ML20055A098
| ML20055A098 | |
| Person / Time | |
|---|---|
| Site: | Fort Saint Vrain  |
| Issue date: | 06/28/1982 |
| From: | Brady R NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML20055A083 | List: |
| References | |
| NUDOCS 8207150474 | |
| Download: ML20055A098 (24) | |
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g UNITED STATES NUCLEAR REGULATORY COMMISSION g j WASHING TON, D. C. 20555
\...../ M 2 81982 MEMORANDUM FOR: Victor Stello, Jr.
Deputy Executive Director for Operations and Generic Requirements THRU: Patricia G. Norry, Acting Diroattmisigwiby Office of Administration p atricia G * "
- FROM: Raymond J. Brady, Director Division of Security Office of Administration
SUBJECT:
PROPOSED CHANGES TO 10 CFR PARTS 25 AND 95 Reference the telephone conversation between Mr. Walter Schwink and Mr. Duane Kidd of our respective staffs, on June 23, 1982, concerning the applicability of your June 17, 1982 memorandum, entitled " Development of a Long Range CRGR Agenda (12 Months)," to the enclosed draft of proposed changes to 10 CFR Parts 25 and 95.
It is our understanding that, since these administrative changes will apply to a power reactor, Fort St. Vrain, your office would like to review them at this early draft stage to determine if there is a need for CRGR review.
Although these are clearly Category 2 requirements, they do implement the new Executive Order 12356, " National Security Information," which becomes effective August 1,1982. Therefore, there is some urgency to completing the review process at a point early enough to process the changes for publica-tion on or near August 1. We would recommend that these proposed changes, which apply only to Fort St. Vrain, be considered for exemption from CRGR review under the provisions of paragraph III.D. of the CRGR Charter.
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l 04))Wnf Raymohd J ' Bra y, l
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Enclosure:
As stated cc: W. S. Schwink, DED0 w/ enc 1 (- .g PDR ,
NUCLEAR REGULATORY COMMISSION 10 CFR PARTS 25 AND 95 -
Access to and Protection of National Security Information and Restricted Data; Amendments.
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed Rule.
SUMMARY
- The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to modify the requirements for requesting access authorizations and submitting reports on classification / declassification actions, to establish requirements for (1) processing aliens for access authorizations, and (2) maintaining records concerning visits involving classified infor-i mation. Additional guidance for handling classified drafts of documents and working papers is provided as well as guidance for obtaining approvals for the security of telecommunication systems where classified information is
, involved. These proposed amendments are necessary to incorporate experience gained under the current regulations and to prohibit the unauthorized l
- disclosure of National Security Information and Restricted Data. Other amendments are also being proposed which update the regulations in accordance l
with requirements of the new Executive Order 12356 and Implementing Directive which become effective August 1,1982.
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DATES: Comments must be received on or before (insert date 60 days after publication in the Federal Register). Comments received after this date will .
be considered if practical to do so, but assurance of consideration cannot be given except as to comments received on or before this date.
ADDRESSES: Comments should be sent to the Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention:
Docketing and Service Branch. Comments may also be hand-delivered to Room 1121, H Street, NW, Washington, DC, between 8:15 a.m. and 5:00 p.m.
FOR FURTHER INFORMATION CONTACT: Duane G. Kidd, Chief, Security Policy Branch, Division of Security, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone: (301) 427-4415.
SUPPLEMENTARY INFORMATION: The " Authority" sections of 10 CFR Parts 25 and 95 are being revised to cite Executive Order (E.0.) 12356, " National Security Information" as a basis for these regulations in lieu of E.0.12065 which it replaces. E.0. 12356 and its Implementing Directive become effective August 1, 1982.
Section 6.1 of E.0. 12356 reflects a slight change in the definition of the term " National Security Information" and adds a definition for the word "Information" as used in the Order. Sections 10 CFR 25.5, " Definitions," and 10 CFR 95.5, " Definitions" are being updated to reflect these changes.
Additionally, 995.5 is being revised to reflect a slight change in the definition of " National Security."
mW- _em.
Section 25.17 (c) in its original final form (45 FR 14476) required a full ,
personnel security packet of forms identified in (1) through (6) of paragraph (c) to be submitted with each access authorization request. On October 30, 1980, (45 FR 71763) NRC amended 125.17 (c) and waived the full set of forms requirements for those individuals who already possessed or who were in processing for another Federal security clearance on the effective date of the rule. The October 30, 1980 amendment substantially reduced the initial administrative burden on affected licensees who used the new procedure to obtain authorizations for affected employees. This October 30, 1980 amendment was intended to pennit this waiver of forms requirement only for those requests received prior to the effective date of the rule. However, a literal interpretation of the regulation as it now reads, continues to permit a reduced forms requirement if the applicant possessed or was in processing for another Federal security clearance on the effective date of the original final rule (even if the security clearance has since been terminated). This was not the staff's intent. The current language of 125.17 (c) filled its intended purpose and now requires some clarification and a shift back to a requirement for submittal of a complete security forms packet.
Part 25, when first published, did not identify to licensees the special concerns which must be taken into consideration and the requirements when considering an alien for an access authorization. Whereas this situation occurred after the issuance of Part 25 was published and will occur again, these special concerns and requirements are being identified within the new 525.21.
Paragraph (c) of 125.33, " Termination of access authorizations," currently requires the licensee or other organization official conducting a termination briefing to notify NRC in writing that a briefing was conducted and forward the Security Termination Statement. Since the NRC Division of Security has always accepted the submission of the completed termination statement as evidence of the briefing have been conducted, 25.33 (c) is being revised to make this clear.
When Part 25 was originally published, NRC prescribed a number of record-keeping requirements based on disposition schedules currently in use. A recordkeeping requirement for documents relating to classified visits was overlooked at that time. A records maintenance requirement for NRC Form 277 will provide the opportunity for NRC review of the classified visit program at the affected facility and provides assurance that only properly authorized individuals obtain access to classified matter during classified visits to other facilities and agencies. A revision to 525.35 imposes this necessary recordkeeping requirement.
Section 25.37, " Violations," is being revised to reflect the replacement of E.0. 12065 by E.0. 12356.
The requirements of E.0. 12356 slightly modified the markings to be applied to classified documents. These modifications are reflected in the revisions being made to 995.37 (c), " Markings required on face of classified document."
Under E.O.12356 the declassification of documents can occur on a specific date, event or upon the originating agency's determination that the document
may be declassified. Since the new E.0. eliminated the scheduled or routine review for declassification," 595.37 (c)(5) is being revised to reflect this .
change. Additionally, 595.37 (c)(6), which addresses the extension of classification beyond six years, is being deleted since National Security Information documents under the new E.0. are no longer automatically declassified after that period.
The requirements of E.0.12356 also slightly modified the markings applied to transmittal memorandums and letters. These new markings are set forth in the proposed revisions to 595.37 (h).
All of 595.37, " Classification and preparation of documents," provides detailed requirements for the marking and handling of classified documents.
Experience in working with this section has demonstrated a need to provide more direction for the marking and handling of newly generated or newly created documents. For this reason, a new paragraph (k) has been added which provides this specific direction for the marking and handling of drafts and working papers.
The existing 595.39 (d), " Telecommunication of classified information," and l 595.49, " Security of automated data processing (ADP) systems," also demon-strated the need for revision to provide the necessary direction and set forth the requirements to establish a secure telecommunication or ADP system. These revised 5595.39 (d) and 95.49 impose no additional requirements, but do offer the more detailed direction needed.
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Section 95.57 presently requires the submission of an NRC Form 790 whenever a document containing National Security Information or Restricted Data is generated or its classification is changed. An amendment to this section clarifies who should submit this report, what actions should be reported and on what schedule.
Sections 95.59, " Inspections," and 95.61, " Violations," are being revised to reflect the replacement of E.0. 12065 by E.0. 12356.
Environmental Impact Statement The promulgation of these amendments would not result in any activity that affects the environment. Accordingly, the Commission has determined under the National Environmental Quality guidance and the criteria of 10 CFR 51.5 (d) that neither an environmental impact statement nor environmental impact appraisal to support a negative declaration for the proposed amendments to Title 10 is required.
l The NRC has previously analyzed the burden to the licensed industry of completing the necessary forms associated with an NRC access authorization request. This analysis was forwarded to the U.S. General Accounting Office (GA0) for review. GA0 notified NRC on May 15, 1980 that they found the information requested did not unnecessarily duplicate information already available from other Federal sources, that the burden on respondents had been minimized, and that the recordkeeping and reporting requirement and forms were
otherwise consistent with the provisions of the law. The amendment to
$25.17 (c) does not increase this burden. The burden associated with .
completing an NRC Form 277 for classified visits was similarly identified to and approved by GA0. It too remains unchanged. The recordkeeping requirement associated with this subject (i.e., maintaining one copy of NRC Form 277 per visit authorization request) equates to filing or maintaining about 20 copies of the form per year. Initial estimates of 15 to 20 requests per year per facility are still valid. The requirment to simply apply classification markings to draf ts and working papers is likewise insignificant. The other amendments being proposed are of a procedural or clarifying nature and result in no additional requirements or burden over those originally identified when these regulations were first published.
Regulatory Flexibility Statement In accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b),
the Commission hereby certifies that this rule will not, if promulgated, have a significant economic impact on a substantial number of small entities. Each NRC licensee or other organization which may require access to National Security Information and/or Restricted Data used, processed, stored, repro-duced, transmitted or handled in connection with a license or application for a license could potentially be impacted by this rule. In reality, only 12 fuel cycle facilities, transportation companies or other organizations are currently required to meet the requirements of 10 CFR Parts 25 and 95.
LIST OF SUBJECTS IN 10 CFR PARTS 25 AND 95 ,
Part 25 - Classified information, penalty, reporting requirement's and security measu res .
Part 95 - Classified information, penalty and security measures.
Pursuant to the Atomic Energy Act of 1954, as amended, the Energy Reorgani-zation Act of 1974, as amended, and Sections 552 and 553 of Title 5 of the United States Code, notice is hereby given that adoption of the following amendments to Title 10, Chapter I, Code of Federal Regulations, Parts 25 and 95 is contemplated.
PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL.
- 1. The authority citation for Part 25 is revised to read as follows:
AUTHORITY: Secs.145,161, 68 Stat. 942, 948, as amended. (42 U.S.C.
2165, 2201); sec. 201, 88 Stat.1243, as amended, (42 U.S.C. 5841); E.0.
10865 and E.0.130&% 12356.
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- 2. In 525.5, the definition of " National Security Information" is revised to read as follows:
925.5 Defini tions .
" National Security Infomation" means infomation es-mattep-that-it-eweed by,-produced fsp-en-by,-ep-under-the-eentsel-ef r-the-%ftred-States Government-and that has been determined pursuant to Executive Order 13065 12356 or psten any predecessor orders to require protection against unauthorized disclosure and that is so designated.
- 3. In 525.5, a definition for "Information" is added to read as follows:
"Information means any information or material, regardless of its physical form or characteristics, that is owned by, produced by or for, or is under the control of the United States Government.
- 4. Section 25.17 (c) is revised to read as follows:
525.17 Approval for processing applicants for access authorization.
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(c) Each personnel security packet submitted, must include the following completed fonns:
(1) Personnel Security Questionnaire, (NRC-1, Parts I and II);
(2) National Agency Check-Data for Nonsensitive or Noncritical-Sensitive Position (SF-85-A) - for "L" cases only; (3) Two Standard Fingerprint cards, (FD-258);
(4) Securi ty Acknowledgments, (NRC-176);
(5) Authority to Release Information (NRC-259); and (6) Related forms where specified in accompanying instructions (NRC-254).
Forms identified in paragraphs (c) (1) and (2) of this section must be
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typed. [ 0aly-a-Security Acknowledgment-f NRC Eorm-476.)-need-be-completed by any-person-possess 4cg-an-active-access-authorization-or in-processing for-an-access-author 4aation-prior to-the-effective-date-of-this-rule.
The-access-author 42atJons-must be-at-an-equivalent level to those.
required by NRC-and-granted or-processed by-another Eederal-agency.]
- 5. In 125.21, paragraph (c) is added to read as follows:
e 525.21 Determination of initial and continued eligibility for access authorization.
(c) The NRC will consider processing an immigrant alien for access authorization only where there is a clear showing that the immigrant alien has unique or very unusual talents or skills not possessed to a comparable degree by an available U.S. citizen; and the position which the alien occupies or for which the alien is being considered is one essential to the furtherance of the NRC regulatory program.
Accordingly, in addition to security forms in $25.17, the licensee or license-related activity requesting the access authorization for an immigrant alien must furnish the following to the Division of Security through and approved by the NRC office administering the license:
- 1. A written statement as to the precise abilities or background of the alien, together with a statement that such talents or skills are unique or unusual to the extent that they are not possessed to any canparable degree by an available United States citizen, and that such talents or skills will materially benefit the NRC regulatory program; and
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- 2. a written statement reflecting the program for which the alien ,
has been or is being recruited, his/her present or proposed title and employer, and the specific access to classified information which is required.
An interview with the alien may be necessary to obtain specific informa-tion which would assist in the conduct of the required background inves tiga tion.
Based on all available information, the NRC Division of Security will assess the security risk arising from alien status and will decide whether the case as constituted is suitable for investigative processing.
In all such cases a full field background investigation will be required and a fee equivalent to that for a "Q" access authorization will be charged.
- 6. In 525.33, paragraph (c) is revised to read as follows:
625.33 Termination of access authorizations.
(c) When an access authorization is to be terminated, a representative of the licensee or other organization shall conduct a security
termination briefing of the individual involved, explain the Security Termination Statement (NRC Form 136) and have the individual execute the form. The official shall net 4fy-the-NRC D.fyJsjon.c.f SecurJ.ty promptly Ja-wr4t4ag-that-a-brief4ag-was conducted and . forward the original copy of the executed Security Termination Statement to the NRC Division of Security.
- 7. Section 25.35 is revised to read as follows:
525.35 Classified visits.
Visits to NRC, NRC contractor, licensee or licensee related facilities, or other government agencies and their contractors involving access to classified information by individuals covered by this part require advance certification of "need-to-know" and verification of NRC access authorization. Individuals planning these visits shall complete NRC Form 277, " Request for Visit or Access Approval," with the "need-to-know" certified by the appropriate Commission Office exercising licensing or regulatory authority. This Commission office shall then forward the l request to the NRC Division of Security at least 15 days in advance of I
the date of the visit for appropriate verification of NRC access
! authorization. The Division of Security shall forward the form to the i
facility to be visited. Records related to these visits must be
! maintained for not less than two years following the expiration date of the visit authorization.
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- 8. Section 25.37 is revised to read as follows:
125.37 Violations.
An injunction or other court order may be obtained prohibiting any violation of any provisions of the Act or any regulation or order issued thereunder. Additionally, National Security Information is protected pursuant to the requirements and sanctions of E.0.1306512356. In addition any person who willfully violates these provisions may be guilty of a crime, and upon conviction, may be punished by fine or imprisonment or both, as provided by law.
PART 95 - SECURITY FACILITY APPROVAL AND SAFEGUARDING 0F NATIONAL SECURITY INFORMATION AND RESTRICTED DATA.
- 9. The authority citation for Part 95 is revised to read as follows:
AUTHORITY: Secs.145,161, 68 Stat. 942, 948, as amended. (42 U.S.C.
2165, 2201); sec. 201, 88 Stat. 1243, as amended, (42 U.S.C. 5841); E.0.
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10865 and E.0. F3065.12356.
- 10. In E95.5, the definitions of " National Security" and " National Security Information" are revised to read as follows:
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. . i 15-595.5 Defini tions .
" National Security" means the national defense and o_r foreign relations of the United States.
" National Security Information" means infomation er-eather-that-h-owned by r -p rodus ed - fe e -e p-by r-e P -ende r-the-een trel -e f r -the -Bai ted-States-Geweppent-and that has been detemined pursuant to Executive Order 1-2069 12356 or peter any ;;redecessor orders to require protection against unauthorized disclosure and that is so designated.
- 11. In 695.5, a definition for "Information" is added to read as follows:
"Infomation means any information or material, regardless of its physical fonn or characteristics, that is owned by, produced by or for, or is under the control of the United States Government.
- 12. Section 95.37 is revised to read as follows:
05.37 Classification and preparation of documents.
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(c) Markings required on face of classified document. Each classified document must contain on its face:
(1) Identity of the classifier. The identity of the classifier shall be shown by completion of the classifier shall be shown by completion of a " Classified Ey " CLASSIFIED BY: (Original Authority)" line and "Danivative Classistas" " DERIVATIVE CLASSIFIER" line. The completion of the "C1.asstSted4y" " CLASSIFIED BY" line would show the original authorized classifier, guide or guidance responsible for the classification. The "Depivative-GhWier"
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DERIVATIVE CLASSIFIER line would show the licensee or other official who determined the classification of the individual document based on previous determinations of the classification of the information involved.
GhWied -By:
(Grigtel--Atttheri-ty)
CLASSIFIED BY: (Identify orioinal classification au tho ri ty, e.a. . authorized classifier. auide. etc.1 BeeMive -C-hiffer:
(Rama..and. I.i.tla)
DERIVATIVE CLASSIFIER: (Name and Title) l 1
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i (5) Date or event for declassification. or- rev4ew Completion of " DECLASSIFY er 4EVisi ON" line will satisfy this requirement. l This requirement does not apply to documents which contain Restricted Data.
(6)-- Auther4-ty-end-reasen--fee-extens4en-4eppl4ceb4e-eniy-te-Natione4
,Secur-i-ty--Informa t4 en- demnents- wh4 th- are- te- rema4 n- <4 es s 4 f4 ed- 4 enge r tAao 64*-yea rs-) i---The-44eet4 ty-ef--the-erig-ine4-Tep-6ecret c44ss 4-f4cet4 ee-estheci-ty-whe- eetherices-extendieg-cl as si ficati en-for-more--thee s4*-yeen--is-entered-en-en 8 Extended-by"-44ne.--in-such cases- the-resse*-fer- the-extensiee-4s-given- in-e-brief--nervative fem-en-the #Reesen-for-Extension 8 -line-ie.g-- " effects-iong-term 66HH-sefegeerds e -)----In-enses-where-eiessification guides or belietins-require-extension,-the guide-or-bulietin-is niso indiented-(7-)-(6) Downgrading date or event. Documents containing solely National Security Information may also contain a downgrading date or event.
If the classifier is aware that the document should be downgraded automatically at any particular time, the fact shall be indicated on the face of the document as follows:
Gewngrade-te en .
DOWNGRADE T0 (classification level) ON (date or description of event)
r (h) Letter of transmittal. Any correspondence transm'i tting National Security Information and/or Restricted Data shall be marked with a classification at least as high as its highest classified enclosure. The classification may be higher if the enclosures, when combined, warranted a higher classification than any individual enclosure. When the contents of the letter of transmittal warrant a lower classification than the highest classified enclosure (s) or combination of enclosure (s) or require no classification, a stamp or mark 1ng such as the following shall be used on the letter:
W. ban s.apacated Ecom.anckwces. haa44-tai.s dec=cnt -as UPON REMOVAL 0F ATTACHMENTS THIS DOCUMENT IS (Classification level of transmittal document standina alone).
When the contents of the transmittal letter are not classified, a stamp or marking such as the following shall be used:
UNCLASSIFIED WHEN CLASSIFIED ENCLOSURE IS REMOVED 1
- 13. In 995.37, paragraph (k) is added to read as follows:
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_19 S 95.37 Classification and preparation of documents. ,
I (k) Drafts and working papers. Drafts of documents and working papers which contain or which the~ originator believes S
i contains classified information must be marked on the top and i
bottom of each page with the highest level of classification contained therein and with the NSI or RD marking. It is not i
required that other markings specified in 695.37 (c) be applied or l
that an NRC Form 790 be prepared as indicated in g95.57 (b) >
for drafts and working papers, provided they are not disseminated outside the facility. Prior to any I' j
dissemination outside of the facility, drafts and workina papers shall be reviewed by an authorized derivative r
classifier. final and complete classification markings !
applied and an NRC Form 790 prepared and submitted to the Division of Security. If classified Secret, the document must be recorded in the accountability record in accordance with E95.41, 5
- 14. In 595.39, paragraph (d) is revised to read as follows:
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595.39 External transmissions of documents and material. ,
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(d) Telecanmunications of Classified Information. There must be no telecommunication of National Security Information or Restricted Data unless the seeure telecommunication system has been approved by the NRC Division of Security as secure. Licensees or other persons who may require this capability shall submit their telecom-munication proposal as part of their request for NRC security facility approval outlined in 3 95.15 or as an amendment to their existing security plan for the protection of National Security Information or Restricted Data.
- 15. In 595.45, paragraph (a) is revised to read as follows:
595.45 Changes in classification.
(a) Documents containing National Security Information and/or Restricted Data shall not be downgraded or declassified except as authorized by the Commission or the declassification and downgrading markings described in 695.37(c)(5) and 67)(6). Requests for downgrading or declassifying any National Security Information and/or Restricted Data should be forwarded to the NRC Division of Security. Requests for downgrading or declassifying of Restricted Data will be coordinated as appropriate by the NRC Division of Security with the Department of Energy.
- 16. Section 95.49 is revised to read as follows: .
695.49 Security of automatic data processing (ADP) systems.
Classified data or information must not be processed or produced on an ADP system unless the system 4He and procedures to protect the clas-sified data or information have been approved by the NRC Division of Securi ty. Approval of the ADP system and procedures is based on a satisfactory ADP security proposal submitted as part of the licensee's or other person's request for NRC security facility approval outlined in 595.15 or submitted as an amendment to its existing security plan for the protection of National Security Information or Restricted Data.
- 17. In 695.57, the undesignated paragraph following 95.57 (b) is designated as (c) and revised to read as follows:
%95.57 Reports (c) In addition, [tha Mcemeeanothen-impson] a licensee's or license related organization's authorized classifier shall submit to the NRC Division of Security NRC Form 790 (Classification Record) whenever a document containing National Security Information and/or Restricted l Data is generated, its classification is changed or is declassified.
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[ Similuty,.-h-42C .344M-e5-Seeve%y-shn-be. net.WM wtc.,;;;r a d~ em-t!.s.-cl.ws.Vhth-W deg-4.] The notification of .
declassification fo; documents and material which have a date for automatic declassif tcation are excluded from this reautrement. NRC Forms 790 should be submitted to the NRC Division of Security on a: ,
monthly basis. '
- 18. Section 95.59 is revised to read as follows:
595.59 Ins pections.
The Commission shall make such inspections and surveys of the oremises, activities, records and procedures of any person subject to the regulations in this part as the Commission deems necessary to effect the ,
purposes of the Act, E.0. F3GG512356 and Commission rules.
- 19. Section 95.61 is revised to read as follows:
595.61 Violations.
An injunction or other court order may be obtained prohibiting any violation of any provision of the Act or any regulation or order issued thereunder. Additionally, National Security Information is protected pursuant to the requirements and sanctions of E.0. F8@&F 12356 In
addition, any person who willfully violates these provisions may be guilty of a crime, and upon conviction, may be punished by fine or ,
imprisonment or both, as provided by law.
Dated at Washington, DC this day of June 1982.
For the U.S. Nuclear Regulatory Commission i
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Secretary of the Commission 4
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