ML20033C752

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Request for OMB Review & Supporting Statement Re 10CFR11, Criteria & Procedures for Determining Eligibility for Access to Control Over Snm. Estimated Respondent Burden Is 1,097-h
ML20033C752
Person / Time
Issue date: 11/17/1981
From: Donoghue D, Scott R
NRC OFFICE OF ADMINISTRATION (ADM)
To:
Shared Package
ML20033C750 List:
References
NUDOCS 8112040097
Download: ML20033C752 (5)
v • d • e


Text

7.

.P REZUEST FOR CMB REVIEW f.

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(Und:t th2 Paperw:rk Reduction Act and Ex:cutiva Ord:t 12291)

Important - Re:d instructi:ns (SF-83 A) befora compl: ting this Offics of Information end RIgul: tory Affrirs form. Submit the required number of copies of SF 83.together Offsce of Management and Budget with th] material for which review is requested to:

Washington. D C. 20503

1. Dep;rtment/ Agency and Bureau / Office originating request
3. Name(s) and telephone number (s) of person (s) who can best answer questions regarding request U.S. Nuclear Regulatory Commission Chid Cameron 443-5981 2.6-dignt Agency / Bureau number (firstpart of 11 digst Treasury 4.3-digst f unctnonal code (last part of 11-digst Treasury Account Acc:unt No.)

No.)

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b.5. Tat l3 ct Informatnon Collectson or Rufemaking.

C. Is this a rulema kong submission under Section 3504 th) of P.L. 96-5117 (Check one)

Criteria and Procedures for Determining t d No (Section 3507 submission)

Eligibility for Access to Control Over Special Nuclear Material,10 CFR 11- -

20 Yes.NPRM. Expecteddateof pubhcation:

30 Yes fsnalrute. Expected date of pubhcation:

..,6. A.ls cny ontormation collection (reporting or recordkeepong):

.. Involved? (Check one)

Effective date:

D. At what phase of rulemakmg is this submission made?

.1 IX Yes and proposal is attached for review

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n 2 D Yes but proposalis not attached - skip to question D..

1)d Not applicable 3 O No ;- skin to cuestion D.

m G Ara the respondents primartly educationalagencies or :

20 Maior rule at NPRM stage Lf instituttons oris the purpose related to Federal education 30 Maior Final rule for which no NPRM was published TV programs ?

4 O Major Final rule, after publication of NPRM I'

O Yes d No 5 O Nonmajor rule, at NPRM stage 6 O Nonmajor rule at Final stage COMPLETE SH ADED PORTION IF INFORM ATION COLLECTION PROPOS AL IS ATTACHED 7.Currsnt (or former) OMB Number 8: Requested P

12. Agency report form number (s)

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Expiration Date -

3150-0062 None

13. Are respondents only Federal agencies? c. f. _ Q j

[,Expiption Date s

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12/31/81 12/31/84 M T es 3 N NbdN M

D!!s ~ proposed information coIIectl6n listed in"*7 C'qNMfEM 14. Type of request.(Check one)MW S LN"SCf Aj

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$11; Number of report forms submitted for approval W

5 0 extension (no chartge)

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None

' 6 0 reinstatement (expored within 6 ma schs)

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16. Classification of Change in Burden (erplain in supporting statement)
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' No.of Reporting Hours.. Cost to the Public

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Standard Form 83 (Rev. 3-81)

PDR ORG EUSOMB For Use Beginning 4/1/81 PDR.

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TCAbstsact-Ne:ds cn2 Uses (50 words crI:ss)

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Cpv rs th2 application, reporting and rccordk:: ping r;quirements associat:d with cstablished prograra regarding the criteria and proc:dures for determining 1 access.to and control over special

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nuclear material.

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18. R;l t d report form (s) (give OMB number (s) IRCN(s),A* ~,
20. Catalog of Federal Dorr'estic Assistance Program Number
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. int:rn:Ia gency report form number (s) or symbol (s));

N/A NRC Form 1 (3150-0048) and NRC Form 237

21. Small business or organization O Yes R No s

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& Typ3 of af f e'cted public (Check as many as apply)

'22. Type of activity of affected public--indicate 3-digit Standard

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10,"' check 1 O individuals orhouseholds O Multiple or O All 2 O state orlocalgovernments I

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4Q businesses or otherinstitutions (except farms)

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23. Bri2f discription of af fected put:lic le g,"retailgrocery stores,"" State education agencies,"~ households in 50 largest SMSAs")

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-NRC Iiconsees and anolicantt

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24. Purpose (Check as man'y'as apply. Ilmore than one. indicate 26 tot lection' m b th'od 'tCh'ecliisin~asl92n sY Ys ~ ~ hadmihisieled

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pr:domsnant by an asterisk)

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sm-1 O cpplication for benefits A"2 0

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'2 O program evaluation O

nalintervi yj 3 0 g2neralpurpose statistics g-40 4Q rege'atory or compliance

.7 5jQ(recordkeeping requirementW _. l..Cf.& f;.4 5 O program planning or management

] { Rec']edje'tentionperick hears ~83 1. S 6 0 research

" ' 6 O other--describe:

25.Freausney of Use

27. Collection agent (Check one) -.p f J

1 O Nonrecurring 1 grequesting Department / Agency Recurring (check as many as apply) 2 O other Federal Department / Agency-2 gon occasion 6 O semiannually 3 0 private contractor ~

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.~T' k u 3 0. weekly

_ 70 arinually 7~,. iO3]i " 7-.s r

~ 4.0 ' edor'dkeeping re_quirernentnyW2=.-r 96M Nd h

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38. Authority for agency for information collection or 30.Do you promise confidentiality?QQplug-] C-T t

ruismaking-indicate statute. regulation,judicialdecree.

(// yes. explain b' asis for pledge.;

cic. Atomic Energy Act of 1954, as amended

. in supporting sratemerit.); m:sn Yes a No,r ~.

Section 151( )

af: Wit! the proposed intermation cotlectiori create a new or '

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become part of an existing Privacy Act system of records?

29. Respcnoent's cbligation to reply (Check as manyas apply)

(11 yes. atta ch Federal Register notice or proposed dra ft of 1 O voluntary notice.)

O Yes X%No 2 O required to obtain or retain benefit

32. Cost to Federal Government et 9 ' g mandator; -cite statute. not C_FR jattach copy of.

information collection or rulemaking s 140.00

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statutory authority)

COMPLETE ITEMS 33 THRU 35 ONLY IF RULEM AKING SUBMISSION

.33 Compliance costs to the public j 34. is there a regulatory impact

35. Is there a statutory or judicial analysis attached?

deadline affecting issuance?

S O Yes O No O Yes. Enter date:

O No

, CERTIFICATION BY AUTHORIZED OFFICI ALS SUBMITTING REQUEST-We certify tr:at the inbrmation collection or rulemaking submitted for review is necessary for the proper performance of the agency's functions that the proposal represents the minimum public burden and Federal cost COnlistInt with need. and is Consistent with appiscable OMB and agency policy directives. signature and title of:

arestoviNG POLICY OFFiCatt FOst AGE Ney o&TE SUBMITT 'G F

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Dan bl J. Dondghue R. Stephen Scott "

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M OCT 3 01981 SUPPORTING STATEMENT FOR s

10 CFR 11 CRITERIA AND PROCED'RES FOR DETERMINING ELIGIBILITY FOR J

ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL (OM8 CLEARANCE NO. 3150-0062) 1.

Justification Y

"7 Part 11 establishes the requirements for authorization for access to special nuclear material.

These requirements apply _to employees (including applicants d

for employment), contractors, and consultants;of NRC licensees.and contractors whose activities involve contact with special: nuclear material at either fixed sites or in transportation activities.

Statutory authorization for Part 11

..T;'m can be found at Section 161(i) of the Atomic Energy Act of 1954 as amended.

N This section of the act authorizes the Commission to prescribe regulations to guard against the loss or diversion of any special nuclear material.

Pursuant to this statutory authority, the Commission promulgated Part 11, which utilizes a personnel security program to require the individuals cited above to obtain an authorization from the Commission for access to special nuclear material.

Two levels of special nuclear material access authorization are established.

The higher levels, NRC-U is based upon a full-field background investigation y" '

and will apply to (i) all individuals who require unescorted access to special nuclear material or within vital areas,'(ii).those jobs in which an individual alone or-in conspiracy with another individual who does not possess an NRC-U special nuclear material access authorization could act or steal or divert special nuclear material or commit sabotage, and (iii) drivers of motor vehicles and pilots of aircraft transporting certain quantities of special nuclear mate-rial and those who escort road, rail, air or sea shipments of special nuclear material.

The lower level, NRC-R, is based upon a National Agency Check and will apply to all individuals who require unescorted access to protected areas and who are not required to possess an NRC-U special nuclear material access authorization.

Both the National Agency Check and the full-field background investigation are conducted by the Office of Personnel Management.

The National Agency Check consists of a check of files of the FBI (fingerprinting and central files),

Office of Personnel Management (Security-Investigative index), and a check of military records and records of other government agencies, as appropriate. The full-field background investi' ation consists of interviews of references, con-g ducted by investigative agents of the Office of Personnel Management, in addition to the records check.

Sources of information developed in the course of the investigation are also interviewed. : The full-field background investi-V gation conducted by the 1)ffice of Personnel Management generally covers the 5 year period of the individual's adult life prior to the investigation.

1.1 10 CFR'11.9 - Licensees and other organizations seeking an exception to:

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'any requirement of Part 11 must~ submit an application for such exemption."

Sufficient information to. describe and_ justify the exemption being sought C'

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must be supplied.

The information will be used by the NRC to determine

~whether an exemption is justifiable and can he granted.

1.2 10 CFR.11.11 (a) - All fixed site licensees and transportation facilities must submit an amendment to their security plan identifying those jobs

'which will require incumbents to have material access authorizations.

Such identification is required to establish who has need of access authorizations and that such authorizations are keyed to job requirements.

1.3 10.CFR 11.13 (b) - Licensees transporting special nuclear material must confirm and record prior to shipment that drivers, monitors, and escorts have the necessary material access authorizations.

Such information verifies that only those with appropriate access authorizations have access to or control of SNM and serves as a record for inspection purposes.

c

These initial applications and renewals are made on NRC Form-1 (OMB Clearance No. 3150-004L) and NRC Form 237 (OMB Clearance No. 3150-0050).

10 CFR'11.15 (b)(6) requires an employer to include in the application a statement identifying the employee's role assignment, the level of security clearance needed, justified by reference to the licensee's security plan.

10 CFR 11.15 (c)(5) reouires an employer, in an application for renewal

- of access. authorization, to include a statement that the' employee's job

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requires the level of access authorization held, justified by reference to the licensee's security plan.

1.5 10 CFR 11-15 (e) requires an individual employed by a licensee to apply to the NRC for a change in special nuclear material access authorization from NRC "R" to the higher access authorization NRC "U",

if their job responsibilities so require.

2.

Description 10 CFR 11 applies to existing fuel cycle facilities, 3 licensees engaged in the transportation of special nuclear material, and approximately 4500 employees of these facilities.

(See attached chart for a specific break-down).

3.

Time Schedule Special nuclear material access authorization expires 5 years after the date of issue.

Applications for renewal must be submitted 120 days prior to the expira-tion date.

The data will be used by the NRC to determine if the full cycle facilities and the authe.1 ration activities are in compliance with NRC regula-tions.

This information.will nc,t be made available to the public and is

,g intended for internal ~use only.

_ ',.. _ 4.

Consultation Outside the Agency-3

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' ' Consultations were held with the Department of Energy's Division of Safeguards N ~~.

and Security when this rule was developed..Part 11 was also subject to public review during the' comment pericd after it was published as a proposed rule.

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Estimate of Compliance Burden See chart.(burden is based on the staff experience to date).

6.

Sensitive' Questions Informationonindividualpersonnelsecurithapplicationsisnotavai[ableto g;

the public.

7.

Estimate of Cost to Federal Government

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See chart (based on staff experience to date).

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- 5'c ESTIMATED BUR 0EN TABLE

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Estimated Estimated Estimated cost to Subpart respondents burden government 11.9 1

2

$140.00 4

11.11 (a) 9 180 11.13 (b) 6 120 NA 11.15 (b) (6) 9 375 11.15 (c) (5) 9 375 11.15 (d) 9 45 TOTAL 1097 NOTE:

There is a decrease in the burden associated with this clearance because 11.15(b) and (c) represent the security clearance package which is cleared under 3150-0048 and 3150-0050 (NRC Forms 1 and 237).

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