ML20043A881
| ML20043A881 | |
| Person / Time | |
|---|---|
| Issue date: | 05/07/1990 |
| From: | Curtiss J NRC COMMISSION (OCM) |
| To: | Conyers J, Horton F HOUSE OF REP., GOVERNMENT OPERATIONS |
| Shared Package | |
| ML20043A882 | List: |
| References | |
| CCS, NUDOCS 9005230236 | |
| Download: ML20043A881 (11) | |
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UNITED STATES NUCLEAR REGULATORY COMMISSION E
1 WASHINGTON, D. C. 20666 May 7, 1990 CHAIRMAN The Honorable John Conyers, Jr.
Chairman, Committee on Government Operations 1
United States House of Representatives Washington, D.C.
20515.
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Dear Mr. Chairman:
1 -have received your letter of Ma'rch 29, 1990, in which you-requested inf ormation on' the: Nuclear. Regulatory Commission's t
hiring and-periodic reinvestigation-procedures for determining -
suitability for sensitive-positions.
Our responses to_y questionnaire are enclosed.. If you have any further que.ourstions, please contact Richard A Dopp, Acting Director, Division of Security, at -(301) 492-4100, Sincerely, k,
I J mes R. Curtiss ting Chairman-I
Enclosure:
As stated l
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9005230236 900507 PDR COMMS NRCC CORRESPONDENCE PDC I
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UNITED STATES j%
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NUCLEAR REGULATORY COMMISSION -
a WASHINGTON, D. C. 20665
\\. l, May 7, 1990
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CHAIRMAN The Honorable Frank Horton Committee on-Government Operations
'I United States House.of Representatives' Washington,-D.C.
20515
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Dear Congressman Horton:
I have received your lette'r of' March 29. 1990,. in which-you-requested. information en the Nuclear _ Regulatory Commission!s hiring and. periodic reinvestigation procedures for-determining suitability for sensitive positions.
.0ur' responses to-your questionnaire-are' enclosed.
If.you have any fur.ther questions, please contact Richard A. Dopp, Acting. Director, Division of--
i Security. at (301) 492-4100..
Sincerely'.
a es R. Curtiss ting Chairman
Enclosure:
l As stated 1.
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QUESTIONNATRE BY CHAIRMAN JOHN CONYERS, JR.
AND RANKING MINORITY MEMBER FRANK HORTON COMMITTEE ON GOVERNMENT OPERATIONS INTRODUCTION The information provided in this section is intended as background regarding the Nuclear Regulatory Commission's (NRC's) use of Standard Form (SF) 86 and position sensitivity.
In accordance with Section 145b of the Atomic Energy Act of 1954, as amended, all individuals employed by NRC must have a security clearance.
Therefore, no one can commence work without an employment clearance and a preliminary determination that they appear eligible for a security clearance.
Positions at NRC fall into one of the following three sensitive categories requiring a security clearance:
1.
Positions of a high degree of importance or sensitivity "Q"
Security Clearance.
(There are 10 of these positions, which, for the purposes of the questionnaire, are included with critical sensitive positions.)
2.
Critical sensitive positions "Q" Security Clearance (access authorizationtoTopSecretinformation) 3.
Non-critical sensitive positions "L" Security Clearance (access authorization to Secret information) l The NRC uses Standard Form 86 primarily for security clearance and employment l
clearance eligibility determinations'in accordance with the provisions of 10 CFR Part 10, " Criteria and Procedures for Determining Eligibility for i
Access to Restricted Data or National Security Information or an Employment Clearance." The form is also reviewed as one of several security checks to assist in making recommendations for pre-appointment investigation waivers, which permit individuals to begin employment-before the completion of the investigation required by the Atomic Energy Act. The responses to this-l questionnaire are, therefore, based on the use of Standard' Form 86 by NRC's Division of Security.
With regard to the answers to Questions 10, 12, and 13, the NRC does not maintain statistics on affirmative answers to the cited SF 86 questions.
l Some affirmative employee responses result in follow-up activities and are therefore documented in case lists. Other affirmative answers do not require follow-up actions, if, for example, the employee has satisfactorily explained the response on the form. Consequently, the number of employees reported in our answers to Questions 10, 12, and 13 represents a conservative agency estimate, but includes some documented cases. The number of applicants reported in our answers to these questions is documented in agency corre-spondence concerning these individuals.
I RESPONSES TO QUESTIONNAIRE 1.
Is your agency now using the Standard Fonn 86 as recently revised by the Office of Personnel Management?
(Please note that all references below to the SF 86 form are to this version of the form).
Answer:
Yes
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'2.
When did you adopt the revised SF 86 form?
l Answer:
Mid-September 1988 3.
Please list the categories of job applicants and continuing employees who
. are-required to complete SF 86.
(e.g., "all job a sensitive employees up for periodic review," etc.)pplicants," " critical l
Answer:
a.
All job applicants in whom NRC has an interest are required to complete an SF 86.
b.
All employees are subject to periodic review (reinvesti-gation) and must complete an SF 86 at-that time, 4.
In conducting initial investigations or-periodic review, do you distinguish between " critical sensitive" and."non-critical sensitive" employees?.
Answer:
Yes. The more' sensitive the position, the broader the scope of
.the initial investigation or periodic review' (reinvestigation).
7 5.
How often do'you conduct periodic review of:o a.
" critical sensitive" employees?
l b.
"non-cr,itical sensitive" employees?
a Answer:
A periodic review (reinvestigation) is-conducted'at 5-year l
intervals-for all employees.
6.
Are you aware of any present or potential employees who have refused to complete all or part af the SF 86 form? -If. so,; please ' attach detailed' reports of each instance, and describe the consequences to the individual.
L Do not identify individuals by name.
l-Answer:
No 7.
Are you aware.of any employees.who resigned or otherwise left.their jobs.
~
e rather than complete SF 86? If so, please attach detailed reports of each instance, and describe the consequences to the individual. Do not. identify' individuals by name.
Answer:
No L
8.
How many completed SF 86 forms _has your agency ' received to date fo'r ~
purposes of periodic reinvestigation?
l Answer:
495 I
9.
a.
How many respondents have answered affirmatively to Question 24a of '
).
SF 86, dealing with the habitual use of alcoholic beverages to excess?
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b.
Have any of-these been terminated. or denied employment after their -
submission of SF 867 Please describe each instance. Do not identify
-l individuals by name.
Answer:
a.
Ncne I
b.
Not applicable 10.
a.
How many respondents have answered affirmatively to Question 24b of SF 86, dealing with use of drugs?
b.
Have any of these been terminated or denied employment after their I
submission of SF 867 Please describe each instance. Do not identify; individuals by name..
Answer:
a.
Threeemployees(estimated)andoneapplicant(actu'al).
Please refer to the introductory information.regarding the number of employees or applicants reported in response to this question.
b.
None of-the empl'oyees have been terminated from employment;
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in each case, the NRC staff assessed the information, which resulted in a determination favorable to the individual.
The applicant is a'very recentl case, and the' employment processing is ongoing.. The applicant has'been interviewed a
L regarding the response to this question and:was~ tested for-l the use of illegal drugs.
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11.
a.
What procedures are followed if a respondent answers Question'24b~in-the affimative?
b.
Is the information shared with any other. government agencies?'--
Answer:
a.
When a respondent answers' Question 24b-in the affirmative, he or she may be interviewed under the provisions lof 10 CFR Part 10, " Criteria and Procedures for Determining 7
l_ _.. _
.Eligibil.ity for. Access to Restricted Data or National, i.
Security Information or an Employment Clearance"; the.
individual may also be tested for the use of drugs and/or-the scope of'the-investigation may be broadened..
l b.
The information may be disclosed to Federal investigative-agencies for the purpose.of conducting a security investi--
gation for NRC. The.information may also be disclosed to an appropriate Federal,. State, or local agency if the informatior, indicates a violation or potential violation of law or in the course of an administrative 'or judicial proceeding.
In addition, this information may be trans.
l ferred to an appropriate-Federal, State, or local agency to.
the extent it is relevant and.necessary for an NRC decision
-or to an appropriate Federal agency, to the extent it is relevant and necessary for that agency's decision about the individual.
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12.
a.
How many respondents have' answered affimatively to Question 25 of SF 86, dealing with nervous breakdowns and medical treatment for mental conditions?
b.
Have any of these been terminated-or denied employment after their submission of SF 867 Please describe each instance.
Do not identify individuals by name.
Answer:
a.-
Four employees (estimated) and two applicants (actual).
Please refer to the introductory -information regarding-the number of employees or applicants reported in response to this question.
b.
None of the employees have been terminatedifrom employment;(
in each case the NRC staff assessed the infomation, which resulted in a determination favorable to the individual..
Regarding-the applicants,.the Division of Security did not recommend approval of the pre-appointment investigation waiver request'pending completion of the required investigation. As a ' result, the potential employing offices-uithdrew employment offers due to the extended time-required for background investigation (e.g., 4 to 12 months).-
13.
a.
How many respondents have answered affirmatively to one or more parts of Questions 28.and 29 of SF 86,; dealing with financial history?
l b.
Have any of_ these been terminated or denied employment after their submission of SF 867 Please' describe each instance. Do not identify individuals by name.
Answer:
a.
Eight employees (estimated) and -three applicants (actual).
Please refer to the introductory _information regarding the number of employees or applicants reported in response to a
this question.-
b.
None of the employees have been terminated from employment;.
in each case the NRC staff assessed the information,_which
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res'ulted'in a determination favorable to the individual.
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Regarding the applicants. the. Division _of Security did not L
reconinend approval of the pre-appointment investigation-i waiver request pending completion of the required,investi-gation. As a result.-the potential employing offices withdrew employment offers due to the extended time required for background investigationL(e.g., 4 to 12' months).
14.
a.
How many respondents have answered affimatively to one or more parts.
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of Question 30 of SF 86, dealing with membership.in and association with certain organizations?
b.
Have any of these been terminated or denied employment after their submission of SF 867 Please describe each instance.
Do not' identify-individuals by name.
x i.
J Answer:
a.
None b.
Not applicable
- 15. Of what value is it to your agency's determination of suitability to have the information requested by the following quest 4ns on SF 867 a..
24a b.
24b c.
25 d.
28 and 29 e.
30 Answer:
Affinnative answers to these questions may reflect-on the; individual's judgment, character, and trustworthiness and raise a question as to his or her eligibility for. security cleare,nce.
The answers an individual-provides to.the: listed questions assist in approving pre-appointment investigation waivers and provide leads-for the required background investigation.of the individual. Answers to these questions are not used for person-nel suitability decisions.
- 16. Which of the questions in SF 86 are absolutely essential to your. agency's.
mission?
Answer:
No.one question on SF 86 is. considered absolutely essential to the operation of NRC. Collectively, however, the answers to the questions are essential for the conduct'of-a comprehensive back-ground investigation on which an individual's eligibility for an NRC security clearance is. based. Also, as-previously indicated, answers.to the questions in SF 86 are used-in approving pre-appointment investigation waivers, which permit the individuals to:begin work before.the. completion of the
~
requiFed investigation.
l 17, Are you aware of any problems caused to the operation of:your ~ agency as a result of an employee's:
a.
undetected drug use?
b.
undetected and excessive use of alcohol?
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c.
association with any organization referred to in Question 30 of l
Standard Form 867 d.
being the subject of a bankruptcy proceeding or a legal judgment against self or spouse?
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1 e.
having had a nervous breakdown'or medical treatment for a mental condition?
Answer:-
We are not aware of any specific problems caused to the l
operation of our agency as a result of items (a) through (e) above. However, there have been.a limited number of performance problems due to the excessive use of alcohol and drug abuse.
In each instance, the employee's. security clearance was suspended.
These employees were reassigned where, appropriate, and placed 1
in rehabilitation.
18.
In some agencies " sensitive". job designations seem to track those jobs which require security clearances.
In other agencies, there are.many a
more employees with " sensitive" designations than with security clearances.
In at least one agency, there are more employees with security clearance than there-are with " sensitive" job designations, a.
What do you understand to.be the-relationship, if any, between
" sensitive" jobs and those requiring security clearances?
b.
What reasons are there to designate a job " sensitive" if~
its occupant has no access to classified infomation?.
c.
In your opinion, does access to classified information auto-matically require that a job be designated 4 " sensitive"?
Answer:
-a.
All. NRC positions are~ sensitiveland require a' security clearance as a condition of employment in accordance:
with the Atomic Energy Act..
b.
NRC's position sensitivity criteria are-attached. These criteria designate some position functions that require-the incumbent to have an' access authorization (security clearance) when access.~to classified information is not-required.-
..Yes c.
19.
In designating positions as'" critical sensitive" or."non-critical:
sensitive," do you consider factors other than the individual's' need for access to classified information, and whether the position involves 4
functions to protect the nation from foreign. aggression? If so, what are these other factors?
Answer:
Factors other than access-to classified.information are considered.- Please.see the attached position sensitivity criteria.
s
- 20. How long does your agency maintain.in its files the completed SF 86?
Answer:
A completed SF 86 is maintained for five years after the security clearance and employment are' terminated. At that time the entire file on the individual is destroyed.
- 21. When an employee leaves the agency, do you destroy or otherwise remove-the completed SF 86 from your files?
Answer:-
No, except as noted in response to Question '20,
- 22. Does your agency ever review the SF 86 after the initial background investigation of an occupant of a "non-critical ~ sensitive" position?'
If yes, why? If:no, why do you maintain the form?
Answer:
Yes, under the following circumstances:
. hen subsequent information about an individual that may affect.
W a.
his or her continuing security clearance eligibility'is received or. alleged.
c b.
When= a request is received to raise an individual's security clearance to a higher level (e.g., "L"- to "Q").
c.
When an individual is to be reinvestigated.
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Attachment:
As stated I
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NRC ' Appendix 3101 Part VI.
NRC SECURITY PROGRAM EXTRACT FROM-PART Vi s
PERSONNEL SECURITY PROGR AM E
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B.
?OSITION SENSITIVITY CRITERI A q
1.
Based on-subsection 145f.. of the AEA, the Commission has approved NRC position sensitivity criteria (categories' of functions).
The s e..
c rite rla detemine whe ther the incumbent ' of
- a. particular. NRC position requires a fuu field-investigation (FFI) - by the Federal -
Bureau of Investigation (FBI); FFI: by the Office of-Personnel-Management (OPM) or, as a minimum, 'a National Agency Check with -
Inquiries (N ACl) investigation ; which Exective Order 10450. requires.
2.
Positions of a high degree"of importAnce or sensitivity. therincumi' bents. of which' require NRC "Q" access authorization - based upon a -
fuu field investigation by the FBI-under the AEA, subsection.145f.,
are as fouows!
a' The Chairman, NRC, b.
The Commissioners, NRC.
Any other position so designated" by the Commission.
(Under-c.
this criterion, the Commission ha's-designated.the positions of those Commissioners' assistants; having access to. Sensitive -
~
Compartmented information.')
3.
Categories - of functions - constituting _ criticalasensitive positions, the -
l incum ben ts of which require NRC 'Q"- access. authorization' based upon a fuu field investigation by the OPM, ~ are those which-.invch'e:
Access to Secret-or Top Secret-- Restricted Data or-Top Secret a.
National Security Information.
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_a
~lnvolving broad naval i
b.
Access to Confidential Restrictid Data nuclear propulsion program poucy or direction (e;g..- Prehmi-nary Safety Analysis Reports, Fina] Safety Analysis Reports,:
l and amendments thereto).
Singular responsiotuty f or !cne approval vf plan::, ;olicies, _ cr -
~,
c.
l programs which directly affect. the overau operations or direc.
tion of the NRC.
d.
Fiduciary, pubbe contact, investigative or related duties 'and
=l responsibuities demanding the highest degree _of pubbe trust, i
m e
N RC Apendix-4101-Part VI NRC SECU_RITY _ P110CR AM 3-2 e.
Responsibibly for-the. planning, direction, and implementation of a _ computer security program; major responsibility for_ the f
direction,l planning, and design of a. computer. system including the. hardware and software; or the capability-to access a com-puter system _ during its' operation. or maintenance. in such a way, and with a = relatively high risk for causing grave-damage, or realization of significant. personal. gain, f.
Singular responsibuity.for' approvaj _ of, and : overall ! direction -
of, financial-transactions,of high individual or aggregate:value, g.
Employment fin any other position so. designated by the -
Commis sion,
4.
Noncritical-Sensitive Position:
Incumbents of;any NRC position"not
. covered by 2.
or 3.
above, and all? Summer.and Stay-in-School' positions require NRC "L"
access authorization, based on no'less than a National' Agency Checkowith Inquiries conducted by OPM.~
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Co-operative education (Co op) students shall normally' be placed -
t in noncritical-sensitive positions - requiring "L" access authorization t
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