ML20043B083
| ML20043B083 | |
| Person / Time | |
|---|---|
| Issue date: | 05/15/1990 |
| From: | Carr K NRC COMMISSION (OCM) |
| To: | Synar M HOUSE OF REP., GOVERNMENT OPERATIONS |
| References | |
| NUDOCS 9005240164 | |
| Download: ML20043B083 (4) | |
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UNITED STATES
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7,f NUCLEAR REGULATORY COMMISSION h', y E
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May 15,1990
-- CHAtRMAN -
The Honorable Mike Synar, Chaiman i
Subcommittee on Environment, Energy, j
and Natural Resources 1
- Comittee on-Government Operations United States House of Representatives
Washington, D.C.
20515
Dear Mr. Chairman:
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I am writing to inform you of the progress that the Nuclear Regulatory
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Commission (NRC) has made.in implementing the-three recommendations made by the l
General-Accounting Office (GA0) in its December 1988 report entitled "NRC's-Security Clearance Program Can Be Strengthened." This report was the subject of your Subcommittee hearing with representatives of GA0 and NRC on March 15, 1989.. The recommendations:were that NRC (1) require periodic reinvestigation i
for all employees, (2) validate and update the security. clearance data base, j
Jand (3) expedite-a' decision to issue either a policy statement or a regulation regarding access to. commercial nuclear. power plants. We have fully implemented Recomendations.l'and 3 and-have made progress toward completing necessary actions on Recommendation 2.
i Recomendation l'.
Although NRC has had a reinvestigation program for "Q" cleared employees for many years, we did not routinely reinvestigate "L" j
. cleared employees.'- On the basis of-GAO's report and the recomendation' of 1
' NRC'siDirector=of Security, NRC has implemented 'a reinvestigation program 1
for "L" cleared employees, consultants, experts, and members of-;the; Atomic Safety and Licensing Board and Appeal Panels. A copy of our May 1, 1989 j
implementing bulletin is enclosed. To date, the Division of Security has initiated the reinvestigation of more than 400 NRC "L" cleared individuals ~ and i
will schedule the reinvestigation-of 'approximately 500 more during the :
remainder of this fiscal year. Thereafter, approximately 300 "L" cleared individuals will be reinvestigated each year. More detailed information on
'NRC'S reinvestigation program and-use of Standard Form 86 is contained in the Comission's May 7.1990 letter to Chairman Conyers of the House Comittee on Government Operations.
I have enclosed a copy of the May 7 letter for your 3
information.
q Recomendation 2.
NRC has initiated action to validate and update the security clearance data base. The NRC staff has corrected the 69 incorrect social
- security records that were found by GA0 and tenninated the records on the 22 individuals who are no longer employed by NRC, many of whom were summer hires 1
I CORRESPONDENCE PDC
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The H6norable Mike Synar o
.j and stude6ts participating-in the cooperative program. All employees, consultants, summer hires, and coopetative program students whose employment has been terminated are now processed through the Division of Security to
.j ensure that their records are promptly updated. The staff has also established procedures to compare the Central Personnel Clearance Index (CPCI) l reco_rds with NRC personnel and payroll records on a quarterly basis. The data were initially compared in October 1989, and records are now being updated.-
All pre-1983 data elements for each file not in the system will-be entered in connection with the~ expanded reinvestigation program.
l Recommendation 3.
A decision was made in April 1989 to proceed with e
}egulation regarding authorization for unescorted access to nuclear power
- plants. The NRC staff is preparing a final rule.for publication on an.
expedited schedule. The rulemaking is being. reviewed by senior staff and is expected to be completed. in the near future.
Another issue which was discussed at your hearing was NRC's use d pre-appointment investigation waivers.- In view of the length of time required to i
complete background investigations and our need to compete with other potential y
employers for the highest quality applicants, we believe.that we must continue to'use the 145b waiver approach. Nevertheless, both NRC's Office of Personnel and the Division of Security have strengthened pre-employaent screening and 145b processing for NRC employees. Effective May 31, 1989, required background screening-normally includes-expanded character and employment reference-checks covering the last five years, verification of education, a credit check, and-submission of a fingerprint card to the FBI.
If necessary, a security assur-ance interview with the applicant is'also conducted. -In'a'further effort to strengthen the 145b process', we have arranged with the Office of Personnel LManagement (OPM)-to obtain an expediteci criminal history check of NRC applicants through. the National Crime Information Center (NCIC). These.-
4 checks are to begin in January 1991, when OpM completes its link to NCIC.
In fact, NRC is scheduled to be the first agency to fully utilize this new NCIC linkage.
I want to assure you that we will continue to monitor our work on the GAO recommendations to strengthen NRC's Security Clearance Program and will keep you informed of future progress on their implementation.
Sincerely, Y.
j Kenneth M. Carr
Enclosures:
As stated cc:
Rep. William F. Clinger
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File and retain in Manuel until superseded.
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UNITED STATES NUCLEAR' REGULATORY COMMISSION 7
NRC MANUAL 7
BULLETIN 1
L i
'NO.
2101-39 DATE:
May 1, 1989
SUBJECT:
NRC REINVESTIGATION PROGRAM REVISIONS At the.present time, the NRC Reinvestigation Program requires that NRC employees,
. consultants, experts,and panel members possessing "Q" access authorizations be reinvestigated every five years.
These program requirements are set forth in' l
NRC Appendix'2101, Part VI, " Personnel Security Program."
- This Sulletin sets forth changes in the NRC Rein _vestigation Program to includes reinvestigation' requirements for NRC employees, consultants, experts, and panel' members possessing "L" access authorizations.
These Reinvestigation Program revisions will bezincorporated in NRC Appendix 2101, Part VI, " Personnel
-Security Program."
' NRC Reinvestigation Program for NRC Employees, Consultants, Experts, and Panel Members Possessing "L" Access Authorizations I.
Individuals Affected-The incumbents of NRC non-critical sensitive positions possessing I
"L" access authorizations shall be subject to reinvestigations as set forth in 11 through V below.
II. Timing j
Reinvestigations shall be performed every five years.
III.- _Secur'ity Forms Packet Submission of a new " Quest.ionnaire for Sensitive Positions" (SF 86) and E
related forms (Security Forms Packet), including new fingerprint cards, is required every five years.
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Type of Investigation Performed p
A. - Af ter first 5 years -- Review:of SF 86,: plus National Agency Check with Credit-(NACC).
B. - Af ter 10 and 15 years - Review of completed SF 86, plus FBI file -
.and-fingerprint check.
C.
Af ter. 20 years - Review of SF 86, plus NACC.
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D.
Each 5 years thereaf ter - Review of SF 86, plus FBI file and finger-print check.
E.
Further investigative' coverage may be undertaken on a case-by-case-1
-basis if more comprehensive.or detailed.information is deemed necessary by the Division of Security (SEC).
I F.
As part'of the reinvestigation, the incumbent's Official Personnel File.
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.(0PF)_may be reviewed by a member of SEC.
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V._
Responsibility A.'. By March 1 of each year,.SEC will provide each individual to be-reinvestigated a Security Forms Packet and aditise the individual of the date by which the Security. Forms Packet is to be completed.
SEC shall provide'NRC Office Directors / Regional Administrators, or-their designees, the names of the individuals in their respective offices who are to be reinvestigated, and the date(s) _byf which the individuals are required to complete the Security Forms Packet.
B..
It is the responsibility of each. individual to complete the Security
> Forms Packet and return it to his/her Office or Regional contact in-a sealed envelope by the date specified, it is the responsibility of the Office Director / Regional Administrator, or their designees, to assure (1) that individuals complete 'and. return Security Forms Packets to them and (2) that all completed and_ sealed Security forms Packets are returned to SEC by the date specified in order -
-that-SEC nay initiate the investigation.
'C.
SEC will provide certification to the cognizant Persur.nel Office upon
' completion of the investigative processing for inclusion in the OPF.
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UNITED STATES ;
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May 7,1990 -
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i CHAlRMAN,
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The Honorable' John Conyers,-Jr.
Chairman',.Committe'e on Government Operations United States ~ House of Representatives-
' Washington, D.C.
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Dea r' Mr. Chai rma n~:
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'I. have ; received you r letter of March i
29,.1990, in which you
- requested information' on the~ Nuclear' Regulatory Commission's.
hiring.and : periodic ?.reinv.estigation procedures for' determining
. suitability for' sensitive positions.
g questionnaire.are enclosed..
Our. responses to~your please contact Richard A.
If.you have any;further questions,.
.s
- Security, at"(301) 492-4100.Dopp, Acting Director,~ Division'of Sincerely, g k, James R. Curtiss i
I Asting. Chairman
Enclosure:
'As stated-p em..
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Mu p-QUESTIONNAIRE BY CHAIRMAN JOHN CONYERS JR.
AND RANKING MINORITY MEMBER FRANK HORTON COMMITTEE ON GOVERNMENT OPERATIONS
'INTRODUCTIO'N The information provided in this section is intended as background regarding the Nuclear Regulatory Comission'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.comence work without an employment clearance and a' preliminary detennination that they appear eligible for a security clearance.
j 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 1
the purposes of the questionnaire, are included with critical sensitive positions.)
2.
Critical' sensitive positions "0" Security Clearance (access authorization to Top Secret information) 3.
Non-critical sensitive positions "L" Security Ciearance (access authorization to Secret information)
The NRC uses Standard Form 86 primarily for security clearance and employment
, clearance eligibility determinations-in accordance with the provisions of 10 CFR Part 10, '" Criteria and Procedures-for Determining Eligibility for' Access to _ Restricted Data or National Security Information or an Employment Clearance."
The form is also reviewea as' one of several security checks to 1
assist in making recommendations for pre-appointment investigation waivers, which permit-individuals to begin employment before-the completion of.the investigation requireo by the Atomic Energy Act. The responses to this questionnaire are, therefore, based on the use of Standard Form 86 by NRC's Division offSecurity.
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.
Some affimative' employee responses result in follow-up activities and are therefore documented in case lists.
Other affirmative answers do not reouire follow-up actions, it, 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.
RESPONSES TO QUESTIONNAIRE 1.
Is your agency now using the Standard Form 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 t
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.When did you adopt the revised SF 86 form?
a Answer:
Mid-September 1988 v
_3.
Please list the categories-of job applicants and continuing employces who are required to; complete SF 86..(e.g., "all job ~ap sensitive employees up for periodic. review," etc.) plicants," " critical j
Answer: _
a.
All job applicants in whom NRC =has.an interest are require to complete an SF 86.
b.-
All employees are subject to periodic review (reinvesti-gation) and must complete an SF 86 at that time.
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In conducting initial: investigations or periodic review, do you. distinguish 1
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).
5.
How.often do you. conduct periocic review of:
1 a.
" critical sensitive" employees?
b.
'"non-critical sensitive" employees?
Answer:
A periodic review (reinvesti
~ intervals for all employees.gation) is conducted at 5-year
.6.
Are you aware of any present or potential employees who have refused to complete all or'part of the SF 86 form?- If so, please attach detailed reports 'of each instance, and describe the consequences to. the individual.
Do not identify individuals by name.
1 Answer:
No I
7 b,
Are you aware of any_ employees who resigned or otherwise~ 1 eft their jobs rather than complete SF 86?
If so, please attach detailed reports of each L
instance, and describe the consequences.to the individual.
Do not identify individuals by~name.
Answer:
No 8.
How many' completed SF 86 forms has your agency received to date for f
purposes of periodic reinvestigation?
I Answer:-
495 9.
a.
How many respondents have answered affinnatively 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 4
' submission of SF 86? Please describe each instance.
Do not' identify.
individuals by name.
Answer:
a.
None b.
Not applicable 10.
a.
How many respondents have answered affinnatively to Question 24b' of SF 86, dealing with use of drugs?.
b.
Ha' ve 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.
1 Answer:
a.
Three employees (estimated) and one applicant (actual).
Please refer to the introductory information regarding the number of employees or applicants reported.in response to
.this question, e
b.
None of the employees have been terminated from employment; in each case, the NRC staff assessed the information,' which 4
'resulted in a determination favorable to the individual.
r The applicant is a very recent case, and the employment processing is ongoing. _The applicant has been interviewed-regarding the response to this-question and was tested for the'use of illegal drugs.
l
'11.
a.
What procedures are followed if a respondent answero Question 24b in the affinnative?
Is the information shared with any other-government agencies? -
o.
Answer:
a.
When a respondent answers Question 24b in-the affirmative, he or she may_be interviewed under the provisions of 10 CFR Part 10. " Criteria and-Procedures for' Determining w
Eligibility for Access-to Restr.icted'0ata or National 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.
b.
The information may be disclosed to Federal investigative dgenCles 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 information-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-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 i_s relevant and necessary for that agency's decision about the individual.
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12.
a..
How many respondents have answered affirmatively 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 86? 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 terminated from employmenti-in each case the NRC staff assessed the infonnation, which resulted in a detennination favorable to the individual.
- t Regarding the applicants, the Division of Security did not; reconsnend. approval of the pre-appointment investigation -
waiver request pending completion of. the required investigation. As a result, the potential employing offices withdrew employment offers due to the extended time required for background investigation (e.g., 4-to 12 months).
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13.
a.
How many respondents have answered.affimatively_ to one or more parts of Questions 28 and 29 of SF 86, dealing with financial history?
b.-
Have any of these been teminated or. denied employment after their submission of SF 867-Please describe'each instance. Do not identify individuals:by name.
4 Answer:
a.
Eight' employees (estimated) and three applicants (actual).
Please refer to the introductory infonnation regarding the number of-employees or applicants reported in response to this= question.
b.
Nora of the employees have been terminated from employment; in each case the NRC staff assessed the :information whieb resulted in a determination favorable -to the individual.-
Regarding the applicants, the Division of Security did not l
recommend approval of the pre-appointment investigation waiver request pending completion of the required investi-gation.
As a result, the potential employing offices witnorew employment offers oue to the exten(c< time required-for background investigation (e.g., 4 to 12 months).
14.
a..
How many respondents have answered affinnatively to one or more parts of Question 30 of SF 86, dealing with membership in and associatinn i
with certain organizations?
.b.
Have any of these been terminated or denied employment after their o
L submission of SF B67 Please describe each instance.
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' Answer:l 'a.
Nonei b;
'Not applicable f
\\j 15.- Of what value: is it to your agency's-determination of suitability to' have.-
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~ the,information requested by the following questions on SF,86?"
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24a b '.
24bs c.
25
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28 and 29
'e.
30-Answer:'
Affirmative answers to these questions-may reflect on the 1
-individual's judgment, character, and trustworthiness'and raise
'a question as to his or her eligibility. for security clearance..
-The' answers:an individual provides to-the listed questions 1 assist in approving: pre-appointment investigation waivers-and..
~
provide leaos for the' required background investigation of the individual. Answers to these questions are not used for person-
- neltsuitability decisions.-
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. 16.
Which of the' questions in SF 86 are absolutely. essential'to your agency.'s
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' mission?s s
v Answer:
No one.-question on SF 86 is considered absolutely essential to the operation. of NRC.
Collectively, however, the answers to the
.1 questions are essential - for the ~ conduct of a. comprehensive back-ground investigation on which an individual's eligibility for n
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 pemit the individuals to begin work-before the completion of the 1
~
require'd investigat' ion.
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- 17. Are you aware of any problems caused to the operation of your agency'as-a I-result:of an employee's:
L d.
undetect00'urug usef r:
b.
undetected and excessive use of alcohol?
g 1
l association with any organization referred to in Question 30 of c.
Standard Form 867 d.
being the subject of a bankruptcy proceeding or a legal judgment g
against self or spouse?
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,n 6-p having'had a nervous breakdown or medical-treatment for a
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mental' condition?.
Answer:
We are not aware of any specific problems-caused. to the
' operation of our agency as a result of items (a)'through (e)-
above. However, there have been a limited number of perfonnance problems due:to the excessive use of alcohol and drug abuse.
In each instance, the employee's security clearance was suspended.
These empicyees were reassigned where appropriate, and placed in rehabilitation.
~18.
In some agencies " sensitive" job. designations seem to track those: jobs which require security clearances.
In other agencies,. there are many more employees with " sensitive" designations than with security
- cl ea rances.-
In at least one agency,- there are more employees with security clearance than there are with " sensitive" job designations.
What do you understand to be the relationship, if any, a.
between.
" sensitive" joo's and those requiring security clearances?
b.
What reasons are there to designate a job " sensitive" if its occupant has no access to classified information?
3 m
In your opinion, does access to classified information auto-c.
matically require that a job be designated " sensitive"?
i Answer:
a.
All NRC positions are sensitive-and 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 authorizatien (security clearance) when access to classified information is not.
required.
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 functions to protect. the nation from foreign aggression? If so, what are these other factors?
Answer:
Factors other than access to classified infonnation are considered. Please see the attached position sensitivity criteria.
I
- 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.
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21.
When an-employee _ leaves the agency, do you-destroy or otherwise remove the completed -SF 86 from your files?
i 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 1 sensitive" position?
If yes, why?
If no, why do you maintain the fonm?
Answer:
Yes, under the following circumstances:
When subsequent information about an individual that may affect 1 La.
1 his or her continuing security' clearance' eligibility is receivedL or al.leged.
b.
When a request is1 received to raise'an individual's security iclearance to a higher level (e.g., "L" to "Q").
When an individual is to.be reinvestigated.
c.
Attachment:
a As stated wwh' 4.
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- NRC Appendix 3101 -
r Part VI M R,,,C_y,C,U al T Y P R OG R AM '
EXTRACT FROM PART_VI F,ERSONNEL SECURITY FROGR AM B..
OSITION SENSITIVITY CRITERl A L
r T.
Based-on subsection 145f of the' AE A, the Commission has approved i:
NRC : position sensitivity critena (categones of functions).
These i
critena d e te r= tn e wh e ther the incumbent of a particular NRC postuon requires a full field investigation- (FFI) by the - Federal Bureau of Invesugation (FBI); FFI by the ' Office of Personnel Management (OPM) or, as a minimum, a National Agency Check with =
Inquiries (NACL) invesugation which Exective Order 10450 requires.
2.
Positions of a-high degree of importance or sensitivity, the incum -.
bents < of.which require NRC "Q" access. authorization, based upon a full field invesugation by -the FBI under the AEA. subsection 145f.,
are as follows:
a.
The Chateman, NRC.
b.
The Commissioners, NRC.
c.
Any other position so designated by the Commission.
(Under:
m this critenon. the Cornmission has designated -the positions of L
those-' Commissioners'- a s sis tants having ' access - to - Sensitive.
L-:
' Compartmented infor=ation. )
l l
3; Categories of functions constituting enticai-sensitive positions, the meumcents - of which' require NRC
'Q" access authert:ation based l3 upon 'a full field investigation by the OPM, are those 'which involve:
i Access to Secret or Top' Secret Restncted Data or Top Secret l
a.
National Secunty Information.
broad naval b.
Access to Confidential Restricted Data involving nuclear propuiston program policy or direction (e.g., Prelimi-nary Farety Analysis Reports, Final Safety Analysis Reports, i
l' ar.d amendments thereto).
L c.
Singular responsiotiaty f or (ne opprovas vi pian:, ; lic:es, er
-programs which directly affect the overall operations or direc-tion of the NRC.
p d.
Fiduciary, public contact, investigative or related duties and l
responsibilities demanding the highest degree of public trust.
1.
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- NRCr Apendix 2101~
1
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Part VI '
NRC SECURITY PROGR AM -
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Respons!bibly~ for ; the planning, ' direction, and Unplementations of a computer secunty. program; major responsibility, forf thel direction, planning, and. design of aL computer system including' the hardware and software; or the capability to' access a com -
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puter. system during its operation : or maintenance in 'such - a pc way, and with s relatively high risk for. causing grave damage,-
or realization of sigmficant personal-- gain.
1 f.
Singular responsibility.for approval of, and J overalj ; direction" of.. financial transactions of high individual ~or aggregate value.
1 g.
Employment in any other position-so designated byi the -
Co r.= is s ion.
4.
Nonentical Sensitive Position:
Incumbents 'of any NRC position not.
I covered < by 2.
.o r 3.
above, and all Summer ' and Stay-In-School.
positions require NRC "L" access authorization, based on no less thanL a National, Agency Check with Inquiries conducted by OPM.
Co-operative" education (Co-op) students-shall 'normally! be placed in nonentical-sensitive-positions requiring "L" access authorization.
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