ML19332C738
| ML19332C738 | |
| Person / Time | |
|---|---|
| Issue date: | 09/06/1989 |
| From: | Norry P NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML19332C415 | List: |
| References | |
| FRN-54FR38863, RULE-PR-11, RULE-PR-25, RULE-PR-95 AD28-1-7, NUDOCS 8911280490 | |
| Download: ML19332C738 (20) | |
Text
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Pmz James). Taylor 8
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f MEMORANDUM FOR:
Acting Executive Director for Operations FRON:
Patricia G. Norry, Director Office of Administration
SUBJECT:
AMENDMENTS TO 10 CFR PARTS 11, 25 and 95 TO EXPAND THE PERSONNEL SECURITY INVESTIGATIVE COVERAGE AND REVISE FEE SCHEDULES Enclosed for your signature is a proposed rule to amend 10 CFR Part 11. " Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material," 10 CFR Part 25, " Access Authorization for Licensee Personnel,"
i and to make a conforming change to 10 CFR Part 95, " Security facility Ap and Safeguarding of National Security Information and Restricted Data." proval On April 12,'1989, the E00 approved the immediate addition of a credit check to the scope of the initial investigation coverage required for an NRC "L" security clearance for NRC employees, contractors, and other non-licensee 3ersonnel.
The EDO also approved the initiation of rulemaking to implement tie same investi-gative scope change for "R" and "L" licensee applicants and to recover the additional cost of each credit check. Accordingly, this proposed rule would amend our regulations by expanding the ) resent investigative scope for licensee "R" special nuclear material access aut1orization and L" security clearance applicants by adding a credit check and would revise the corresponding fee I
schedules to recover the additional cost of each credit check.
Congressional comittees will not be informed of these actions. A public anncuncement will not be prepared.
I A note,regarding the issuance of this proposed rule will be included in the next weekly report to the Comission.
Ortsinalafened tg f l
Patricia G. Norry /
l Patricia G. Norry, Director Office of Administration l
Enclosure:
A.
Federal Register Notice of Final Rulemaking 8.
Regulatory Analysis.
C.
Draf t Daily Staff Notes Item DISTRIBUTION:
l SCF: LRD 3.00.00 MCF: Nona P. G. Norry, D/ADM LRD 3.00.05 D/SEC R/F H. L. Thompson, Jr., DEDS LRD 3.00.09 PERSEC R/F M J. Voegele 0GC LRD 3.00.17 E00 R/F T. L. Meyer, RPB E. S. Beckford, RES R. F Burnett, HMSS
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FDF8 Approved for Publication
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The Consission delegated to the ED0 (10 CFR 1.31(a)(3)) the authority to develop i
and promulgate rules as defined in the Administrative Procedure Act L5 U.S.C.
551 d4)) subject to the limitations in NRC Nanual Chapter 0103, Organization and Functions, Office of the Executive Director for Operations, paragraphs 0213, 038, 039, and 0310.
The enclosed rule, entitled, " Credit Chec.ks - Expanded Personnel Security i
Investigative Coverage," will amend Parts 11 25 and95by(1)expandingthe investigativescopeforlicensee"R"special,nuclearmaterialaccessauthort-zation and "L" security clearance applicants by adding a credit chect; and (2) revising the corresponding fee schedules to recover the additional cost of each credit check.
This proposed rule does not constitute a significant question of policy, hor does it amend regulations contained in 10 CFR Parts 7, 8, or 9 Subpart C con-carning matters of policy.
I, therefore, find that this rule is within the i
scope of my rulemaking authority and am proceeding to issue it.
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or Operattins, Acting Executive Director Date a
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ENCLOSURE A
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. NUCLEAR REGULATORY COMMISSION 10 CFR Parts 11, 25 and 95 RIN 3150 - AD28 Credit Checks - Expanded Personnel Security Investigative Coverage AGENCY: Nuclear Regulatory Comission.
ACTION: Proposed rule.
SUMMARY
- . The Nuclear Regulatory Comission proposes to amend its regulations to (1) expand the investigative scope for "R" special nuclear material access authorization and "L" security clearance applicants by adding a credit check; and (2) revise the corresponding fee schedules to recover the additional cost of each credit check. This amendment is necessary to achieve a higher degree of assurance that "R" and "L" i
applicants are reliable, trustworthy, and do not have any significant financial problems which may cause them to be susceptible to pressures, blackmail, or coercion to act contrary to the national interest.
1 DATE: Coment period expires Coments received af ter this date will be considered if it is practical to do so, but the Comis-sion is able to assure consideration only for coments received on or before this date.
ADDRES$ES: Mail written comments to: Secretary, U. S. Nuclear Regulatory Comission, Washington, DC 20555, ATTENTION: Docketing and Service Branch.
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ADa$-l Deliver Coments to:
11555 Rockville File, Rockville, Maryland,
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between 7:30 a.m. and 4:15 p.m. Federal woridays.
Copies of the regulatory analysis and coments received may be examined at: Room LL6, 2120 L Street, NW. (Lower Level), Washington,
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DC.
FOR FURTHER INFORMATION CONTACT: Beth Brad: haw, Personnel Security Branch, Division of Security, Office of Administration, U. S. Nuclear Regulatory Comission, Washington, DC 20555, telephone:
(301) 492-4120.
SUPPLEMENTARY INFORMATION:
On April 12, 1989, the Executive Director for Operations (EDO) approved the imediate addition of a credit check to the scope of the initial investigation coverage required for en hkC "L"
- ecurity clearance for NRC employees, contractors, and other non-licensee personnel. The ED0 also approved the initiation of rulemaking to implement the same investigative scope change for "R" and "L" licensee applicants.
The current investigative coverage for "R" and "L" applicants normally consists of a National Agency Check (NAC) conducted by the Office of Personnel Management (OPM). While a NAC provides important coverage of an individual's background (e.g., FBI criminal history fingerprint and name checks; record checks with OPM, the Department of Defense (000) and other applicable agencies), it does not provide information concerning an incividual's financial situation. NRC proposes, therefore. to o pand the present investigative scope for an "R" special nuclear material access authorization and "L" security clearance by adding a credit check.
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AOBS-l The addition of the credit check is necessary to achieve a higher degree of assurance that "R" and "L" applicants are reliable, trustworthy, and 1
do not have any significant financial problems which may cause them to be susceptible to pressures, blackmail, or coercion to act contrtry to thi. national interest.
In October 1987, OPM added several significant financial questions to its SF-86, " Questionnaire for Sensitive Positions,"
which the NRC currently uses as a basis for its personnel security investigations. OPM added these questions in order to identify security related concerns and possible exploitable weaknesses in a person's back-ground.
In view of recent espionage for money cases, it is important to identify those individuals who have serious financial dif ficulties and are, therefore, more susceptible to consniting espionage or similar activities against the United States, t
furthermore, NRC has found, based on actual case experience, that an individual's financial difficulties may be an indicator or result of other more serious problems such as drug abuse, alcohol abuse, or dishonesty.
In addition to providing greater assurance of an "R" and "L" applicant's eligibility, the credit check will achieve greater comparability between NRC's requirements and those of the Department of Energy and other agencies which require the credit check for their "L" and Secret clearances.
The proposed requirement will be n. ore consistent with the investigative coverage proposed in the Nuclear Management and Resources Council (NUMARC) guidelines for licensee personnel with unescorted access to protected and vital areas ef nuclear power plants.
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.4 The applicable fee scheoules will be revised to reflect the additional cost associated with the conduct of the credit check.
Specifically, the fee for an hRC "R" special nuclear material access authorization or "L" security clearance will increase from $15.00 to $25,00.
Environmental Impact: Categorical Exclusion The NRC has determined that this proposed regulation is the type of action described as a categorical exclusion in 10 CFR 51.22 (c) (1).
Therefore, neither an environmental impact statement nor an environ-mental assessment has been prepared for this proposed rule.
Paperwork Reduction Act Statement This proposed rule does not contain a new or amended information collection requirement subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et. seq.) Existing requirements were approved by the Office of Management and Budget, approval numbers 3150-0046, 3150-0047, j.
and 3150-0062.
Regulatory Analysis l
The Conrnissicn has prepared a regulatory analysis on this proposed regclation.
The analysis examines the costs ana benefits of the alter-natives considered by the Conrnission.
The analysis is available for j
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m inspection in the NRC Public Document Room, Room LL6, 2120 L Street, NW.(LowerLevel), Washington,DC. Single copies of the analysis may be obtained from Beth Bradshaw, Division of Security, Office of Adminis-tration, U. S, Nuclear Regulatory Commission, Washington, DC 20555, telephone:
(301)492-4120.
i Regulatory flexibility Certification Based upon the information available at this stage of the rulernaking proceeding and in accordance with the Regulatory flexibility Act, 5 U.S.C.
4 605(b), the Cor.snission certifies that, if promulgated, this rule will not have a significant econcinic impact on a substantial number of small entities.
This rulemaking activity applies only to those licensees and others who need to use, process, store, transport, or celiver to a carrier
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for transport formula quantities of special nuclear material (as defined in 10 CFR Part 73) or scnerate, receive, safeguard, and store National 1
Security Information or Restricted Data (as defined in 10 CFR Part 25).
Approximately 31 NRC licensee and other license related interests would be affected under the provisions of 10 CFR Parts 11 and/or 25. However, 20 of these licensee or other interests heve only a limited number of active clearances, e.g., one or two each, relating to safeguards activities. Because these licensees are not classified as small entities as defined by the NRC's size standards (Decerber 9,1985;50FR50241),
the Commission finds that this rule will not have a significant economic impact upon a substantial number of sir.all entities.
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f Mdf-l Backfit Analysis The NRC has determined that the backfit rule,10 CFR 50.109, does not apply te this proposed rule, and therefore, that a backfit analysis is not required for this proposeo rule, because these amendments do not involve any provisions which would inipose backfits as defined in l
List of Subjects 10 CFR Part 11 Hazardous materials - transportation, Investigations, Nuclear materials, Reporting and recordkeeping requirements, Security neasures, Special nuclear material.
10 CFR Part 25 Classified information, Investigations, Penalty, Reporting and recordkeeping requirements, Security measures.
10 CFR Part 95 Classified information, Penalty, Reporting and recordkeeping require-rents, Security measures.
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for the reasons set out in the preamble and under the authority of.
1 the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 U.S.C. 553, the NRC is proposing to adopt the following amendments to 10 CFR Parts 11, 25, and 95.
PART 11 - CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL 1.
The authority citation for Part 11 continues to read as follows:
AUTHORITY: Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
Section 11.15(e) also issued under sec. 501, 85 Stat. 290 (31 U.S.C.
483a).
1 2.
In 6 11.7 paragraph (d) is revised to read as follows:
6 11.7 Definitions.
e (d) "NRC
'R' special nuclear material access authorization" means an administrative determination based upon a national agency check and credit investigation that an individual in the course of employrmnt is eligible to work at a job falling within the criterion of 611.11(a)(2).
3.
In 611.15 paragraphs (e)(1) and (f) are revised to read as follows:
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911.15 Application for special nuclear material access authorization.
(e)(1)Eachapplicationforspecialnuclearmaterialaccessauthori-zation, renewal, or change in level must be accompanied by the licensee's rcmittance, payable to the U. S. Nuclear Regulatory Consnission, according to the following schedule:
NRC-U requiring full field investigation ------------------ $2,127 1.
NRC-U requiring full field investigation (expedited processing) ii.
$2,645 111. NRC-U based on certification of comparable full field background 20 investigation ----------------
1 iv. hRC-U or R renewel -----------
25 I
v.
NRC-R ------------------------
25 NRC-R based on certification of comparable investigation -- - 2 0
vi.
I If the NRC determines, based on its review of available data, that a full field investigation is necessary, a fee of $2,127 will be assessed prior to the conduct of the investigation.
l If the NRC determines, based on its review of available data, 2
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that a national agency check ar.d credit investigation is necessary, a fee of $25.00 will be assessed prior to the conduct of the investi-gation, however, if a full field investigaticn is deemed necessary by the NRC based on its review of available data, a fee of $2,127 will be assessed prior to the conduct of the investigation.
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(f)(1) Any federal employee, employee of a contractor of a federal agency, licensee, or other person visiting an affected facility for the purpose of conducting official business, who pcssesses an active NRC or DOE-Q access authorization or an equivalent federal security clearance granted by another Federal agency (" Top Secret") based on a comparable full field background investigation may be permitted in accordance with 9 11.11 the same level of unescorted access that an hRC-U special nuclear material access authorization would afford.
(2) Any Federal employee, employee of a contractor of a federal agency, licensee, or other person visiting an affected facility for the purpose of conducting official business, who possesses an active NRC or DOE-L access authorization or an equivalent security clearance granted by another Federal agency (" Secret") based on a background investigation or national agency check and credit investigation may be permitted in accordance with 9 11.11 the same level of unescorted access that an hRC-R special nuclear material access authorization kould afford. An NRC or 00E-L access authorization or an equivalent security clearance 1
(" Secret"), based on a background investigation or national agency check, which was granted or being processed by another Federal agency priorto[datefinalruleispublishedinthefederalRegister)is
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acceptable to meet this requirer.ent.
4.
Section 11.16 is revised to read as follows:
611.16 Cancellation of request for special nuclear material access j
authorization.
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When a request for an individual's access authorization is with-drawn or cancelled, the licensee shall notify the Chief Personnel
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Security Branch, NRC Division of Security innediately, by telephone, so that the full field investigation or national agency check and credit investigation may be discontinued. The caller shall provide j
the full nane and date of birth of the individual, the date of request,
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and the type of access authorization originally requested ("U" or "R").
The licensee shall promptly submit written confirmation of the telephone notification to the Personnel Security Branch, NRC Division of Security.
A portion of the ' fee for the "U" special nuclear riaterial access authori-zation may be refunded depending upon the status of the full field
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investigation at the time of withdrawal or cancellation.
I PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL j
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The authority citation for Part 25 continues to read as follows:
l AUTHORITY: Secs. 145, 161, 68 Stat. 942, 948, as amended (42 U.S.C.
L 2165, 2201); sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841); E.O.
10865,asamended,3CFR1959-1963 COMP.,p.398(50U.S.C.401, note);
E.O. 12356, 47 FR 14874, April 6, 1982.
Appendix A also issued under 96 Stat. 1051 (31 U.S.C. 9071).
1 For the purposes of sec. 223, 68 Stat. 958 as amended (42 U.S.C.
2273), il 25.13, 25.17(a), 25.33(b) and (c) are issued under sec. 1611, L
68 Stat. 949, as amended (42 U.S.C. 2201 (1)); and 66 25.13 and 25.33(b) are issted under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
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In i 25.5 the definition of "L" is revised to read as follows:
i 25.5 Definitions.
"L" access authorization means an access authorization granted by the Comission which is normally based on a national agency check and credit (NAC&C) investigaticn or national agency check, inquiries and credit (NACIC) investigation conducted by the Office of Personnel 1
Management.
7.
Section 25.25 is revised to read as follows:
i 25.25 Cancellation of requests for access authorization.
When a request for an individual's access authorization is with-drawn or cancelled, the requester shall notify the NRC Division of Security imediately, by telephone, so that the full field investi-gation er national agency check and credit investigation may be discontinued. The caller shall supply the full name and date of birth of the individual, the date of request, and the type of access authori-zation originally requested ("Q" or "L*).
The telephone notification must be promptly confirmed in writing.
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Appendix A is revised to read as follows:
Appendix A - Fees for NRC Access Authorization r
Category Fee 1
Initia l "L" Access Authoriza tion............................ I$25 Reinstatement of "L" Access Authorization.................. I$25
^
Extension or Transfer of "L" Access Authorization........... I$25 Initia l "Q" Access Authorization............................. $2,127 Initial "Q" Access Authorization (expedited processing)....... $2,645 Reinstatement of "Q" Access Authorization................... 2$2,127 Reinstatement of "Q" Access Authorization (expedited processing)................................... 2$2,645 Ex tens ion or Tra nsfer o f "Q".........,..................... 2$2,127 Extension or Transfer of "Q" (expedited processing)........ 252,645 I If the NRC determines, based on its review of available data, that a full field investigation is necessary, a fee of $2,127 L
will be assessed prior to the conduct of the investigation.
2 Full fee will only be charged if investigation is required.
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l PART 95 - SECURITY FACILITY APPROVAL AND' SAFEGUARDING OF NATIONAL SECURITY INFORMATION AhD RESTRICTED DATA
- 9. The authority citation for Part 95 continues to read as follows:
AUTHORITY: Secs. 145, 161, 88 Stat. 942, 948, asamended(42U.S.C.
2165, 2201); sec. 201, 88 Stat.1242, as anended-(42 U.S.C. 5841); E.O.
h 10865,asamended,3CFR1959-1963 COMP.,p.398(50U.S.C.401, note):
E.O. 12356, 47 FR 14874, April 6, 1982.
For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C.
2273); il 95.13, 95.15(a), 95.25, 95.27, 95.29(b), 95.31, 95.33, 95.35, 95.37, 95.39, 95.41, 95.43, 95.45, 95.47, 95.51, 95.53, and 95.57 are also issued under sec. 1611, 68 Stat. 949, as amended (42 U.S.C. 2201(1)).
10.
In i 95.5 the definition of "L" is revised to read as follows:
6 95.5' Definitions.
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t "L" access authorization means an access authorization granted by i
the Commission which is normally based en a national agency check and i
credit investigation (NAC&C) or national agency check, inquiries and credit (NACIC) investigation conducted by the Office of Personnel Nar.agement.
P' Dated at Rockville, Maryland this day of
. 1989 for the Nuclear Regulatory Commission.
James M. Taylor, Acting Executive Director for Operations.
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t Approved for Publication The Consnission delegated to the E00 (10 CfR 1.31(a)(3)) the authority to develop and promulgate rules as defined in the APA (5 U.S.C. 551 (4)) subject to the limitations in NRC Nanual Chapter 0103, Organization and functions, Of fice of the Executive Director for Operations, paragraphs 0213, 038, 039, and 0310.
The enclosed rule, entitled " Credit Checks - Expanded Personnel Security Investigative Coverage,* will amend Parts.11, 25, and 95 by (1) expanding the investigative scope for *R* special nuclear material access authcrization and "L" security clearance applicants by adding a credit check; and (2) revising the corresponding fee schedules to recover the additional cost of each credit check.
This proposed rule does not constitute a significant question of policy,- nor does it amend regulations contained in 10 CFR Parts 7, 8, or 9 Subpart C cone cerning matters of policy.
I, therefore, find that this rule is within the i
scope of ny rulemaking authority and am proceeding to issue it.
Date James M. Taylor, Acting Executive Director for Operations
7 ADn -l ENCLOSUREB[Ok REGULATORY ANALYSIS n
1:
1.
Statement of Problem The investigative scope for licensee "R" special nuclear material access i
authorization and "L" security clearance applicants needs to be expanded to include a credit check. h'hile the current investigative scope provides important coverage of an individual's background, it does not provide information concerning an individual's financial situation. The NRC has found, based on actual case experience, that an indivioual's financial difficulties may be an indicator or result of other more serious prob-
.lems such as drug abuse, alcohol abuse, or dishonesty.
The current fee schedules need to be changed to recover the additional cost of each initial credit check. Otherwise, NRC would be subsidizing licensee applications for special nuclear material access euthorizations
.and security clearances.
2.
7bjective The objective of this regulatory initiative is to inform licensees and others that (1) NRC proposes to add a credit check to the investigative scope for licensee "R" special nuclear material access authorization and "L" security clearance applicants; (2) the amendment is necessary to achieve a higher degree of assurance that "R" and "L" applicants are re-liable, trustworthy, and do not have any significant financial problems i
which may cause them to be susceptible to pressures, blackmail, or coercion to act contrary to the national interest; and (3) it is
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necessary to revise the corresponding fee schedules to recover the i
additional cost of each credit check.
1 3.
Alternatives i
i There is no reasonable alternative to the revision cf these regulations that would achieve the desired result.
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Consequences j
There are approximately 31 affected entities licensed by the NRC who require "R" and "L" special nuclear material access authorizations /
j security clearances to permit them access to or control over special nuclear material and/or classified information. Unless the credit check is added to the investigative scope, NRC will not achieve a higher level of assurance that "R" and "L" applicants are reliable, trustworthy, and 1
do not have any significant financial problems which may cause them to be susceptible to pressures, blackmail, or coercion to act contrary to the national interest. Additionally, unless the additional cost is recovered, the NRC would be subsidizing licensee applications for special nuclear material access authorizations / security clearance.
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Decision Rationale-i f
The only available method of imposing this legitimate requirement on selected licensees.is to revise 10 CFR Parts 11 25 and 95.
Other avenues would lack the requisite formality and legality necessary.
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Implementation h
L The Division of Security intenes to publish a proposal rule by September 1989.
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kQf-ENCLOSUREC[Ok DAILY STAFF NOTES 0FFICE OF ADMINISTRATION ProposedRule-ShnedbytheActingEDO On
, the Acting Executive Director for Operations approved a proposed rule that amends 10 CFR Part 11, ' Criteria and Procedures for setermining Eligibility f or Access to or control Over Special Nuclear Naterial,"
10 CFR Part 25, " Access fothorization for Licensee Personnel" and 10 CFR Part 95, " Security facility Approval and Safeguarding of National Security Information and Restrictea D&ta." The amendments will (1) expant the initial' investigative scope for "R" special nuclear material access authorization and "L" security clearance applicants by adding a credit check; and (2) revise the corresponding fee schedules to recover the additional cost of each credit check.
This notice informs the Comissicn that, in accordance with the rulemaking authority delegated to the EDO, the ED0 has signed this proposed rule and proposes to forward it on to the Office of the Federal Register e
for publication, unless otherwise airected by the Comission, l
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