ML20012F653
| ML20012F653 | |
| Person / Time | |
|---|---|
| Issue date: | 03/21/1990 |
| From: | Norry P NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML20012F650 | List: |
| References | |
| FRN-54FR38863, RULE-PR-11, RULE-PR-25, RULE-PR-95 AD28-2-7, NUDOCS 9004180078 | |
| Download: ML20012F653 (24) | |
Text
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AD28-2 f/AR ?,1 19@
MEMORANDUM FOR: James M. Taylor gg\\
Executive Director for Operations
'FROM:
Patricia G. Norry, Director
)
Office of Administration 7
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 final rule to be published in the Federal Register that amends 10 CFR Part 11 " Criteria and Procedures for Determining
(
i Eligibility for Access to or Control Over Special Nuclear Material," 10 CFR Part 25 " Access Authorization for Licensee Personnel " and 10 CFR Part 95
" Security Facility Approval and Safeguarding of National Security Information and Restricted Data."
Background:
On April 12, 1989, the EDO approved the addition of a credit check to the scope of tie initial investigation coverage required for an NRC "L" security clearance for NRC employees, contractors and other non-licensee personnel and also approved initiation of rulemaking to implement the same requirements for licensee "R" special nuclear material access authorizations and "L" clearances, as well as to recover the additional cost of each credit check.
The proposed rule was published in the Federal Register on September 21, 1989.
Four coments were received by the end of the coment period on November 21, 1989. A summary of the comments and the proposed response to them is addressed under "Public Coments" below.
-On November 30, 1989, subsequent to publication of the proposed rule,forcement the Federal Bureau of Investigation (FBI) notified all Federal non-law en agencies, including the NRC, that they would, effective January 1,1990, begin charging a $14.00 fee to process fingerprint cards related to security clearances.
Previously there had been no charge for this service. This means the cost to NRC for processing a licensee "R" special nuclear material access authorization or "L" security clearance is increased.
Because the fees NRC charges licensees for such clearances are dependent on NRC's costs to process them, it is necessary to increase the fees by an additional amount to recover these costs. Although this fee increase was not included in the proposed rule when it was published for public coment, it is not necessary to solicit public coment because it is non-discretionary.
NRC is obligated to pass such costs on to licensees under the legislation authorizing the Material Access Authoriza-tion Program and the Classified Safeguards Program.
Public Coments: On September 21, 1969, the proposed rule was published for coment (54 FR 38863). The coment period expired on November 21, 1989. Four comments were received from the public.
One of the coments supported the proposed changes and three disagreed with them. The three opposed to the proposed rule believed that the amendirents imposed an unwarranted intrusion into the privacy of tradespeople employed by power reactor ifcensees or at ac ME :
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EM WM M 90042aco7e 90o433 PDR-PR 11 04FR3SO63 PDRg
2 reactor sites and was overly broad in its application to all workers at nuclear
. power stations. Additionally, it was stated that (1) there were no procedures to ensure the privacy of the records that would be collected, (2) there were no standards for the evaluation of information that would be collected and (3) there was no established time limit on how far back information cculd be collected.
Because this rule only applies to individuals whc require access to classified information or access to or control over formula cuantities of special nuclear material, neither of which would normally be present at a power reactor site, it doet not create the situation they object to.
In those few cases where power reactor licensee personnel may be cleared for access to classified information it is restricted to a highly limited r. umber of management and security / safeguards related personnel.
To the best of staff's knowledge this rule will not apply to any tradesperson at any light water power reactor in the United States. This rule will, however, affect the one power reactor in the U.S. that uses high enriched uranium fuel. Fort Saint Vrain has some personnel with "L" security clearance. That reactor is perranently shut down and is attempting to downgrade its security program as scon as it can have the non.
self protecting fuel removed from the site (anticipated to be no later than the second quarter cf 1991).
Because this rule change is not retroactive, it will only apply to new clearance requests received af ter the effective date. The licensee is reducing its staff, therefore, the rule will have a small impact on this facility.
Although the three objections were clearly related to the presumed impact on tradespeople working at nuclear power plants, a situation not created by these amendments, we have reevaluated the concerns they raised.
First, investigating a person's background involves a degree of invasion of privacy and an additional check, such as the credit check addressed in this amendment, increases the impact. We believe that the national security anc public health and safety concerns for assuring the integrity, trustworthiness and reliability of individuals affected by these rules warrant these checks.
They are required for NRC employees. Second, there are procedures to ensure the privacy of records that may be collected under the provisions of these rule changes. They are protected from public disclosure under the prc,isions of the Privacy Act of 1974, as amended, and are subject to the routine uses and safeguards of NRC Systems of Records, System NRC.39, " Personnel Sec'.rity Files and Associated Records-NRC." Third,10 CFR Parts 11, 25 and 95, which are affected by these rule changes, indicate that any unfavorable inforration developed will be evaluated under the procedures and requirements of 10 CFR Part 10
- Criteria and Procedures for Determining Eligibility for Ac ess to Restricted Data or National Security Information or an Employment Clearance" or 10 CFR Part 11
" Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material." Fourth, and finally, the commenter is correct that there is no limit on the age of the records chat could be collected.
However, under the standards of 10 CFR Part 10 or 11, which would be used to evaluate such information, the age of the information would be relevant and decide the weight it would be given in any final decision.
It is, therefore, recommended that the rule be approved as proposed 'with the addition of the additional cost to cover FBI charges for processirg fingerprint cards).
FC AME :
ATE :
OFFICIAL FECORD COPY
J
- 3-
- r Notices
- A notice to the Conrnission that the Eb, has signed this rule is j
i enclosed for inclusion in the next Daily Staf f Nous (Enclosure C). Con.
J gressional Conrnittees will not be notified..The Of: *e of Administration will notify affected licensees and other interested persons of this rulemaking, j
4 Coordination:
The Division of Freedom of Information and Publications Services, Orrice of Administration, the Office of Nuclear Noterial Safety and Safeguards, the Of fice of Nuclear Reactor Regulation and the Office of Nuclear Regulatory Research concur in these amendments.
The Office of the General Counsel has no legal objection.
/s/ Raymond J. Brady Patricia G. Norry, Director Office of Administration O)
Enclosures:
d A.
Federal Register Notice o Final Rulemaking 8.
Regulatory Analysis C.
Daily Staff Notes item i
DISTRIBUTION:
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4 ENCLOSURE B L
i gGULATORYANALYSIS 1.
, Statement of Problem The investigative scope for licensee "R* special nuclear material access authori26 tion and "L" security clearance applicants needs to be expanded l
to include a credit check. While the current investigative scope provides
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important coverage of an individual's background, it does not provide i
information concerning an individual's financial situation..The NRC has found, based on actual ce.se experience, that an individual's financial difficulties may be an indicator or result of other, more serious, prob-t lems such as drug abuse, alcohol abuse, or dishonesty.
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The current fee schedules need to be changed to recover the additional cost of each initial credit check. They also need to be changed to reflect new federal Bureau of Investigation (FBI) fees for processing q
fingerprint cards, which are an integral part of access authorization and security clearance processing.
Otherwise, NRC would be subsidizing j
licensee applications for special nuclear material access authorizations and security clearances.
2.
Objective j
The objective of this regulatory initiative is to inform licensees and J
i others that (1) NRC is adding a credit check to the investigativt 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 which may cause them to be susceptible to pressures, blackmail, or coercion to act contrary to the national interest; and (3) it is necessary to revise the corresponding fee schedules to recover the additional cost of each credit check and FBI charges for processing 1
fingerprint cards.
3.
Alternatives There is no reasonable a'ternative to the revision of these regulations that would achieve the desired result.
4.
Consequences There are approximately 31 affected entities licensed by the NRC who require "R" and "L" special nuclear material access authorizations /
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 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 che additional cost is recovered, the NRC would be subsidizing licensee applications for special nuclear material access authorization / security clearance.
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s 5.
Decision Rationale i
The only available method of imposing this legitimate requirement on selected licensees is to revise 10 CFR Parts 11 25 and 95. Other p
avenues would lack the requisite formality ar.d Iegality necessary.-
6.
Implementation The Division of Security intends to publish the final rule amending 10 CFR Parts 11, 25 and 95 by March 1990, i
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Approved for Publication
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to develo) l
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The Commission delegated to the EDO (10 CFR 1.31(a)(3)) the authority (5 U.S.C. 531 l
and promulgate rules as defined in the Admir'istrative Procedure Act (4)) subject to'the limitations in NRC Manual Chapter 0103, Organization and i
i Functions Office of the Executive Director for Operations, paragraphs 0213, 038, 039, and 0310.
1 The enclosed rule, entitled " Credit Checks - Expanded Personnel Security investigativeCoverage,"willamendParts11,25,and95by(1)expandingthe i
investigative scope for licensee "R" special nuclear material access authort.
zation and "L" security clearance applicants by adding a credit check; and (2) revising the corresponding fee schedules to recover the additional cost of each l
credit check and cost of Federal Bureau of Investigation fingerprint card l
processing.
i F
This final rule does not constitute a significant question of policy, nor l
does it amend regulations contained in 10 CFR Parts 7, 8, or 9, Subpart C, con-cerning matters of policy.
I, therefore, find that this rule is within the scope of ny rulemaking authority and am proceeding to issue it.
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/9 k 1996 Date
/Ja s M. Taylpf, Executive Director
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for Operations i
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[7590-01)
.'o NUCLEAR REGULATORY COMMIS$10N 10'CFR Parts 11, 25 and 95 l
i RIN 3150 - AD28
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Credit Checks Expanded personnel k
Security Investigative Coverage j
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AGENCY:
Nuclear Regulatory Commission, j
ACTION:
Final rule.
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SUMMARY
- The Nuclear Regulatory Commission is amending its regulations to (1) expand the investigative scope for licensee "R" special nuclear material access t
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 and cost of newly imposed Federal Bureau of Investigation (FBI) fees for processing fingerprint cards. This amendment is necessary to achieve a higher degree of. assurance that licensee "R" and "L" 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.
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Effective Date:
(30 days after the date of publication in the Federal Register) l FOR FURTHER INFORMATION CONTACT: Duane G. Kidd, Division of Security, Office of Administration, U. S. Nuclear Regulatory Commission, Washington, DC 20555, telephone:
(301) 492-4127.
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SUPPLEMENTARY INFORMATION: 'On April 12, 1989, the Executive Director for t.
!6 Operations (EDO) approved the immediate addition of a credit check to the L
scope of the initial investigation coverage required for en NRC "L" security clearance for NRC employees, contractors, and other non-licensee personnel.
p The EDO also approved the Initiation of rulemaking to implement the same t
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 j
(OPM). While a NAC provides important coverage of an individual's background (e.g., FBI criminal history, fingerprint, and nere checks; record checks with OPM, the Department of Defense (D00), and other applicable agencies), it does not provide information concerning an individual's financial situation. The r
NRC, therefore, is amending its regulations to expand the present investigative scope for an "R" special nuclear material access euthorization and "L" security clearance by adding a credit check.
The addition of the credit check is necessary to achieve a higher degree of assurance that "R".and "L" licensee applicants are reliable, trust-worthy, and do not have any significant financial problems which may cause thera to be susceptible to pressure, blackmail, or coercion to act contrary to the national interest.
In October 1957, OPM added several significant financial questions to its SF-86, " Questionnaire For Sensi-tive Positions," which the NRC currently uses as a basis for its per-sonnel security investigations. OPM added these questions in order to i
identify security related concerns and possible exploitable weaknesses in a person's background.
In view of recent espionage for money cases, it i
is important to identify those individuals who have serious financial i
i difficulties and are, therefore, more susceptible to committing espionage j
or similar activities against the United States.
, i
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Fdrthermore, the NRC has found, based on actual case experience, that an i
individual's financial difficulties may be an indicator or result of other more serious problems such as drug abuse, alcohol abuse, or dishonesty.
r In addition to providing greater assurance of an *R" and "L" licensee L
applicant's eligibility, the credit check will achieve greater compara-L bility 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 requirement will also be more 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 of nuclear power plants.
On November 30, 1989, the FBI notified all federal non-law enforcement agencies, including the NRC, that they would, effective January 1,1990, begin charging a $14.00 fee to process fingerprint cards related to security clearances.
Previously there had been no charge for this service.
This means the cost to NRC for processing a licensee "R" special nuclear material access authorization and "L" security clearance is increased.
Because the fees NRC charges licensees for these clearances are dependent on NRC's costs to process them, it is necessary to increase the fees to recover these additional costs.
The applicable fee schedules have been revised to reflect the additional cost associated with the conduct of the credit check and the FBI fee for processing j
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fingerprint cards.
Specifically, the total fee for an NRC "R" special nuclear i
I material access authorization or "L" security clearance is increased from l
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$15.00 to $40.00.
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Public Coments On September 21, 1989, the proposed rule was published for comment (54 FR 38863).
The consnent period expired on November 21, 1989.
four comnents were received from the public. One comment, from a public interest law and policy foundation, supported the addition of credit checks to the investigations of individuals being considered for access to classified information or special nuclear materials.
This conenenter believed that individuals with serious credit problems created a higher risk to the security of such information and materials.
Two trade unions, whose members work for nuclear pcwer plants or are employed by contractors at such plants, and a private citizen, disagreed with the addition of a ' credit check to the investigations on the basis that it constituted an unwarranted invasion of the privacy of workers at nuclear power plants and was overly broad in its application to all workers at nuclear power stations.
Additionally, it was stated that (1) there were no-procedures to ensure the privacy of the records that would be collected, (2) there were no standards' 1
L for the evaluation of information that would be collected and (3) there was no established time limit on how far back information could be collected. All three of these concenters presumed that this rule applied to large numbers of workers at nuclear power stations.
This is not so. These rules only apply to individuals who are being considered for access to U.S. Government classified information or access to or control over formula quantities of Special Nuclear Material.
With the exception of Fort Saint vrain, which uses high enriched uranium fuel, classified information or formula quantities of Special Nuclear Material are not normally present at a commercial power reactor.
Fort Saint Vrain is permanently shut down and is reducin0 its staff. That licensee is j
attempting to dispose of its remaining non-self protecting high enriched fuel and, when it does that, will no longer be subject to these rules.
Until then 1.
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.it is possible that a-few additional security personnel (due to attrition, l
etc.) may need to be cleared. At other power plants there have been cases j
L.
where a few senior management and safeguards related personnel have been cleared for access to classified information.
Hc%ever, to the best of NRC's knowledge, these rules will not apply to any tradesperson at any commercial g
U.S. light water power reactor.
i t
Though the three objections were clearly celated to the presumed impact on tradespeople working at' nuclear power plants, a situation not created by these i
amendments, NRC has reevaluated the concerns they raised.
first, there is no question that any investigation of a person's background involves a degree of j
invasian of privacy, and an additional check, such as the credit check discussed in this amendment, increases the impact. The NRC has decided that the National Security and public health and safety concerns for assuring the integrity, trustworthiness and reliability of individuals wta have access to classified information or access to or control over formula quantities of Special Nuclear Material warrants these amendments. This is clearly evidenced by the fact that the checks are required for its own employees and are generally required throughout the U.S. Government. Second, there are procedures to ensure the privacy of, records that may be collected under the provisions of these rule changes. Specifically, such records are protected from public disclosure under the provisions of the Privacy Act of 1974, as anended, and are subject to the routine uses and safeguards enumerated for NRC Systems of Records, System NRC-39, " Personnel Security Files and Associated Records-NRC." Third, 10 CFR Parts.11, 25 and 95, which are affected by these rule changes, clearly indicate that any unf avorable information develcGed would be evaluated in conformance with the procedures and requirements of 10 CFR Part 10 " Criteria and Procedures for Determining Eligibility for Access to Restricted Data or i
'Nati:nal Security Information or an Employment Clearance" or 10 CFR Part 11
- Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material."
10 CFR Parts 10 and 11 have specific procedures both.for evaluating such information and for assuring due process for any individual about whom the NRC may develop adverse information.
- Fourth, and finally, the commenter is correct in the assertion that there is no limit on the age of the records that could be collected.
However, under the standards of 10 CFR Ports 10 or 11, which would be used to evaluate such information, the age of the information would be relevant and decide the weight it would be given in the final determination.
The NRC is, therefore, publishing this final rule as originally proposed (with the addition of provisions necessary to recover the cost of FBI charges for processing fingerprint cards.)
Environmental Impact:
Categorical Exclusion The NRC has determined that this regulation is the type of action described as a categorical exclusion in 10 CFR 51.22 (c) (1).
Therefore, neither an environ-mental impact statement nor an environmental assessment has been orepared for this final rule.
Paperwork Reduction Act Statement l
This final rule does not contain a new or amended information collection requirement subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 l-et. seq.).
Existing requirements were approved by the Office of Management and Budget, approval numbers 3150-0046, 3150-0047, and 3150-0062.
l Regulatory Analysis I
y
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1The Comission has prepared a regulatory analysis on this final f
regulation.
The analysis examines the costs and benefits of the alter-b natives considered by the Commission.
The analysis is available for i
1 inspection in the NRC Public Document Room, Room LL6, 2120 L Street, j
NW. (Lower Level), Washington, DC.
Single copies of the analysis may be obtained from Duane G. Kidd, Division of Security Office of Adminis-i tration, U. S. Nuclear Regulatory Comission, Washington, DC 20555, 3
i telephone:
(301) 492-4127.;
j.
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Regulatory flexibility Certification in accordance with the Regulatory Flexibility Act 5 U.S.C. 605(b), the f
-Commission certifies that this final rule does not havu a significant economic impact on a substantial number of small entities.
This rulemaking only applies r
i to those. licensees and others who need to use, process, store, transport, or deliver to a carrier for transport fortnula quantities of special nuclear material (as defined in 10 CFR Part 73) or generate, receive, safeguard, and store National 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, i
20 of these licensees, or other interests, have only a limited number of active 1
> clearances, e.g., one or two each, relating to classified safeguards activities.
Because these licensees are not classified as small entities as defined by the NRC's size standards (December 9,1985; 50 FR 50241), the Commission finds that this rule does not have a significant economic impact upon a substantial number of small entities.
Backfit Analysis 7-
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'. The NRC has determined that the backfit rule,10 CFR 50.109, does not apply to' 4
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this. final rule, and therefore, that a backfit analysis is not required for
' this final rule, because these amendments do not involve any provisions which i
would impose backfits as defined in 10 CFR 50.109(a)(1).
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List of Subjects 10 CTR Part 11 Hazardous materials - transportation, investigations, Nuclear materials, l
Reporting and recordkeeping. requirements, Security measures, Special nuclear material.
- Classified information, investigations, Penalty, Reporting and recordkeeping requirements, Security measures.
L 10 CFR Part 95 classified information, Penalty, Reporting and recordkeeping requirements, Security measures.
For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as
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anientled, and 5 U.S.C. 552 and 553, the NRC is adopting the following amend-ments to 10 CFR Parts 11, 25, and 95.
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' PART 11. CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL p
1.
The authority citation for Part 11 continues to read as follows:
l' t
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).
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Section 11.15(e) also issued under sec. 501, 85 Stat. 290 (31 U.S.C.
l 483a).
'L 2.
In i 11.7,, paragraph (d) is revisad to read as follows:
i 11.7 Definitions.
(d) "NRC
'R' special nuclear material access authorization" means l
an administrative determination based upon a national agency check and 1
credit investigation that an individual in the course of employment is eligible to work at a job falling within the criterion of 611.11(a)(2).
1 L
3.
In i 11.15, paragraphs (e)(1) and (f) are revised to read as follows:
i 11'.15 Application for special nuclear niaterial access authorization.
]
I,
r (e)(1) Each application for special nuclear roterial access authori--
g zation, renewal, or change in level must be accorpanied by the licensee's remittance, ' payable to the V. S. Nuclear Regulatory Comission, according l
c to the following schedule:
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(
1.
NRC-U requiring full field investigation
........................$2,415 ii. ' NRC-U requiring full field investigation (expedited processing)..$2,932 L
iii. NRC-U based on certification of comparable full field background f
I investigation
....................................................I
$0 l
iv.
NRC'-V or R renewal...............................................I
$40 NRC-R............................................................I $40 v.
vi.
NRC-R based on certification of comparable investigation........ 2 $0 If the NRC determines, based on its review of available data, that a g
tull field investigation is necessary, a fee of $2,415 will be assessed i
t prior to the conduct of the investigation.
2 If the'NRC determines, based on its review of available data, that a national agency check and credit investigation is necessary, 4 fee of $40,00 will be assessed prior to the conduct of the investi-l i
gation; however, if a full field investigation is deemed necessary by the NRC, based on its review of available data, a fee of $2,415 will be assessed prior to the conduct of the investigation.
(f)(1) Any Federal employee, employee of a contractor of a Federal agency, licensee, or other person visiting an affected facility for the purpose of conducting official business, who possesses an active NRC or DOE-Q access authorization or an equivalent Federal security clearance granted by another Federal agency (" Top Secret") based on a comparable
[p
% fv11 field bac6 ground investigation may be permitted, O acc rda:ce cith t
i 11.11, the sue Itvel of unescorted access that an NRC U special nucitar material access authuritation would afford.
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(2) Any federal employee, employee of a contractor of a federal
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agency, licensee, or other person visiting an affected f acility for the purpose of conducting official business, who possesses an active NRC or DOE L
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I access authorization or en equivalent security clearance granted by another j
i federalagency(*$ecret")basedonabackgroundinvestigationornational agency check and credit investigation may be permitted, in accordance with l
6 11.11, the same level of unescorted access that an NRC R special nuclear material access authorization would afford. An NTs0 or DOE L access authoriza.
tion or an equivalent security clearance (" Secret'), based on a background investigation or n6tional agency check, which was granted or being processr1 by another federal agency prior to [ effective date of final rule] is acceptable to meet this requirenent.
f i
4 Section 11.16 is revised to read as follows:
[
611.16 Cancellation of request for special nuclear material access authorization.
When a request for an individual's access authorization is withdrawn or cancelled, the licensee shall notify the Chief, Personnel Security Branch, NRC Division of Security intnediately, by telephone, so that the full field investi-e gation or national agency check and credit investigation may be discontinued.
The caller shall provide the full name and date of birth of the individual, the date of request, ar.d the type of access authorization originally requested ("U" or"R").
The licensee shall promptly submit written confirmation of the telephone l
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notification to the Personnel Security Branch, hRC Division of Security. A portion of the fee for the "US special nuclear u terial access authorization Ny be refunded dependihn upon the status of the full field investigation at i
the time of withdrawal or cancellation, f
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PART 25. ACCESS AUTHOR 12AT10N FOR tlCENS(( PERSONNEL l
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6.
The authority citation for part 25 continues to read as follows:
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AUTHORITY: Secs.145,161, 68 Stat. 942, 948, as amended (42 U.S.C.
2165, 2201), sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841); E.O.
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10865, as amended, 3, CFR 1959-1963 COMP., p. 398 (50 U.S.C. 401, note),
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[.0.12356, 47 FR 14874, April 6,1982, j
f Appendix A also issued under 96 Stat.1051 (31 U.S.C. 9701).
[
i for the purpota of sec. 223, 68 Stat. 958, as amended (42 U.S.C.
l 2273), il 25.13, 25.1/(a), 25.33(b) ar.J (c) are issued under sec.1611, l
t 68 Stat. 949, as amended (42 U.S.C. 2201 (i)), and il 25.13 and 25.33(b) j are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
- 6..In i 25.5 the definition of "L" is revised to read as follows:
i i 25.5 Definitions.
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t "L" access authorization means an access authoriz6 tion granted by the Commission which is normally based on a national agency check and i
credit investigation (NAC&C) or national agency check, inquiries and l'
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Section 26,26 is revised to read as follows:
l 25.26 Cancellation of requests for access authorization, i
When a request for an individual's access authorization is with.
drawn or cancelled, the requester shall notify the NRC Division of f
i Security immediately, by telephone, so that the full field investi-gation or national agency check and credit investigation may be l
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.
l ration originally requested ("Q" or "L").
The telephone notification must be promptly confirmed in writing, i
8.
Appendix A is revised to read as follows:
i Appendix A Fees for NRC Access Authorization Category fee I
Initial "L" Access Authorization...............................
!40 I
Reinstatement of "L" Access Authorization......................
!40 I
Extension or Transf er of "L" Access Authorization..............
!40 Initial "Q" Access Authorization...............................
$2,415 t
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W 1:1t141 'Q7' AccessAuthorization(expeditedprocessing)............... $2,932 Reinst a tement of *Q" Ac ce s s Au t hor it a t ion...........................
$p,43$
Reinstatement of 'Q" Access Authoritation 7
(expedited processing)....................................
$2,932 2
E x t en s ion or T ra ns f e r o f *Q"...................................
52,415 2
ExtensionorTransferof'Q"(expeditedprocessing)............
$2,932 I If the NRC determines, based on its review of available data, that a full field investigation is necessary, a fee of 12.415 i
y111 be assessed prior to the conduct of the investigation, full fee will only be charged if investigation is required.
PART 95 - SECURITY FACILITY APPROYAL AND SAFEGUARDING Of NATIONAL SECURITY INFORMATION AND RESTRICTED DATA
- 9. The authority citation for Part 95 continues to read as follows:
i AUTHORITY:
Secs.145,161, 68 Stat. 942, 948, as amended (42 U.S.C.
2165, 2201); sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841); E.O.
j 10865, as amended. 3 CfR 19591963 COMP., p. 398 (50 U.S.C. 401, note);
1 E.0. 12356, 47 FR 14874, April 6, 1982, i
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(i)).
10.
In 6 95.5 the definition of *L" is revised to read as follows:
6 95.5 Definitions.
"L" access authorization means an access authorization granted by I
the Commission which is normally based on a national agency check and l
Credit investigation (NAC&C) or national agency check, inquiries and l
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==ig credit'. investigation (NACIC)' conducted by the Of fice. of Personnel c.
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. Dated at Rockville, Maryland this _ day of
_, 1990..
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for the Nuclear Regulatory Connission.
f' James M. Taylor, Executive Director l
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for Operations t,
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[NCLOSURE B, REGULATORY ANALYSIS 1.
Statement of Problem The investigative scope for liccccc "R" special nuclear material access authorization and "L" security clearance applicants needs to be expanded to include a credit check. While the current investigative scope providec important coverage of an individual's background, it does not provide information concerning an individual's financial situation. The NRC has found, b6 sed on actual case experience, that an individual's financial cifficulties 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 l
cost of each initial credit check. They also need to be changed to reflect new federal Bureau of Investigation (FBI) fees for processing fingerprint cards, which are an integral part of access authorization and security clearance processing. Otherwise, NRC would be subsidizing licensee applications for special nuclear material access authori:ations and security clearances.
2.
Objective The objective of this regulatory initiative is to inform licensees and others that (1) NRC is adding 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 which may cause them to be susceptible to pressures, blackmail or coercion to act contrary to the national interest; and (3) it Is necessary to revise the corresponding fee schedules to recover the additional Cost of each credit check and FBI charges for processing fingerprint cards.
3.
Alternatives There is no reasonable alternative to the revision of these regulations that would achieve the desired result.
4.
Consequences There are approximately 31 affected entities licensed by the NRC who require "R" and "L" special nuclear material access authorizations /
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 do not have any significant financial problems which may cause them to be l-susceptible to pressures, blackmail, or coercion to act contrary to the I
national interest.
Additionally, unless the additional cost is recovered, the NRC w?uld be subsidizing licensee applications for special nuclear material access authorization / security clearance.
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Decister. Rationale The only available method of iniposing this legitimate requirement on selected licenseen is to revise 10 CFR Parts
.1 25 and 95. Other avenues would lack the requisite formality and legality necessary.
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Inelementation f.
The Division of Security intends to publish the final rule amending 10 CFR Parts til. 25 and 95 by March 1990, i
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I O
e ENCLOSURE C l-DAILY STAFT NOTES Off!CE Of ADMINISTRATION Final Rule Signed by the EDO On _
, the Executive Director for Operations approved a final rule that amends 10 CFR Part 11, " Criteria and Procedures for Determining Eligibility t
for Access to or Control Over Special Nucitar Material," 10 CFR Part 25
" Access Authorization for Licensee Personnel
- and 10 CFR Part 95,
- Security f acility Approval and Safeguarding of National Security Information and Restricted Data.
The amendments will (1) expand 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 and federal Bureau of Investigation charges for processing fingerprint cards.
This notice informs the Commission that, in accordance with the rulemaking authority delegated to the EDO, the EDO has signed this final rule and proposes to forward it on to the Office of the federal Register for publication, unless otherwise directed by the Commission.
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