takes a. ac:=enda:icn as :: wne-her a ;ersen sacui: :e

-.e u.i.;

n.,.,s...,,.-...,t,i n,.. u.

...1s..2.

i..

isi.

.t.

e...

.:..e s.e. 1 Ct..e...n.

,. s,,.. a 3...

One natura anc degree Of sensitivi:y of :ne classi#isc inf:r a:icn : wnich :ne h

D.g pD[Q :0 9

ers n 4fil have access, A4k}It l

h iig &n kQ

P00RORGin The Commissicners 7-witn bc h the need for 2 special nuclear a arial access authori:aticii :- gr?m ar.d ne desire Mc* 00 exacerba a :ne e.4vil liberties probitm :y recuiring urnecessary degrees of earances.

w A possible ::Tcecmise ;r gram wculd generally grace clearances on wne:ner ac:ess is recuirec :: an area 0:ntaini.1; vi ai equi;cen or special nuclear ma erial, bu: in acci:icn,

.se,u t r...*. e '. *.,.".e s. '. s. v a. l. #.

v i s. 2 r.=..c.= s '. -. i n.d i v '. w".2 'i 2 4-w w r g a. t.

.- s t......g p a.e, g

a. q.=.e -

2. 7,.,,

..po. c.u.. u.,.y a

a s

,y 2

v.

.e

,. 2 3... n a.a.d.

.= u.. s s.

.t. w..

r.c..

cu'.d

.$ s 3 ". r.=.. v =

.a r..= '.

4 i

all sensi-ive jces w"ile -inimi:ing -he a: minis rati.>e w i. n.1 c.a <t e.,. s

..e.,. ~.., a. w.. wa.a a ;a..,

-sa -

a z

s ej, =.s.

r. -.,...,. u.,.. e

. w n.

g 3.

4 s 4

2-2 A e 3 o.r t o..! e t..., n e n. 4. /. w.,, -

.X e.. s 2. -..t.3,4.u$

sw...,

4-2

... i 3

" quality" of ac:=ss wnich they have acuid demanc.

b)

- s yCh c,i O C. C a,t.-Ssessment:

a num:er 07-4

-ecera,i agencies Wnica gran: sec"ri:y learances dis 0, :rform :syCncI:giCai assess = Cats (see.- n c,t o su r e ',-,, ),

i.1 5 ;rac;1ce cr~en 's ne result of an incicen wnich i*cicated Ona* the pers nnei security ;r: gram at :he :ime of :ne incident was insufficien..

1. a..,

~.~.e.an g 3..o.g a.v a. g.a. c..a n.. w., :,<,a.c

.w-wisw mse.,

w n

-n at i

l a o r.*.

s e r." r i *.,v " *. c l o"...-

2...d

..~. -"a. " c e '". 2 *

..c *. *, u."'.."

s

." e l =..= -. a s. =. " c u...". a.

. 2. a c r *..". '... =. s 2 '. '. " e r ' 'i =...". r. ". 3.. =.

y e,

psycnclcgical assessment.

Th e ccmw ' =..me"...v

.- *. t.' u *. n. s ' '.

." = ~. a e- =....= ". a. k - -. "..- ". '... '/ a. s. '. -

n.

3 g.2.i r.r. 2..e 2 s/.."..14.g '. c.= 1.= s 2.s s sme.....=.1 " a.. =.. " "..v.*.e =..- v -

i n.9 w...a....a w

c. k -.

g..c i..y a.s.4.

.2

4. p.... 4. 'i j. 2. 3 e. 2 r a...C.$ <

.c 3

i n *..*. v i s. n.e, = r.. r a. r.. r",. s *. *." =. v a. i.- - '... '. r..a '. '. v... 2. a. r 4..., ~. ~.

Char.*C..^r, 's %C.2-*.ns,

.2..

'.. V.2 '../'

'..w-V a.

'. #. #.. s... :.

2 5..,..sm..e.r..g

...s 4w 3

,y

.s.q

i. n

4. y. a n. s '.

2.--..-

.q 4. -s

. -,.. a... a.t. ^ 4. s- ~. ~. f.

d w

w..

A s s /' C..c 'i % '. c. 2 I.

2. s e s 2...c"..,.r.~..~..**...s..-

..2..~,

2.1.'. y ~. 5 s.. s.

cwn 3nw v:. 2 e sw s.

r

. s s 3 c...a.r...e,. :.. 3.r

4. n..,. 3 :

F...:.

i

syCncIOgical: ds s, as an incica-ion Of ~na- *ne ;ersOn is

.c a.fr i..q

.s C u..h i... '. A. 't #

~... s 2. ') #

~..'a. u s..". 4

4... #. r. d. d....

i..

e.

w

--*h AeYgIVyC.

. d # A - We. u,..

l... g s..

.g - d. n.j.@. w

]

E

..... u.'y..

M j

--.p-.C*

wn;.

v.

.i.

f3,*

(h.w.s{

4

,. 2. 9.. 2 =.. a p s.

...*...*. :. r..s - 4 e. =. *..- 2.- :.

.n 4

s.e.t ~ e = ~.. 2.e *

=..f,y I

.j Ca3

.b.

6

,ersvn

..mn w.s..

a re s. 'i.. a.p al.

s. i..

s. e

.,e-.,.--

31.. e.

m e

d ww

.. g.J.

. pj. w.a g 3. w.-

3-L'g.4.j e. w.

.s i

2 3 4. 3..

.g e. 4.

s e.,- q y r..-,

a.

1 - = 4. p, 'L

. s....g

s.,. =* 2.

s.

2 =

4... 4. w 1 '.

e.,4..-..-~.1.e..

3 p

n..e,,

.4 se 6 w 'y

,e

.. e 5

'..- 5 ] 3..t * * ?. *.

f *. S. s f s= i n...S ". * - *. *.. * *

] $. f *a. 2 i 3.*..* 3 3 Q(

Q.3 f

i. -

= =. 3..

4.3'd.

4..

. J.

,g...

i.

s. X. g.2

. 4 s. e.

..sw....a io 2,.

1..s.3

,gg i

w..

~

1261 038

bg in r Wd h {

eg

>rs h bk Pt.e C =mi ssioners S-It should not be inferred tha; a full-field backgr und investiga:icn dces no develec inf:r ation c:ncer.ing an indivicual's stability. Hewever, in a graded ;rngram not all ;csiticns will require a tackgrounc inves-iga:f:n.

.Yc re -

ever, iatan instabili:y is no: as itkely :o be eviden:ac through a

ckgr und inves:1ga fcn as thrcugn a :sychc-Icgical assessmen:.

(ine : css::le neec f:r ;syche'.cgical assessmen in a s:ecial nuclear ma:erial access autheriza-tien p.cgraa is fur her :iscussac in Encl sure "0".)

c)

Acfudicaticn Criteria: 'ih::ever me:heds are used :0 caveic:

Inicr:a:;cn a:cu: a persen under c:nsidera:1:n f:r a sacu-rity clearance, :na inf:ca:icn is measurec agains: :y;es of infcmatien usually temec 'derega::ry infcr 2:: n.

Tne presence cf der:ga::ry infcma:ica raises a uesti:n as ::

whether the persen sacuid be grantad One clearanca, an: is the basis for any denial of clearance.

The iist cf der. gat:ry inf:r=aticn ::ntained in 10 CR 'ar: 10 has been usec f:r many years in the AEC-E?CA RC ;ersennel security pr grara for granting er denying ac:ess :: :lassified informaticn and ta erial. Tnis lis: is certainly sufficien for resciving questiens of eligibility f:r access t: s;:ecial nuclear material. Mcwever, :.vc U.S. Sucrece C:ur: cecisicns cealing witn gcver=sr.: ally i cesec incus: rial securi:y pr:-

grams not involving access :: classifisc inf:ma:icn, Scnneicer v. Smitn and Unicac Sta es v.

heel,; incica:a

na: 1: may :e prudent : craw 2: a se: ara a lis: cf cerega--

tory infer ation as a basis for :enying access :: s:ecial nuclear mata-ial, or ;r vice separa:a guidelines f:r a:: lying the 10 CR Far; 10 lis: :o access :: s:scial nuclear ta:eri 1.'

AT neugn EFfA nas -hejau:ncrity : establish :ne basic standarcs anc pr:cecures res;ec:i..g.ne na:icnal secur':y in :nis area, a: :resen: ners are ne such standards ':r ac:ess :: unclaasified s:ecial nucisar ma arial.

f Finally, i: shcuid be nc:ac :ha: :ne ec:!cyten Of si-fiar fuil-field 'ackgr und investiga-icas :: gran: clearances

,. c..a.n....

1. - /o :. 5.9,..

1261 039

~

1 r-

-i

.C-c. n....

( i :.. / ).

'.. a.. e,.y s. e. s e.c '. ; (.

.c.s. s. e. n.

.,. z... 4..

.1........ e :..

2,. %n...

u...s..s...

.as

.a

. 1.,. e n.

n

..i i

3 w.

w.

.:.s.

v. i 7,

w....e.e.

.. -.c,........ i 'ii.; t

.. g a'..

e. -... a..,. y.,,.%.

.2 a.r..

....,3 i..custriaI securi y ;r:g*aC.

j fb Ii

=ma

a :

BNM

. e 60mmiss.Oners

-y i..

a c c pA.a...e

~. v~ $ w q c i..n ] ] u,a.4 s.~ ] 4 e..s. j e. n

e.... i =. =. p 4. 2., an i s..

y.s.e/.

i-3 2.w. g r.j pi3.- w.. a.

y..c<s ^ #.

..".a. C I s. 2 r 2.1" *,

d. s-

w

.. c. a ". c v a. '1 y

.... a.,~ C 0 v. a <.a s

a. a.1 s ~ 4..c. t. v,

a. n.s. m ] i n.s.

9 i ce _s.

. r a.X.s.,..C

a..

w 4

j c p. g.

C ". #.,8 r 'i a. c *ww e a..".

c'.. g i *v,v a. a. s

.2.w' ' L O...... 2 c....-

i a....w '.,y m. a s.

di

'.1

.". *. W.2. 3 -

a. = c.c es.- Yu a,-.d. w n s hav a.

" a. s. n

= i. c.2 d.

i. a.

~

-.2 '. #.

X.

s 9

s w1sC.,s.c. ns,os.c.

e..w.e. - er.4.3'i

- w C i.3 2,..

3,43't

.a-.=

s o

s 4..

2.

......i w.s autacri:2:ica can or sn.cuic a;ciy :: ;ecc,e em: icy c a:

11

.*.*$ wa*.=r acwer -o..$c...s w.'

.'.r a s e...= :.' '.. s.... - ". s w. d..s '.

3 w..

2.2 w.c.3ga, =. a. g e. j.a l.f.: s w w.q.

2. c..a r s a - *. i.v.. s '..'. 3-

.i.x=d.

y cxice fuel.

Ai t cugn the *nrust ci the legislati n seems :0 ave :een a4 w..-o....s. 2.

...a. :.. c.-. r. i. v a. rs j e r. a :. 5. a.c. 4 31

.. o.

. s.. -. a. = <..> 'i,

..".a.

l a. r, i s l.= *.i v a.

. - =. '... '.

.w a. s-c.....= 'i...- =.. s..- c..r. c. s--.e-r...= r.. '.. r.

against sabc:;ge a: nucle 2r ;cwer reac:O rs.

These re#erences are in tne esti=cny given in su;;ce: cf the acencren: ::

s. e.c:icn,i c a l se ia Oy :ne r rmer u,irector or., gu. : ry ::andar s,

,n adci-icn,.eena:e se;cr: :4 -:c refers :c :ne acend-t a c..

ici Or c:n.c,i cver men: or sect,.cn

..,t as,t imi ting ',acces.s ::

a s :ec,. a,t nuciear ma:eria s,itreut s:ec r. vin nazar s :: wnica

=

".e~~.~~'.".w~*.'. -"a.

..w.e r.37, n. j g

.1 - -. a. <. 2 c..

T'..".s, i...=",/.... s.,~e.i..,'.

-.A r

ww

..,e conc.c.. c:i n,

....c*.,..,,.

1s a:..e..ss.,.r won.n.

w..

.w

. e Ca *eri a,:

tica::e to..t1:n water reac Ors as ws;i as t0 aci Tuel Cycle r.

.ll:Iss.

.c ro. c v a. r, - a. a - ~.~ r T i w.=.". <. = =. s...a v a.

M

.- n. e. c....- =..... >.. e = e. =."?

s w.. a.

^

..3. *e

's.2r2*.CS g' r a "3. r_=1.

... c ". ~ '/ =.

2. s ~w.$..' '. s.. = '.. a. r w*.. r. a. 'i 2

- - 2 2

wi w

4.n r y.,...s 4--

.-n..e C... a.

e.

.c. e... a.. e.e. e.e.....e.. s :, e e.

s w-. a. a.n i n 3 y

.. e e...a..e.

.,n.hs..s.w-.a 1., n.

.n.... s. 4.... a s.,-c,.,-

u..vz-s.

v

;. j. ].: 7 :, n !...... g.

4. 2 '..e a. r...

4.. y 1..

.2.2

.w a. r :

.2....;. a T'.a. j g s..s.. w.s.-. -

a. # ". '. 2

r'/.. #.

e '. I. ?,

a. ea..".

$.#. C

r *. 2 '.

..*i 2 I

a a :,...e e.. '. # r.

w^ #..1 u " I s. 2 - 2 *w e. r.O i..= r.. t.

23 a.

.P.. ' '.' <.. d. 2 'i

..n<.

.t a. c *.' C..a. '

.".c ro.e. v a..", s. a.. '..s

... a.

.-. 2. ~r.a rd.

'..$ 'i I a

^ r

.2.a.

.a

s. s-a s. 3.w a l 4..f. 2s a:ii 2

??

.... s.. c,.

4.. 4. s a,

s w.

2.., 4. - :

...e n w..

2 i

a f' "..C. "..' m w h i C.a.

. *. *i I.W s..*. *...'.a. c.2 *".. ~' f'

..C ro. ".4.=.'..'.y 2.

- -S. s.t b. - 3.,. s.

s 2 '- +..= ; a.

-. A..a.

W c"t.

.2. -.c,

.=.~.. <r.i. "... #-'."...s-ue 4*

p 4...~2 7. i f. C p. **c-I.

.* M,.4.ja.*( Jw..

f.'.q. a. p *.*... g *. 2 I../,

.ia.. - c. e....- c..

... i a

J 4 6...... ?.

4.1

... n n =. a

. m. e 2..s.....s.-...s.

m.

ep

.s.-

c.e

....i/.

J 23J

'J fic.4.-a.

C-

'. e..s.e.a, s

~s./ s s..e.....~.=.-=.e.

3.1 -. - - -./

s w.

w w.~. ~=

.r J,.

...e.

s - w.4.. *. 4. g g, e 3 ?.24. a, g *. 3 =..j a. g. 4. *.2

e..= o=

L..... '..* f =. a. :

3...a

.4 (

4-

w 3

g(.,

..e.n. =.p i. %... =.1 g

... a. y2.. 4.z.4.*.

8

.y

1..g...,...- p w

.=

.s e.

.s..,

i s j &.

(..-Y.$..

y.. f.- $.*..

.. g g.

MBR BRIG!M i 261 040

The C:anissicners r In developing one prepcsad rule of Encl sure "A, the advan-tages and disacvantages of varicus investigative me:Leds and of psychciegical assessment were es:ima ed.

Finally, One pres and cens of varicus possible c:tions of sc:;e and extant of a s:ecial nuclear matarial access approval pr: gram were assessed. The pros and cons cf de al:ernative types of clearance pr:crims--Issue 3, alternatives 1 decugh L--

and the pr0s and ::ns of the nricus receds of implementa-tien are presen:ac in Enclosure "3".

ecc.Teenda tie n -

I"nat the Cc=issicn:

Accreve publication for C cay c:=en: cf.ne :r:;csed new Far: II n,, )

anc or centeraing amenc ents c ear:s :u, and. fzu g.nclosure a

to establish an access aucarization program f:r access t: ce c:ntrol ever special nuclear material (ai:ar a:ive 2, Issue A) that wculd be graded in scope of background investigation and which wculd empicy the criteria cf 10 CFR par: 10 as a basis ::

grant or deny special nuclear material access au:hcri:atien (alternative i, Issue 3), and which would include in the pr:gra:

pecpie wne are involved in de Operaticn of nuclear pcwer reac: rs and empicyees of s ce ncn-Itcensees.

Note that:

1.

a recuiremen: f:r csychciegical assassmen: is nc: preccsed at this time bu: the staff will c:ntinue :: study de ccticn in the future as warranted :y ex:erience wi2 impie-mentation of de amer.dments presen:1y being rec:n enced.

2.

Oe staff believes : a: ai-heugn cere.ay be litiga:fva risk assccia:ac wi:n using :ne iC CFR Far: 10 cri aria f:r denying accass :: special nuclear ra: arf ai, ce careful application :f :.e cri: aria wi:5 scacific ::nsidera:icn tha:

,the cuestien is eitgibility f:r ac ssi :: s:ecial nuclear

ratarial and cc

ess :: classified inf:r a:i:n and :he

e. -

fact that par: 10 Maria themsalves are narr wly crawn ali

end to diminish Ca: risk.

B e staff has me: inf:r a'ly wid ERCA staff :n :nis mat:ar, an: will seek.f:r-ai ::c; era-tien with ERCA :: study pcssitie revisi:n :: IC Cp? ?ar IC en r ughly ce sama : ira scale as ;ia.nac fur:r.er inves: iga:i of psych legical assessman.

- s 1261 041

II -

6ne CCnmis:,Oners

'

e C #. #.

c.a

" #. A c.n. i.. *i s.. >. '. ~.n d *. M.. n. c. e...- ^ =./ a. l -...". e

-a details of a ;regram to implemen: the :rt:csed rule (ACM star.,1ng 1s crier.iy discussec in -nc.osure o C,, ).

i s '. nw-a 2 r =..c a. e.

. w r.-l e.2 r 2 -- = '. s

w. n s i ". a -a. d a.-e. - r. *. o g

.o requirement, tae ru.e w1.1 te su:c1 ec :o :ne u.enerai 3

t Accrunt1ng v...,ce r.cr review ;r1:e :: :uci1ca:1ca in errec-7.

,tve rCrm.

>e s*.3e. n2S s.o.ar".ine4

..w. a...w. a r.J. a..J34. o g.,.. 4.

e.

t.

4. l *i

. w have ne significant im;ac: u:en : e huma environmen:, anc

.w.e, e..

$, '.d =.

a

.1. - (.d i, f,1 )

1 ?s C.'s

'i, n a. l.. a r.

2.a.

envi r,e...<tr. w 2 '

. c r.=... a. :.=.. ' v a.

". s.ci.=..=.'....

.c =.. '. =.

-..'..=...c n. w t

a prepared.

-c.

.. a.

mra.yng g c.s. e. s i..s.-,. - a

e. 3.,_...A.eg...-. -- : te..a.... s. a a

t w.

r

..o.

i i.

p.t../.2 C.

.1

. - :. '. c. / 4, r,J '. L.2 'a C.,.'

('.' e a.

7' in part,cular :.. U.d.C. : 2 ate)v,j,...,

4..S.C.

.?.>.

/ C

.)

7.

in discussiens wi:n the sta#f cf tne Civil Service Cem-

,.1ss1cn,

..e.1 cs s..=.. n a s s- -.c '. " d =.... a..' r..= r..=.r. rt..'.r..

o.

between the.1RC ar.d the Civil Service C:mmissi n by unich

- - la.

8" wcu '. d.

c a.9 c". c '. '.*. e e a.r." '.. c. '. '.". V a. s. #. c. 2 '. #. w*.*,

('.Cu 1 o" be formali:ed :y letter crice :: :ublica-i:n of rule akinc in er..rective f rm.

3.,

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[3(3tJ,1 it ilsn i 1261 042

Tne Ccmissicners Schedulig:

Ti:ning is tied to censiderations of GESMO, :ne classifica:icn of security clans, tne Mixed-Facilities tas' force re;cre, and s

the reac cr physical prc:acticn rule.

/fc N.V $ ]}b u -, -

Rober: 3. Minogue, Direc:ce Office of Standarcs Ceveic :ent Enc!ncres:

" A"

'!ccice of Effec-ive ?ula Making "E"

- Al ternatives and Optiens Ccnsidered in Ceveicping Rule

C" - Impact of Clearance Prcgram "0"

.'leed for and Effic.acy of Psychciegical Assessment "E" - Oraft Public Anncuncemenc "F" - CGC/CFE cc=ents

G" - Res;cnse tc Additjenal CFE Cc=encs 48 w

Cerl:3issien 3:af# Cffices Exec Oir for C;ers:icns Secre.ariac 1261 043 8

1 NUCLEAR RE3ULATCRY CCMMISSICN 10 CFR ? ART 5 11, 50 AND 70 Authority far Access :: cr Cen rel Cver 5:acial Nuclear Ma arial Section 161f cf the At:mic Energy Ac: Of 1954, as amended, ermits the Nuclear Xe'aulater.v C emissico : prescrit_e. re.c.u. lati:ns e

ins:ituting a clearance pr: gram f:r n :e incividuais who have at:ess to or centrol over special nuclear ma:eriai.

5:ecifically, tne section provides tha- -he Commissicn may issue recula-icns ...

designating activi-ies invciving quantities of special nuci=2r material wnica in :he opinion Of :he C:mmi:sien are im;;r an: :: -he c mmen do.fanse and security, that may ts c:ncucted cnly by persons wncse character, as.cciaticcs and Icyalty snail have been investi-gatad under standards and specifi a-icns es ablished by ne.:m-missien anc as :: wncm the Cecnissi:n sna!i hava determine: :na-y e r.s

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ce cen r:1 cver s;ecial nuclear ma:erial.

These regulations are being prepared to utilize a ;c.sennel security ;r: gram as a measure to protect aga st these empi:yed in the affec:ad nuclear activi-fes who might censpies t: steal er diverc special nuclear materiai or conduct sabetage which wculd endanger the public by excesure :: radia-tien. Of ccurse, a clearance pregram f:se..,:es net en:Tresy sc. e ir.

iv tne ;rcelen of the insider, cut, in the ccinien of the C:==issien, experience has shcwn that such :r:gra:s de substantially reduce the risk of such consciracies. Mcreover, the pr:;csed pr:gra: is One of several elements in -he Commissicn's cverall safeguards ;r: gram wr.ich

gether protect against threats, both internal and external.

Txc levels of special nuclear ma arial access autheri:ati:n are pr:.:csed.

ice nigner TeveT, NRC-U, wcuid be based u;cn a full-field backgr:und itvestigaticn and wculd a;;iy :: (i) all indivicuais who require unese:rted access to special nuclear ma arial or within vitai arses, (ii) these jocs in which an indivi:ual aiene er in ::ns:iracy witn ane:her individual who d:es nc ; ssses an.'RC-U s;ecial nuclear

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e i wer invel, NRC-4, wcui: :e :asac u:cn a.Nati na'. Agency Check anc wcuid 1::iy. til i-civicuais wn

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P00R 83iN/L 1261045

Ec:h the Naticnai *gency Check and the fuli. field backgr:und investiga-icn are c:nduc ed by the Civil Service C:mmission.

The a nec. cr t. t es r the e.. ( r., ng e r-Nationa.,gency Check censist:

4 x

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prin:, criminal, and subversive files), Civil Service Ccamissicn (Securi y-Investigative index), and a eneck of military rec:r:s and recorcs of

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tne investigation are alsc interviewed.

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ice prcgr=c being pr ;csec :y -.ese requiat,.:ns 's in: ended ::

supersede any existing re uiremanes f r licensees :: screen Or : ner-e

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J bl$ $ @ [Q 1261 046

(1/21/77)

With due reccgnitica of the g avity cf escabif shing a matarf ar

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i wcuid affect individuair whc are not accicyed ':y any 'f cansee er cent acter cf the. Cc:::tissien as weTT as ifcansee acpicyees, it is 'ne Ccmi ss i c n '.* ' n *.=r.'......'...i...i u-a. S. c '". ". = '... ra......". a F 3.h..a v#.

d-privacy and asscciatien cf individuais aaccad, and the nu=ter cf individuais a'facted, while. ;reviding an ef'ective measure cf ;rc-

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N~ %n U M O il EncIcsure

'I' O R Y re r n, n J,U 1261 047

~

N P00R ORlGM With due rec:gni-icn of the gravity cf establishing a material access auther;.ation pr: grim in tne licensed nuclear iddustry wnich

/

wcuid affect individuais who are not empl:yed by any ' licensee er centracter of the C:cmission as well as licensee edployees, it is the

\\

C mmission's intent tc'minimi:e both ne im:act en the ric.h s cf

/

crivacy and ass ciati n c'# individuals affects:, and the nt::er Of

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individuals affected, wnile'ar:vidir.g an effective measure of :re-

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tacticn agains thesa wnc wculd.see.< em;1cyrant with, er use -heir

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csitien in, the nuclear industry',: r ;ur;cses c-thef t er sabc age.

\\ /

In preparing these requiation: amen 'N-he matters c:nsidered were the

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sc:pe of investigaticas (e.g., whether\\a full. field backgr:end

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investigatien shculd te recaired/

r all tr.dividuais), which jcb f

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functi ns st.cuid require mater al access at:hcri:a.icn (e.g., recuire

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level of clearanca determined by fcc), whe:her ps\\yc,hc1cgical assass i

shcuid be required, whether new cri eria should be civele:ec acains-

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1261 048

(.3./ u /~1~).

s de c:rres;ccd. t: Sa Feder I Gcvern=ent's generai aa; reach :: perscene?

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sacuMty,. and specifically, they are presently used f:r EFSA ;r grass.

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a decisien pr: cess charac:ari ed by c:n=cn sense jud; t.nts,. ri ner can quantitative criteria

.vereever, the Cen :ission is reiuc an

devise a new sat cf cMtaria withcut avidence that any new crf'arfa wculd significan:Ty f:;reve upcn Sess which presently exist. Hence, in legh n.e. a.. e,. 5. C./.,

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a.e. ad es-.er'.=..c.a.3 ".a.

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in the area Of ;ersennel security ;r grams by ;re;csing de usa Of t e C 4.. ri. c.n ~-s 1 e.

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W cf.c:ntinuing ravfew,. and. ne:ing that 'OTearacca' requi ecents as a whcie are present!y under rsview wf 2in the Federai 2cvern=ent in the f:rm cf a pre;csed E5acutive Crder,. ar.d fur-her dat ITIA has.ubiished f:r c==ent a prc: sed br:adening cf te appitca:ica :f its cri aMe.:

includa questiens of eitgibiitty f:r ac: ass : SNM (. ederai Rec's er, Vci 41, lfc. 25, p. EI420,.'f:vec:er 22,1975), the :=.issien is e.".$c.i~>-i.,

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.N rsuan. :: ce A :mic Energy Ac: f '951, is amended - e

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j desire to submit written c0mments Or suggestions wi:n respect t: ne prc;csed amendments, cr any :ther matter pertinent Oc the subject of this notice, should send them :o :ne Secre:ary of the C:mmissien, U.S. Nuclear Regulat:ry C:mmission, Wasning :n, D.C. 20555, A::en:icn:

Cccketing and Service Sectien, by (50 days after cu:lication of -nis notice in the.:ECERAL REGISTER).

If sufficient interest is evidenced by c:cments received, the Ccmmissicn wi:: give c:nsicerati:n :: a public hearing cn this matter.

C ;ies of c mments On the ;r:;csed amencments may be examined in the Commission's F'.blic Cccument Accm at 1717 H 5:ree: NW, Washing:cn, D.C.

1.

A new ? art il is added read as fellcws:

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AUTHORITY:

Section 7, Fuc. L.93-377, 28 Sta:. 475; Section 1511, Pub. L.83-703, 62 Sta:. 348 (42 U.S.C. 2201).

GENERAL FRG'/TSIONS 1 11.1 Furpose This part establishes -he requiremen:s for speciai nuclear material ac: ass authcrization, and the critaria and precedures f:e resciving questi ns c:ncerning the eligibility of incividuals :: receive special nuclear :atarial sc:ess autheri:a:icn for conduct of cercain activities, licensed cr c:herwise, which involve a::ess to cr centrol over unclassi,fied special nuclear catarial.

I 11.3 Sec;e The requirements, critaria, and precedures of this parc a; ply to the establishment of and eligibiif ty for special nuclear ra: arf ai access authc?i:ation fcr empicyees, ::ntrac crs, c:nsul ants of, and applicants f:r employment with, licensees er cen rac :rs of :he Nuclear Aegula. ry C caissicn where ' :n empicymen, c:n ract, servica, er censultatien involves any jc: failing witnin :he cri: aria of 15 11.11 Or 11.13 cf :nis cha; ar.

The recuirements, cri aria, anc ;recedures cf :nis parc are in addition Oc and nct in lieu cf any requirecents, cri aria, er ;r:ce-dures f:r ac:ess c cr c:n rci Over classified s:ecial P.uclear ma:arial.

E'50D i Ubd (TyGif ;A 'yJdUL%isur n

i 11.5 ;ci ic~v a-V I-is ne ;clicy of -he lh 'Isar Reguia :ry C:: ission carry ita au ncrity 5: es:::ifsn and adminis:ar a ;srs nnei securi y Ou: Inci osure A" 1261 05i

P90RORNAL program in the interests of :ne c:::cn defense and security for :he pur;cse of safeguarding s:ec al nuclear :sterial and preventing sabotage which wcuid endanger the public by ex:csure to radiatier in a canner censistant with traditional American ::ncap;s of justice.

To this end, the Ccamission has established critaria for determining cligibili y fer s:ecial nuclear cater-ial access autneri:aticn anc will afford affected individuals the c;.cr uni:y f:r adminis:rative review cf cuestiens concerning their eligibility f:r s:acial r.uclear material access authori:a:icn.

Il. ver,in1 icns i.e As used in this part:

(c)

Terms defined in ? arts 10, 50, 70, anc 73 of this chapt -

have the same meaning wnen used in this cart.

(s) m e.ee. t..,,.... c ~. a. s. r..a ~,, a.., ~., c,., s s, u... r.,. 4.. n....,.,.,. s.,.,.

a

-r

.... e administrative detar=ina:1:n tha an individual (including a con.

Orac:Or or censultan ) wnc is empicyed by cr is an a::lican; f:r

,:,.n

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..w or ::n:racter of a licensee Of tha C:amissicn may werk a: a f:: a n i c.*

aff:rds ac:ess to or ::n:roi over special nuclear ma:arial and tha:

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=

Civil Service Ccmmission that an individual in the course of enpicy-ment is eligible to werk a a jcb falling wi:nin the criteria of 5511.11(a)(1)er11.13.

(d)

"NRC 'R' special nuclear material ac:ess autheri:ation" means an administrative :stermination based u:en a na:fenal agency check that an individual in the course of em:1:yment is eligible to work at a jcb falling wi-hia the critari:n of i li.11(a)(2).

REQUIROE.W5 FOR SPICUL NUCLEAR

.uATERIAL ACCESS AUUORIT.ATICN i ll.li Requirements at fixed sites (a)

Each licensee who after (90 days felicwing publicaticn in final form) uses, ; recesses, or st res special nuclear material subject to ty.e physical prctection re uiremen s of Part 73 of this chapter, er who opers;as a nuclear react:r subject :: the pnysical pr:tacticn requi e ents of Far: 73 of this cha::er, by amendment t:

his security plan shali identify at his faciif ty er piant and descrite to :he C:mmissi:n:

(1) All jets in which an individual ::uid steal :r :iver-special nuclear matarf ai, er :enni: sabe: age wni:h wcuid endanger the public by ex:csure : radiati:n, by werking alene :r in ::ccera-tien with an individual whc : es ac: ;cssess an ?;RC-U s:ecial nuclear material a::sss authcriza-i:n, or by direc:ing :e ::ercing any '7di-vicual :: assis-in -he :neft, civersi:n, er sabe age.

Such f:ts Ilf)!fIE)rl L!st

ji}{[{[SIf I4t: ( iess iL include but are nc: ifmi ac :::

(i) Ali :csi:icas in :ne li:ensee's security f:r:e,

-S-Sncicsure ":'

1261 053

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(ii) Management ;csitiens with :he ac:hcrity :c:

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(A)

Direct the sc-icns Of me.ccers Of :he

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security force or altar securityc precedures, er (3)

Direct r:utine movements of s:eciai nuclear

\\haterial, or

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(C) Direc: the reutine sta us cf vital equi;.7ent.

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s (iii) Ai} jccs wnich require unescorted access I

within enst:a alarm 5 aticns.

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(iv) Ali feb which require unescer ad ac: ass

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special nuclear /material or within vital areas.

(2) Ali jobs which/r\\eautre unesc:rted access wi:nin

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X pre: acted areas and which do not fill within the critarien cf ;aragra:n

/

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(a)(1) cf this sec:icn.

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(b) A# tar (510 days fcIIcwing ;udlicatien in final f:rm) nc

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individual may be p/

wer'< at any'fec determined by ne ermitted ::

C:=missi:n :: fali wi:hin :he cri:ari:n :r baragrapn (a'(I) cf nis j

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secti:n wi:heu an NRC-U special nuclear matarial ac: ass au:ncri:a:i:n,

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anc no individ,ual may be ;ermitted unesc:rtad adcass :: any ;r: ec a:

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area wit cut'ei:her an 3RC-U Or NRC-R special nuci' ear ta: aria se:ess

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au ncri:1-ica.

l[sL This d:es ac: II:ar the requirecan; f r re-heds :: c:sarve i :fvi:;als

~

wi:hin ma arfai ac:sss areas as s a:ac in I 72.5C(a)(7' :f :nis cha; ar. Enciosure '

126i OC")

s:

w2m E TT.13 Rest.irwents in :an:pcr:1:iCn (a)

AII indiviCuals wF.c after (1:C days fC11Cwicg publiCa-iCtr M

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w 1261 056

I 11.13 Requirements in trans;cr:ation

//

All indivicuals who after (365 days fciicwing /

4: licatica in (a,

final fond drive c:t:r venicles in read shi;ments or spectai nuclear material, pilot aircraft in air shipments of special nuclear material, act as cenit:rs at transfer ;oints, or escer read, rail, sea, or air shipments cf special n. clear ma:arial subject :: :he a:;repriata pnysical pr:tecticn requiremen:s of 15 73.30,. 73.31, 73.25 or 73.36 cf s

\\

/

this chaptar shall have NRC-U special nuclear material access authori:1-i icn.

/

's

/

(b) Licensees who after (365, days afiar publica:icn in final

%N ferm) transpor; or who deifver t: a carrier for trans;cr special

/

N nuclear material subject to the physicaP-(retection recuiremen:s of s

li 73.30, 73.31, 73.35 cr 73.35 of this cha#ter shali c:nfirm and s

rec:rd pricr to shi; men the name and special decisar ra:arial accass

/

x authori:atica nt= er of aii drivers, escor:s, and menit:rs assigned ::

/

the shi; ent.

/

\\

i 11.15 Applica:ica f:r I;ecia'i Nuclear.Ma:arial Ac:ess';;;heri:sti:n i

\\

(a) A;pif caticn f:r s:ecial nuclear :a:arial access au:hcri:a-

/

i tien, renewal, or change in' level shall be filec by :ne em;;;yer en i

behalf Of the a:;iican w.ith :ne Cirect:r, Cffi:e cf Administra:icn,

'J.S. Nuclear Regul a::ry C:=missica, *4 ashing:ica, C.C.

2G555.'

(b) Acpiica:icn1 f r special nuclear ma: aria; ac:ess autneri:1-tien shall be made Oc.f:r:s su;cifec by :he ::: issien inci.ci g:

1261 057

Cass times f r s;EciaI Suciaf' Ia

arial a Cass au:nce 22;i:Cs can he ex:ectad 0: De aCc' ! 3C

.ys f P liRC-U anc 3C days f r 1"C-4.

d s

.t j

lO@513Ith 00!O f fl

(

Uil [I tui (i) A perscnnel Security Ouestiennaire (?SQ) cec;leted by tne individual.

(2) A fingerprin: card with the individual's finger;rints (fingerprints may be taken by a 10cai :ciica autheri:y).

(3) A sta: amen: by the employer, prospective empi yer, Or contractor, ide.tifying the jcb :: be assigr.ed to or assumed by the individual and the levei of authori:1:icn needed, ;;stifisc by accr:criate reference :: the licensee's security plan.

(c)

Special nuclear material access autneri:a icn shall ex:i~e 5 years folicwing the date of issue.

If centinued s;ecial nuclear material access authori:atica is required, an appitca-ion for renewai shaII be submi::ac at least 90 days ;rier :: expiration da a.

at ure to maxe a timely apoilcation will result in expiratica c s:ecia,t f

nuclear material access authorizati:n.

Scecial nucisar material access au acri:a-icn for wnich a timely a:clica:icn for renewai has been made may be c:n:f r.ued beycnd the expi-a-icn date ;encing #ir.ai in..i.n r.. n., w.,.

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,ywi s-

.w iw the foi.icwing:

(i) A r,ersenne,i ecur :y wuesti:nnaire w.e.e l a...a d.

w-I '. w.= n..

.'v *..e

-r e

(1) A $..s =...m a..e. =..,y

..~..n se.s = ] w~.ia. e..~ r = ~ n w..s e...~ #.

..~..s=..s.

~..~.s w

48 3 m. m. I. 5 m.,. J a m Im.p eg p ;w w, '4 5 g..*.. j '. I

5

e. d..s. g

- g Imd 3

3. ;.p g M.

4 1

u.

3 w we tw 6 ws e *.

w6

-. g '. s. y s 'I J.

- s. e. 'i.s.

a. v. a '6 :. s..e..s..s e d s '.

.. 4 g,..g A.

3, e e.

r a. r. w 3. -o. -3 w

3.

ww w

11 -

Enci:sure

'r' 1261 058

access authorizaten which he er she holds, justified :y a;:r:-

priate reference :: the licensee's security plan.

(d)

If at anj -ice, due to new assignmen cc assumotien Of duties, a change in special nuclear material access authorization level frem NRC "R" to "U" is recuired, :he indivicual shall appiy f:r a change of level of s:ecial nuclear material access authori:sticn.

Such an applica:ica shall include a.descri;;ica cf the new duties :: be assigned er assumed, justified by accrepriate reference :c the licen-see's security plan.

(e)

Each applicatien for special nuclear ma erial ac:ess authcrizatien, renewal, or change in level shall te ac:cm:anied cy -he empicyer's remittance ac: rding to :he felicwing schedule:

(1) n ew a c c l i c a t i e n, " U ....................

5370 (2) new applica:ica, "R" 5 20 (3) renewal "U" Or "R" S 20 (4) change cf levei "R"

t: "U" 5370 (5) convert existing NRC cr ERCA "Q" cr "Q(X)" to U cr R No charge (5)

nvert existing.NRC cc ERCA "L" cr "L(X)" to U...........................

5370 (7) c:nvert existing NRC cr ERCA Q. Q(X)",

"L ', er "L(X)" :: R Nc charge CRIHRIA FCR GETER.H? LING ELIGIEIL.Tf FCR ACCESS 70, CR CO iECL OVER, SPECIAL NUCLEAR ldATERIAL ns

! II.21 AppiiCa!icn :f :he C;-iteria (a)

The decisic., :: grant cr ceny s:acia;

.citar a:erial aC:ess au.ncri;ati n is a 00m:renensive, c:=ca-sense juegren, ade after C nsicera-i n Of all -ha relevan-inf:r atica, favora:le Or Encicsure N' 1261 059

P003OMRAL unfavorable, that tc grant er ?any 5,cecial nuclear Ta arial access authori:ation is er is nac inimicai tc the cccmen defense and security and is or is nc: clearly ccasistent wi:n the naticnal interes:.

(b)

Ic assis in making thase de:erminations, en the basis of all the information in a particular case, there are se: fcr:n in 5 10.11 c#.

n' i 2-

.a.a..=..= nu'"e v#. e e. i '. i.

-.v..e s w #.

d. s.

. C..=..a r.v w

e informa icn.

These criteria are ne exhaus'tive but ccntain :ne princ,. pal types or. derega cry infcr at:.en wnica in :ne c?;nien er :ne

i.. d i v. w ".= ' ' s-

s. 'i. - d. ". 4.1 i..v r

C...

. i. s - 4.

r..-. =..=.=.=. u a. s. i e n.= s

."~a id.

4 2 w srer.i a 'i nu cl =..= r. a..=. i.= 1.=...= s e.

2 u..".c r i. z =. i...

ih a. s.=

w-. i..=. d..>

2.-*.

iv subject tc continuing review and may be revised frc= time :c time as experience and circumstances may make desirable.

(c)

,, hen the re;crts or..investiga 1cn or an indivicua. ccntain a

i infcr:atica reascnably falling within ene cr cre cf :ne classes cf A. a. r. =.. r.v i. r. #, r a. i. c..q l '. 2..=s.

in I in..li,

...a.

=..-'i 3 s.=. d. w.,. #.

.. *. =.

g.e 4...a.p j g 3.. 2 'l 'l

e.ha 4' a '... ' i *.q *6

2. iw w'.*..i

.c C.'s.# '... =. g.. w= * -..' W h s....*. "

.d i ;

Yi y

.,e a.X12..s Ca m:

L v.s, 1..:i....~,.s.e n w. a.z a..

.,.. e <.. ;.. s. s..,. u. a v.

a

...s f.ac i. v i w-"e a 'i '

a l i

d. h i 'i i.-y

. w- - s y e. i. a l..u c '. =. =."

..a. = r '..= '. _2

..=.c -. =-...w.'.-=.-

2 w

a

..icn by raising a reascnacle celief hat the individual,cuid ;se "is

, C -, s a..- wr

e. n.-st n/ a.., s ee. i.., ~i.,., C,. 3.,,...,. a z, i :. F. u..a :.. a t. / a..n.

s e

-.w 6.

c:. 3.a.e.az '.. u g T. a. n.

1. a

e..s ',

2

. u a.a, n., c. a.

.v.. a....a o..a.

n

a. e.,., a,

..a w

w.

k?4-

,, :... 1. a.. n..

~. s. a.-.X.ac. o.. s. y.:

t. - a. e.... :.... a..e s.

n..

,.uas.w

.y as.. c $ v. e. a.

e

.. e.,y.a na...w 7. 3

..w.g ;..s 4.

y 2

.w-4

... g i. a. 3.,

3. a. e. 3. '.

3.. a. r. :. 3 4

2..ag.

3.....,. 43, f

.I w..

3

w

.4.

n.n

.Wg

%.3s4s.J.

.. e. :. c=..a. 4. w..

4.*.

=. a 4

.2 e

.p

~.w

2...=.. r *.. a. *.a 2

6 s

..w.

... i s

- nC i s s u r= ~. i, la -

m 1261 060

conduct of an interview with the individual and, en the basis of such in:crview and such cther investigatien as he deems apercuriate, may authorize the granting of special nuclear material access authcrization.

Other41se, a question c:ncerning the eligibility of an individual for special nuclear material ac:ess authori:ation shall be rescived in ac:crdance with the pr:cedures set f r-h in 11 10.20 hr ugh IC.33 of

nis chacter.

(d)

In resciving a questien ::ncerning the eifgibility cr c:ntinued 611gibility Of an individual for special nucisar material access authorizaticn by acticn of the Perscnnel Securi:y Scard, the fc11cwing principle shall be applied by the Scard:

Where :here are grouncs sufficient to estaclish a reascnable belief as to the cru:n of the infer.atien regarded as suhstantially derega: ry and wnen the existance of such inferr.a icn raises a r'.7senable celief that the individual may use his access to cr c:ntrcl over special nuclear material for theft or diversion of special nuclear natarial or sa:ctage which wculd endanger :he pubi f e by expcsure :: radiation, this snail te the basis for a rec c=andation f:r canying er revoking special nuclear materiai ac:ess au:hcri:ati:n if nc: sa:i sfac::rily rebutted by the indivicuai er shown :: be mitiga:ec by circumstance.

fbk

'.t uauhdlil T

The func:i n of :he pers nnei Securi:y 3:are is cascri:ec in Fa.r: ::

cf :nis chacter.

-i'-

Enc: sure "N' 1261 061

l 6

rAn-i :0

.. C...sLe.,4,. -- - 0, c L,C_i. u,i., 10 i, c ur ex.

Lc.,l u,,_alul PMv1Liit:0 6ko 2.

Paragraph (c) of I 50.34, is amenced t read as folicws:'

5 50.34 Centants of applica:icns; technical infcrma-icn.

=

(c)

Physical sec;rity plan.

Each ap;Iication f:r a license ::

operate a production or utilt:ati:n fac; 6i:7 shall include a ;nysi:ai securi ty plan.

The ;ian shall ::nsis cf :ac ; arts.

? art : shall address vital equi: cent, vi al areas, and iscla:icn enes, anc sha!i deccnstrata hcw tne applicant plans to e:mciy with the requirecen:s :f Part 73 of this chap er, if applicable, at the precesed facili:y includinc the identification and descri:ticn of wes 2.

. 4..

. ~.. - e. =. s.

m facility as recuired by i 11.ll(a) cf :nis cha::er.# Far: M snail listtests,i.kspecticns,andctnermeanstobeused de ce.stra:e c=cliance with such requireren:s, if applicable.

r e, n i- -- 0 c a.. r, L.,iL,C, _.,

%. __., L s

e.

.x. -

3.

Paragra:n (h) of i 70.22 is a.cenced 'e read as f:ilews:

I 70.22 Centen 3 cf apolica:icns.I (h)

Eaca a:cifcation f:r a ifcense :c ;cssess Or use a: any si:e r w-n. '. p' - w s - i. = s s- "w..,,' =...

. i....* 1 o

o si

'4 w

.,v

..u.

t..= n. e = =...-=..........:

we w f On d Ie. in EIaniuO en.*ic.",eC. [( pg,02]; p =g y s

=,,, g p 2 =,4

\\

4-s

EY s o O e /, E I1n i '..I*

I _ $ ;j *,* n i L.] { $ Ol* g ** *(; g,-./ ; --- j - 2 = j

_a = 4, T

9 4 %. 4. e 4 - g e, w-4-

g w

4. 4. e. y*

2 K *. 3.- Q.

- - S P$ %. fC.M..

M

.A6 waw

.=

we.ww.

se EnCICsure

'A' 1261 062

a quantity of 5,0C0 grams or cre cecputed by the fermula, grams =(grams contained U-235)*2.5 (grams U-233+ grams piuteniu=), other nan a license for pcssassion or use of such material in the operatten of a nuclear reacter licansac pursuant to Part 50 of this chapter, shall include a physical security plan, censisting of tao parts.

Part I shall address vital eq 2ipment, vital areas, and isolatica ::nas, and shait deccnstrate h0w the applicant ?la..s t: meet the physical pr: tac-tien requirements of Far. 73 of this chapter in the c:nduct of cas activity to be licensed includinc the ider.tification and descri:-i:n of jobs as r=cuired bv i 11.11(a) of this chacter.

Part II shall list tests, inspecticns, and other means :: demcnstratec:$cifancawith such recuirements.

Dated atWashingt:n, D.C. this day of For the ltuclear Regulat:ry Cc=issi:n P00R0".!B!RL Secretary f :he C.:=issica 1261 063

. Encicsure "v'

P00!10!ilSim nL_iet..M...l., e.,0 C.e.r.c.,, w-

.S.

.stu,.y tt i.

w.

u 0:,/q nP.N,,xurc es-4

..el-u ss I.

Al terna tives:

The felicwing is a brief ex;csition of the pros acc Ocns of :ne alterna:ives of a cleacance ;r gram for access :c or c,n.rC *i C./.,...C l a e - 4.. 4. a s.... s. o.r d a i..

o w

a..

.s

.. i Issua A-

.w e s q =. i. o n = 1 s =. uu r'. './' re,". '. *. a.

.1..e.

.~ =. s..= c l i s."..= c. '. s..=. =. c.=

w o

prec.ran fcr incividuals i.. One licensec sector who nave a::ess ::

3 cr c n..o5,v.

s.. r.4.ai u.ci.,r -

..,1.,+i.

o..

u'c now

i

a. s.=.' t. s h

2.. v = >d..*~ r i..=. *. s o-i

..-. c. r.=,..

. w r.= c..= s s. - '. r c n. e'i s V a. r i.C 'i.s s a l' J. i..,m A.

a.

w l s. :.

a..s.. s

4 2 '!.

w. v u

.. i 2.o a-3.er.i.=.1 r"

c ou l d s u.. ~ c ' a. = r...=. =.. =. '.

=..= s - = ".... c. r d...=. d. w r.... c, r _=..

2.

c;ect a numcer or. incivicuais (a::r xina:ey.y

.0, wC0.o

=.1 *.vas *.,a.'cn

... = '. - r i. v.=..= i '. v a. s.

.. a acci;icn such a program wcule 4mpcse upcn incivis.uais in the crivate sec:cr criterien which go beycnd c:nside -

a.4. cn'

..w. 2 a,e4y4. uai s.,,1]4.,y i

..ee r. o r: 3 a r.,. 4. :. 4. w.

5.,,

n.

-o i

w

. ".n.c.'. c r..

.".a...r.c.=, s..m. e i,,.d *. / i d u.=. ' s.. = y' '. a p r..a. i. k.....

pericr:1cg Jces for wnicn :.,.ey are c:nerwise cua.'..=.

tirlec.

Mc establisning any clearance pr: gram for access ::

cr centro 1 cver s:ecia t nuc. ear ma:arlai wcu,.

avel:

~

.s.e 4i n,/as i c. C :. p

4..la C,.,

.... ru.a.u,

a. :r... G = n. n.. :.

--e.J 4

at.

e.

r. i V *. i ' ' " e.". *. *. s

s. '. =.". E. u....'.'..,V

1v a. s *. '. ;a.'. v a.

1

- -. r. =. 3' 'a.

r.

.., rt e

..C

c.. s L.C.1

,.C.4. w.n.

.--,d l w a,/ C. c

1.. w

a..s 1.. e < w, :2 a

4 s

3 e.

w-..a.s :r nua r.2 un.

ww w.s... e

't.,,,. s c a.

4

-.. a.

~e

.u..s..

.nC

.w w..

w.

r i o a 't'i V, I '. w* S.. e ', s w.2.*. ". a 4-

..- =., i.

d.

.. '

s..'.' '. i.."i.=.. #.

2' w' '.' r.. '. ~.

. a

~ p.N.*..* s.e e. re. y 29.s....~~. c. r _s e..

T

~

~~

e. w-.s. z. e.a.e.. y v~,y : a..e 1 ]..e. ;.. ~a l i..e5 c r e. s.q. 60.1/-17/

doi

-L w p.

'j 4.

W., n. 2 w...a

.w. -... :. c'.=.2 3.

p. 3. _3......a r a.

s, e i.. w-a c. o. s. :

-w 2.3 3 n p.s p.g s et p s w a r..4. w. 2, 3..=. e..

.e e. C M 4

m--

4 h.e go'l.d

.C. (.

W wi

-c w

M A..m.. e !.* y F..g.e.. i..n.

.b. g } i. s n.e. g c.

e,. g w*. a s. e i..q q. 3 *.w.,.f Ja p.. =. =

=.u pa. r.g a.

p a

s aa w

a :.. W a. s. a..* s a b.Q*.2*g.

"v *.w 'i

.ec. i. 2.e. r s v.m.

a S

4 a

I

" A.,y g d. ".2 C. c* P. '

4 ".,y a

i e

.i

a. r.

4. =.=..g.n. a

.a.n..d,.a.a. e. c /. *.?.= s e

.s.=. w ' 4. w.s.e. g.n a.

g w =. c. c..e. j.a. a d.

=

a a

.J 3

. c.s -....s g i.n r

..p. 4..a f.

2 ).*.

a - -

.2

J..a. g 4..d a.w

.g u. I..M

%. 3 i3 s

......w 6.63...

s." S

4.t.-./.

....D*

'. 4. e..s e. s s c. g %. o. c..e i a. m p. a.

.= s.* 3

'W.S

s. a.s c. -

.t.a'j s.e c.,/

'4417 a.

aw e -

./

a 4./ 3.,.f S

- 6 4.

.s 4

.3s

7. 2 q.

c. s..= 4..= =. 4. =.a. g. J.

4.j a. =..= *.,f

..a.=- =. w.s e a=

a

.w 7.a. r i..a c...

c.. '. ' ' '

w...

1261 064

backgrcund investiga: ices.

Vereover, taking no actien-wculd be c:un:er :: :he incen: of the AEC in seeking Public Law 93-377.

2.

Establish an ac:ess authc; f:stien ;regram for unciassified special nuclear material.

Fre: A clearance program wcuid provide a ceasure of assurance against the " ins; der" who alene er ine:nspiracy might act to steai cr diver: s;ecial nuclear material er c:cmit sabotage.

C:n: A clearance program in the it:ensed sect:r would establisn a precedent of investigating ar.d clearing individuals who are neither gcvernment e::icyees nor employed en gcvernment c:ntracts, and in sc e cases are not even empicyed by ifcensees of the NRC.

Issue 3: What is the procer sc:pe of a clearance program in the ifcensed sec:cr?

1.

Adapt the presen NRC perscnnel security prcgram f:r access t:

classified infor=ation tc provide autheri:ation for access ::

special nuclear matarial.

Prc: Adactation of the ;resen: :ersennel security program wcuid utilize the methcds and pr::eduree which have been used for ac:ess :: restricted da:a anc cther na:icnal security infe rma tion.

ints alternative would revide the acninistra-tive advantage of a single NRC ;ers nnel securi:y :r: gram.

Con: The criteria cf Par: 10 which were deveic:ed f:r access ::

c!assified inf:rma:icn may be cha;ienged as net s:ecific ::

the cuestien of eligibility for access

r c:n rei Over s:ecial nuclear material in lient of Schneicer v. Sc' n

~

(390 U.S. 17 (1968)), and U.S. v. R :ei (289 U.S. 256 (1967).

Criteria c:ntaicec in 1C CFR Par: 10 regarding association

resently used f: r R/G cr NSI access authcri:ati:n may be attacked as no: c:nsidering :ne quality of :ne asscciaticn relative t: an individual's use Of his or her access :: ce cen:rci cver SNM f:r :hef: of SNM or sabotage.

2.

U:iit:e :he investiga:ive and review meth:ds an: :r:cedures :?

he ;resen: ;ersennel securi:y ;regram bu: em: Icy :ritaria which are drawn es;ecially f:r ;ur;cses :f granting a::ess :: 5.';M.

7. $l[$IkN 1261 065 Encie sure "3

Ykb

[()

h1 h alm rpa nl '..".C u"; h ' h.2 " - i '. o r '. ^ u r~d s. " W h #...'1 2--=ss

.- IN.M 2.".d 2 C - *. s -2 v

w.

s.

. a.

,O Class 171EC,.nforca:ian is grantaj WCU.C 017 er,

.u.e use 3.....

i..18.5.d..'v".

...C r$.V.^.W

..a..".w"s

.2.d.-^s'.*.d.".*..*

Ci COC....C s i

w i

hCulw i. n ' r $. ". *. '. - a d

...c.n C ri. a"a. C 'l s. 2. 2.. 'w s

-2 A

P

- -. c.

.$ 1..

.Y.w- - se. v a. r,

ri r

k.a. us a. C.

C *. i '..* r i.$

d s 'y.r. 'i. i. c.

'w w-aC.t.s-.. CF -.r.-^s'i cys.-

a s

<sy wculd r.c.g..1.,

s..u~a> < ::a.na. n w a s o...%a a..n.

.en.u...- s s s >. n w s

a

.3 nformation actass.

Cen: Use of sepacate criteria for access :c SNM wculd ignere :he ro,s e o :..u.e n.n.

....o.-a.2..,...

I n a c-.. a... :-

,, i w.s<.n

.u-

.c

..-s.

.. a

$ *.., n d..s.r.ss.2..d g. - e.s...

a. s - s e a.r t. i.. - '..A s~, a. i..' n 3. 't,, ?..". '..' I 'i s c-"..r #. '.y i.

Vis a V1s 3.

1.i d.O # $.e. v c. ", 2 t...C U g o-

^..

O n

..".a. ". X "... 'I 3.= ^ #.

. 4. J - 2.". ~o..... a.n.. r. :.L.. J... 2,v :- a.

'! a s 3. r. m. s.

a by s pa.n.a. :.1 n

.t.o.yi.

w

.s n..a s w..,.. i,.un;. o w.a.e... u.. - a..,. s, s s w c i., _

.,a a,

=

'w ' 7 s, '.". a v v a. r.= '. '3

'. v 4. '

'1 i m e r. i. s. s '.....2.-... =.v " a.

r o. a. '..s.-

w y

' er..' u s a. i.*. v s s i '.'. '... '..... "... a d..a.r

2. - $.2 s '. #.

i... = r.= s '. ~~=.v L e -=.",u i ra.d. */... a.. e c. d.

. c d c- *..=.r... '4.q.a w ". g$. o* a. r ' o".a

'.7 C v i. d.". 2 'i i

i might use cr seek a ;csitien far theft of SNM cr sabotage.

i nal l f., C ra..:.. i

~0 w:x r., r. 10 n.4.., r i a

.. y. 1..,u ;... n :

a r

1 v.

w.

C^ u l d r a.'.""; G i. *. '..".a

.".= #. n. r c..e..a s *. o *a. s...

.' e.. s s '..

.01.M. 2nd

..A aC ess

,*O C,rassirleg Inicr at1Cn and,-hus "izinish bc-h 1st 1:endment i:ract and.<.< a.<v.

.< <w..

,-o 3.

Ausmen: Alternative i er 2 with a psychoicgical assessmen: pro-3 rm,...

( a ea. :-n ~t e s..ra. nen :.. :...... a.

d ; = w-.. - - <. n. ;\\

.. ~

u s

w...

.22 rro: Psycn.o,i egi ca,r assessmen; wou,id c p.temen-backgr:un, Inves-

i :.= '. i. c n

a. s

.2 2 %.- =. a.. n'.. 3-." a. v.. = f r

r. v '. d. '. o-

.= 4.e 2.n s ^ #.

i ex-l u d i n9 i..d. '. v '.""..= i. a- * *i... 2 c..= r.. i.2 '.

d' v.

e."~- =.

. q.

r n..T Q 'l,V"...L.n,. % G { r..*.

2. #. ?. f". $

.2. *. h $ 3 '..n 2.%.M..

'...**'3

1e n ed. p

...i

.g o

V 3.2 3p 2-

..r.2"w-* C u?."

" a. ^ "..' i... c. C' i n

.."~a i

.- = i. 2 " 'i. #..,v

.2. ~d 22.

o.

3 s. 3.% j 'i j. y n. :.

. e..r

.. a a.e.r.

w 2 ". a.

a. r..- e s s-

.-.....I

./ o..r a

.~

s ec.4. 3. !

.. Ci.2r

.2 3

4.3.

...2, 2

4

. ~..

o is - w., 2.

~3., i 3.a....

3. v a. n :...

?..

4 y

. d. e l d

a r.k :-..". r~ '. 3 v a. s. 3. 2. w i w n s.

a Cw n. P sf'..".w i c 9. r..= '!

W c. u '. " - "o.".i =. c. 2.. u....- a..~ #. '.,- i v i. d -

.= 2 a. s.e.. ~a...

-a s

i.

gg]g 4.3

..W.a.e.= 4. y.s. 3 g a r.

.s o

4.3.,, 2

4. w.,.. :. -

4. y 2.. y.ws.

4. -

3-n

.a g.

a g n. a..s. s.e s. ua.

s

.us-

y a n. e~ i.: 3...

,y

e. s..<

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1261 066

4.

Rather than a f.wo-levs1 graded authorization ;r gram (Issue 5, Alternatives 1 througn 3), establish a cne-Tevel progrem.

Pro: A "blanke " clearance pr: gram wcuid be easiest of all pre-grams to administer.

.'io individual wcuid be subjected ::

more intensive or c mprehensive investiga:f cn than any other.

Lack of specific level of clearance wculd not be an obstacle t: ;;r:metion.

Cen: Ey escablisMng a "blanke " clearance pr: gram for all emoleyees, either these with greates: ::;crtunity for thef cf sacc: age wculd be insufficien:Ty investigated cr tnese with lesser er nc'cpcortunity v.cuid be investigated beycnd need. Marecver, sucn a program wculd nc: be in kee:ing ei-h the tes imeny given befcre the JC.iE staff at the time the legislaticn en SNM access was being considered.

Finally, this program cculd be the acst ex;ensive if all if:ensee empicyees are required to undergo = full-field background investigatien.

g. :O p A 3 9{

Pvh W !j"l

(

3 *-" U '

II. Clearance Precram Gotiens 8

1.

pr: cram Octicns.

1"ne fcilewing pres and c:ns wer e ::nsidered in saiecting among the majcr pr gram cptions avail :le in deveicping the authcrization program for access t: cr cen:rci cver SNM.

a.

Establis.5 a :ne-level clearance program :niy for individuals in key pcai:icns who have greatest ::ccc uni y for theft r sabotage.

?re: This cption c:uld drastically recuce the num er of individuais investiga:ed, ;c:en:iai!y by as muca as two-thirds. Mcreover, such a ;r: gram wcuid be nearly as easy tc a minister as a "bianke " :learanca ;r: gram.

Con: Clearing cnly incividuais in key ;csi;i:ns c:'21:

igr. ore a atacer of individuais whc are ac in sucn positions bu: ncnetheless have ec:cr uni:y :: :mi,

aid, or c:nceai :nelt of s:ecial cucisar a:erial er sabetage.

The nuacers of such incividuais ::uid we!!

be 2 cr 3 fcr each individual in a ~<ey ;csiti:n.

On the ::. ar hand Over-clearance is aisc :cssible.

For exam:le, a num:er cf ;csi-icas mign: :e designa:ec as

" key" tc avoid :he abcve si:.a-i:n, even :ncugh :he wert func ices de cc: ;revice sufficien ::: r unin f r Oneft Cr sa:c ace :: justify a fuii-fisid inves:i-Ga icn. EnCI:sure "3

1261 067

b f

p s,as !31 Jrt te ce:

b.

3ase levei cf clearance sciely On wnether Or not an area contains 5.':M ce vital equi; men: rather than en jcb

-TunCIcn.

Prc: Such a ;regra=.:cui ' have similar administrative acvantages as a cne-level pr: gram. Mereaver, :Nere would be nc need to justify all clearances on :he wasis or. spec 1ric jocs--neece. access c an area s

. s would suff.:e.

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/cr such cases, it would seem tnat the recuired Confidence in the trustwort.7tness Of those involved

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licensee and are i=;csec upcn :ne licensee fcr rea-sens of the c: ceca defense and security and the public health and sifety.

.ne costs er :Mese elecents are bcrne by the licensee.

Accordingly, it can be argued that fees for clearing em;icyees are safeguarcs ccs:

essentially no different frec -he cos: cf c:ner safe-guards measures, 2nd, therefore, alsc shculd be ; aid by the licensee.

(Mereever, by requiring :ne licensee tc pay for clearances in a pregram wnich relates the need for an. Ievei of clearance tc the c;;crcunity for theft or sabetage previded by the werk func-icn, One licensee i s induc.=d... " 2.r.'nga..". a. '...-=...s=d.

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the number cf individuals given such c;;crcuni:y, therecy previding an acced s feguards benefi.)

d.

Utilize a structured interview technicue in lieu cf bc:h e..) and c:her fcr s tull-r..

4 ieiu.ackgrcund investiga-icns s

ss.

c psycnc.egical assessment.

. i

?rc: A structured interview tachnique could be cre effec-ive in deveicping informatien accuc an 7nd.v; dual :n.an a 31.

Mereever such an interview achnique wculd include a psychciegical assessment based en a perscnnel histcry statement. in conjunction with the interview.

The mili-tary esticates -hat the cost cf the interview technique is much less than the ecs: ef a SI.

ncividuais wcuid not necessar;.,y.ce su'cjectec Oc a,.:t.

Con: ice ravaracie mill ary experience nas ceen w -h ;articu-lar types of individuals fer wnce -he :ecanicue was develc;ed (recrui:s freshiy cu cf Occ: came and Navy persennel wncse c'earances were being ucda:sc).

Althcugh

nere is nc reascn c ex:ecc any less favoracle resuits with licensee accicyees, :he ;erscnal his cry s a:ecen:

and the ccnduct cf the intarview wiii neec c be cavei-w1:n any psycncicgica. cf incivicuais invcived.

c;ed Oc sui:.:he tyces As assessmen:

va. :ct :y cr ne za:e-t t

rials / techniques mus: he es aclishec.

No such validi y s.e

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A 2.

Investicative Methods Cc:icns

_s.e folicwing are capsu,.e ;.escripti:ns or var:cus me:neds er.

n investigation into an ir.civicual's life history currently used by varicus Federal agencies and which may be suitable f0r personnel screening.

a.

Investication (1) National Agency Check (NAC)

(i)

Cescri; tion:

Check of FBI files (finger:rint, crimina,., anw, su: versive r:les), ::.

,,v.,

. service u.

i Commissicn #iies (securi:y-investigative incex),

and '.il's

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appropria:e.

.':AC's are c nduc ed by the Civil Ser/ ice Ccmmissicn.

(ii) Advantages:

Speed - 30 :: 40 days pr: cess :ime.

Will develce criminal convicticns.

(iii)

Cisadvantages:

References are cc: checked.

Wiii develc; character information only On individua's who have been investigated (f r wnatever reascn; by a Federal cr ;clice agency.

Nc: ali iccai ;clice departments centribute ::.-ecera i

es, and,

. n.er ccre, a nace cneck is or i;m;ted use,in scme e

areas.

(iv)

C st:

The CSC currently charges :.ie NRC abcu: 55 per NAC.

(2) Nationai Agency Check and Incuiry (NACI)

(i)

Descri::i:n:

An NAC wi-h le :ars cf incuiry sen:

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=.e

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(ii) Advantages:

Checks references.

Provides a check on indivicual persennel his::ry : 2:ecen:.

(iii)

Cisadvan ages:

Average of C tays ;r: cess time.

Res:ccse fr:m inquiries is v:iun ary.

Sec:ncary 1V., a * *... C. ".

v *...' - A. d..

, o. e. =. r e..qc as

.2 2.

(iv)

Ocs::

Abcut 530 ;er :ase. nclosure

'3

~

1261 070

P QD;rg y q; b$h (3)

Full-Field Background Investiga:ica (i)

Cescriptic.i: A rec:rds check (NAC) and interviews of references, concucted by agents of :he investi-gating age:.cy.

Ecucces deveic:ed in the enurse of investiga:ica are aisc in:erviewed.

,(11) Advantages:

Ceveiccs greatest nc=:er of scu :es of informa-icn.

Agents enpicy professicnal skill and judg=ent in eliciting res:enses frem r=ferences a-d in deveic; ment of sacer.dary scurces.

Invec ti -

ga-icn can te tailored :: needs of ager.:y request-ing. investigation.

(iii) Disadvan: ages: Average of ever 90 days pr: cess time.

Ex;ensive.

Majcr invasicn Of privacy.'

(iv) Cost:

(a)

.S.t, a'ccut s..Cv, per case. "

r e

(b)

CSC, abcu: 5725 per case.'"

(c) CCO, accut 5250 per case.'

E In the past few years, the effectiveness Of a full-fiaic 3I may have markedly decreased owing t: apcarently gr: wing reluctance of ;rivate citi: ens to cecperate with Feceral in.estiga: Ors. Merecver, bc:h :he BI and NAC have suffered by the refusai of s me s:2:ss (r.c: ably Cali-fcrnia and Massachuse::s) :: release arrest rec:rds unless a s:ecific cri=e is being investigated, ai:ncugn such refusal has a much lesser effect en fuli-field backgr:und investigatiens cwing :: -he a ility of the investiga: Ors to develop "scur:es".

Uncer the ; revision of the At:mic Energy Act of 1952, as amenced, the FBI ::nducts all fail-field background investiga-ica f:r NRC (anc ERCA) eccicyees.

Legisiaticn wculd ;r::adiy be required : ena:ie :ne 23:

Oc investigate licenses empicyees.

The sc e of ne F3: investiga:icn is the individuai's full adult if fe.

The Civil Ser/ ice C m:issien presen:1y ;erfer=s backgr:unc inves:i;a:icns f r nearly all Federal agencies, including these reques:ed ty NRC and ERCA for their c:n:racter sc;icyees.

The sc :e of the investiga-ion is usuai y limited :: -he os: recen: 5 :: 15 years.

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em !:yees, f:r whien i: has ax; iici: au:ncrity.

The c:s: #f;ure is :::'s bucge: estimate.

C:sts :: ace:her agency may te su:s:an:iaily grea:ar.

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.s statu!ss a-c Executive Crters it is twthcu: autacrity ::

ncuC i *Vis-i -

gati:ns in :ases rere classified infcrma:ica is nc: invcivec. Encicsure

'3

1261 071

P 0 0' D E l A l.

b.

PsyCholCCica

.ssessmen:

l e (1) Observational (i)

Cescription:

Superviscry personnel are trained to observe behavice of sa:cr-ina as and iden-ify cnanges in normal benavicr and/cr ap;earance of aberra: t behavior.

(11 adv antages ;

serY se"si ti ve.

rrcv1s.es Ccn:inua,l y

assess ent cf individuals.

(1*,,

_isadvantages:

.secuires raining ror vir:ua..i,y v

all levels of manage.:en:.

Places a hign degree of discretion in the hands of the employer.

May "a#'.",

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.v 2-.e2

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management, ultricui: c assure un,.rcrmity in.

a?clicatien of prcgram.

Re: raining recuired.

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shewn tc be capable of ide.ntifying caly these

- u a

types or oehavicr which wou<tw inmicate a ;c:antial a

for theft of 3'4M cr sabetage.

Can not be used to screen new hires.

(iv) Ccst: Assume a pian: wi:h 150 emolcyees, 25 cf whcm are in a su 9Pviscry catsscry.

A :ne week training ccurse given a, say, 't.;C heacquarcers c^u'id,.as _..." c

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P00RORIBK (2)

Clinical Evaluation

('i)

Description:

A psychiatric interview by a psychia-trist and a battery of psycnciogical tests admini-stered by a c!inicai psycnclegist.

(ii) Advantages:

Frevides a c:mplete accurate psycno-icgical descriptien of -he individual.

.tinimi:es possibility of false diagncsis.

Validity es aclisned.

(iii)

Of sadvantages:

Time c:nsuming (1 to 2 days f r examina:icn alene) and expensive.

Requires periedic upcata.

(iv)

Cost: The c st of a clinical examination is approximately $3C^ per ;erson.'

(3)

Psychciegical Testing (i)

Cescripticn: One or -uc standard psychciegical tests taken by the individual.

The resui:s are reviewed by a psychclogis for evidence of emc-tienal difficul ties.

If a ;csitive indica:ferr is she'an, the individual may be requested :: submit t: <t clinical evaluaticn.

(ii) Acvantages:

nex;ensive and usually relatively fas- (1-2 hours,'.

Will genera:e ;csitive resul:s in case of emotional distur:ance.

Tests have been validatad thrcugh ex ensive clinical use.

(iii)

Di sadvantages :

Err rs :n :ne side Of ::nservatism, f.e., pessibili y Of ;csitive res:cnse nen no ecc:icnal problem exis s.

Mence, a cifnical evalu-atien is required in 111 cases wnere a ;csitive incica icn is realized.

.lequires upda:e.

(iv)

Cest: Abcut 33 per :ast, ex:iusive cf ciinicai evaluatien.'

1 2 6 1 0 >,,'

T his figure is :asec n M ax:arience, :.f. Ene::scre

'T', ; age 5. Enclosure 5"

9 Other Me*.hCd5 (1)

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Polygraph (i)

Description:

Selectsd ques:icns are asked and the fa:ividual's physic!cgical res:enses are Observed.

( a.1 )

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(iii) Ofsacvan:2ges:

.Recuires utmes

are ar.d skili :n the par: cf :he examiner.

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3 hcurs per examina-icn, including pre-examina:ict interview).

. Net aiways admissible as evidence in a cour Of law.

Cen:reversiai.

C ngress is cen-sidering prescripcion against its use by ederal agencies for encicymene screening.

(ty)

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III. Other acency ?ractice 1.

Civil Service C:mmission The Civii Service Cc =issicn :erf:rms an.1AC f:r early ali

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'a which is structured Oc pr./ide both an objective and prcjective assessmen: cf perscna,il:y.

.- c r cl,.nical psychiatric and.nsyccc.certain pcsitions, a ccmplete icgical eva,iuation is perfccmed.

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surticient.

tr :ne persona...nis cry statement incicates any yc ' a.q *. i a l d i #. #. f e.u l e..v N..a. a.n,.= *.... '. n i.m...

..W. a i..d i v 4. ".$ 1 is interviewed.

The C~A decided tn empicy psychciogical evaluaticns aiong wit.h ccnventicnal security checks after an incident demcnstra:ed tha:

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,n individuals involve,. in -he incicen.

-..ne screening used.:y the CIA at that time was based u;ca a full-field 'cackgrcund investiga:icn wi:5 no ex; Iici: psychciegicai evaluation.

?resen:

CIA policy is that bcth security checks and a ;sychcicgical evalu-aticn (in scme fcrm) are needed fcr en effective screening ;r gram.

3.

National Security Acency The NSA's securi:y cr gram is similar tc that cf the CIA.

The ene salient difference is the NSA's use of :he celygra:n f:r all positiens.

Lika the CIA, an inciden: prcmpted ex;ansion cf :he security screening prcgram tc include psychciogical assessmen:.

,ccarcmen.: cr..erense u

The CCD administers a num:er cf perscnnel security r: grams

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1261 076

3 a

centrollers de not suffer frem emotional difficulties er ;cssass personality trai:s which '.~uld impair tne safe execution of their respcnsibilities.

The FAA uses the tas:s as a screening device.

If a positive indicatien is realized, a clinical psychiatric examination usually is cerf rmed.

Final de:amina-tien to reject an acpifcant for a ;csiticn as an air traffic controller on psychclegical grounds is never based en the results cf the tests alene, although the cif nical examinations have invariably c:nfirmed the results of the tests.

IV.

Major Features of ?recc3ed Rule 1.

Acclicability The preccsed rule wculd apply Oc individuals involved in the c:eraticn of nuclear ;cwer reac:crs, and individuals involvec in tne licensed processing, use, or stcrage of certain quantities of plut:nium, uranium-232, or high-enrichec uranium, or ne transper: of such quantities of such special nuclear ca:arial.

Incividuals who require unescar:ad ac: ass c special nuclear material Or within vital areas, who are in a ;csition := conspire with an individual who dces not ;cssess an NRC-U special nuclear material access authori:atien, who crive venicles or piict air-craft transporting SNM, whc escero ship.en s of SNM, cc whc monitor transfer ;cints wculd be required Oc cbtain an NRC-U s:ecial nuclear matarial access aucheri:ati:n.

Individnis pernit ac. unesc:rted ac: ass t0 pre acted areas wcuid be required tc cbtain at least NRC-R authori:stien.

2.

I ciementa ien The pre;csed rule would be implementac Over an eightsen-cen-h pericd.

3.

Fees I: is ex;ected : hat the licensee wiii : ear :ne ces: ef clearing empicyees:

5370 for an NRC-U clearance (5725 CSC charge - IC",

overnead) and 320 for an NRC-R clearance (55 CSC charge - Over-head).

1 Acminis:rati n The special nuclear ma:arial a::sss au-heri:a-icn :r:graa ::ui:

e acminis:ared :y the NRC Divisi:n :f Security, Offica :f Acmini-s ra-i:n.

The inves: iga:i ns, bc-h full-field an: NAC, ;resum-a::iy wculd be ::ncue:ad by the Civil service C:.nissi:n.

The

-la-Enciosure "I

1261 077

8 9

4

~ad.

b gffice of Inspection and Inforceent wiii c:nduct casite ins:ec-

[u n [cr ccmpilance wi-h -he licensee's a:preved security 1c

ian,

. alls not be anycived in ;33 3;p);;3.icn for or cranting of

~

NM access au.ncri:sticr..

s 1261 078

,I ~

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