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- J 3 ij g NUCLEAR REGULATORY COMMISSION WASHINGTON, D. C. 20555 ph 9.
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\ ,,$ . *# AUG 1S 1985 MEMORANDUM FOR: William J. Dircks Executive Director for Operations FRON: John G. Davis, Director Office of Nuclear Material Safety and Safeguards
SUBJECT:
AMENDMENT OF 10 CFR PART 11 - REVISED CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY
- FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL Enclosed for your signature is a Federal Register Notice (Enclosure A) that changes the procedures for submitting and processing of applications for nuclear material access authorizations and their renewals. -Enclosure B presents the rule with the changes in comparative text. Enclosure C is the regulatory analysis for the changes.
The changes would allow utilization of current active federal clearances based upon equivalent investigt', ions for granting the NRC sp(cial nuclear material access authorizations. They would also allow renewal of NRC "U" special nuclear material access authorizations through the DOE Reinvestigation Program if the individual possesses a current and active DOE "Q" access authorization.
In addition, the changes provide a number of simplified procedures related to the administration of and documentation of applications for special nuclear material access authorizations. The action will reduce regulatory burden by avoiding unnecessary duplication of NRC and DOE programs by licensees and the government.
Enclosure D is a Daily Staff Note with approval and forwarding dates left blank. -
Coordination: The Office of Administration concurs with the rule revisions. The Office of the Executive Legal Director has no legal objections. The Office of Public Affairs has decided that a public announcement is not necessary.
. 1 . m John G. Davis, Director Office of Nuclear Material Safety and Safeguards
Enclosures:
(4), As stated -
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p';=; i CRITERIA AND PROCEDURES FOR DETERMINING *28 ELIGIBILITY FOR ACCESS TO OR CONTROL OVER I
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ENCLOSURE A ,
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NUCLEAR REGULATORY COMMISSION 10 CFR Part 11 Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
SUMMARY
- The Nuclear Regulatory Commission is amending the requirements for applications for initial special nuclear material "U" and "R" access authoriza-tions and for the renewal of "U" access authorizations by allowing utilization of information on file with the Federal government on those individuals who possess current active clearances based upon equivalent investigations. The amendments will eliminate unnecessary duplication of administrative and investigative costs to licensees for affected individuals as well as reduce certain NRC administrative costs.
EFFECTIVE DATE:
FOR FURTHER INFORMATION CONTACT: Dr. W. 8. Brown, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone: (301) 427-4185.
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SUPPLEMENTARY INFORMATION:
BACKGROUND On March 17, 1977 (42 FR 14880), the NRC published proposed amendments to its regulhtions which would establish an access authorization program for individuals who have unescorted access to or control over special nuclear material. Written comments were invited and received. On December 28, 1977 (42 FR 64703), the Commission issued a notice of public hearings on the proposed regulations and subsequently established a Hearing Board to gather additional testimony. A final rule, based upon. recommendations of the Hearing Board regarding only uf~el cycle facilities and transportation, was published in the Federal Register amending 10 CFR Parts 11, 50, and 70 on November 21, 1980 (45 FR 76968).
One of the reasons for undertaking the NRC access authorization program for individuals having access to or control over special nuclear material was to maintain comparability with a similar program of clearances at Department of Energy (00E) facilities and at mixed 00E/NRC facilities. Subsequently, the
, population of individuals affected has become' one in which DOE /NRC mixed 1
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facility employees are by far the dominant segment. Accordingly, the incentive to establish and maintain a comparable and independent NRC program has been replaced by an incentive to use as much of the existing Federal system as possible. The revisions to 10 CFR Part 11 accomplish this end.
CONVERSION OF CLEARANCES Under the revised Part 11 requirements the NRC would accept an existing personnel. access clearance from any Federal agency, including NRC, DOE or D0D, if the investigation upon which the clearance is based is equivalent to the investigation required for the special nuclear material access authorization.
This avoids having to conduct an investigation on ad individual for whom an adequate investigation already exists.
ACCEPTANCE OF NON-NRC APPLICATION FORMS
- Acceptance of an application for access authorizations on other than NRC forms allows the NRC to use existing information on individuals with current Federal clearances. It also allcws an individual applying for renewal of a DOE "Q" personnel clearance to use some of the DOE documents in making application
, for the NRC "U" material access authorization. This reduces the administrative burden upon applicants.
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4 USE OF DEPARTMENT OF ENERGY REINVESTIGATION PROGRAM Application for renewal of an NRC "U" material access authorization may follow the schedule of the DOE Reinvestigation Program and utilize signed and dated copies of Part I of the DOE Personnel Security Questionnaire if an
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individual is subject to both 00E "Q" clearance and NRC "U" access authorization requirements.
MINOR ADMINISTRATIVE CHANGES A number of administrative changes which are not related to reducing duplication are included in this rule revision. The schedule date for revision of fees has been changed from December to July; the fee for a full field
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investigation has been changed from $1550.00 to $1580.00 to reflect the current cost; and a new section has been added regarding withdrawal or cancellation of applications.
OMISSION OF A PROPOSED RULE These changes in the procedures in 10 CFR Part 11 were initiated in response to a request by a licensee for elimination of needless duplication netween the NRC special nuclear material access authorization program and the Department of Energy personnel clearance program. The changes have been discussed in detail with all affected licensees. All agree that the changes, 4
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s are desirable. The changes do not alter the list of jobs identified in 10 CFR Part 11 as requiring material access authorization; therefore, individual applicants for access authorizations are either not affected or are benefited by the elimination of duplication. No other persons are affected by the changes. For these reasons good cause exists for omitting notice ar.d public rulemaking as unnecessary. Accordingly. these changes in 10 CFR Part 11 are issued as a final rule effective in 30 days.
ENVIRONMENTAL IMPACT: CATEGORICAL EXCLUSION
'f The NRC has determined that this final rule is the type of action 1
described in categorical exclusion 10 CFR 51.22(c)(1). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this final rule.
PAPERWORK REDUCTION ACT STATEMENT This final rule amends information collection requirements.that are subject to the Paperwork Reduction Act of 1980(44U.S.C.350{etseq.). This rule has been submitted to the Office of Management and Budget for review and approval of the paperwork requirements.
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A REGULATORY ANALYSIS The Commission has prepared a regulatory analysis on this final regulation. The analysis examines the costs and benefits of the alternatives considered by the Commission. The analysis is available for inspection in the NRC Public Document Room, 1717 H Street NW, Washington, DC. Single copies of the analysis may be obtained from Dr. W. B. Brown, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone: (301) 427-4185.
LIST OF SUBJECTS IN 10 CFR PART 11 Hazardous materials transportation, Nuclear materials, Reporting and recordkeeping requirements, Security measures, Special nuclear material.
For the reasons set out in the preamble and under the authority of the -
Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 U.5,C. 553, the NRC is adopting the following amendments to 10 CFR Part 11.
PART 11 CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL O
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- 1. The authority citation for Part 11 is revised to read as follows:
AUTHORITY: Sec. 161, including 161i, 68 Stat. 948, as amended (42 U.S.C.
2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
Section 11.15(e) also issued under sec. 501, 65 Stat.290 (31 U.S.C. 9701).
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- 2. In S 11.7, Paragraph (c) is revised to read as follows:
f S 11.7 Definitions.
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(c) "NRC 'U' special nuclear material access authorization" means an administrative determination based upon a national agency check and a full-field background investigation, normally conducted by the Office of Personnel Management, that an individual in the course of employment is eligible to work at a job falling within the criteria of $11.11(a)(1) or
$11.13.
- 3. In S 11.11, the introductory text of paragraph (a) and the entire text of paragraph (b) are revised to read as follows:
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S 11.11 General requirements.
(a) Each licensee who uses, processes, stores, rt'ansports, or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in Part 73 of this chapter) subject to the physical protection requirements of $$ 73.20, 73.25, 73.26, 73.45, and 73.46, and each person subject to the general licensing requirements of S 70.20s, shall identify at
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its facility or plant (excluding all non power reactor facilities and storage of fuel incident thereto and facilities and plants in which the licensee possesses or uses only irradiated special nuclear material subject to the exemption of 9 73.6(b) of Part 73), describe, and if not already provided, provide to the Commission, by [ insert date, 60 days from the effective date of this rule] by amendment to its security plan:
(b) After 365 days following Commission approval of the amended securit plan submitted in accordance with paragraph (a) of this section, no individual may be permitted to work at any job determined by the Commission to fall within the criterion of paragraph (a)(1) of this section without an NRC-U special nuclear material accdss authorization, and no individual may be permitted unescorted access to any protected area at any site subject to this Part without either an NRC-U or NRC-R special nuclear material access authorization.
The exceptions to the requirement for an NRC-U and NRC-R special nuclear material access authorization are as follows:
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4 (1) Exceptions to the requirement for an NRC-U special nuclear material access authorization for an individual to work at a job within the criteria of paragraph (a)(1) are provided for (i) any individual employed in such a job on
[ insert date of the effective date of this rule] who is not yet in receipt of an NRC-U special nuclear material access authorization from the Commission, provided that a complete application is submitted to the NRC for processing for that employee in accordance with S 11.15(a) and (b); or (ii) any individual in 4
possession of an NRC-L or R access authorization or an equivalent active Federal security clearance but not yet in receipt of the NRC-U special nuclear material access authorization, provided that a complete application has bean submitted to and is pending before the NRC for processing for that employee in accordance with S 11.15(a) or (b), or both.
(2) Exceptions to the requirement for an NRC-R special nuclear material access authorization for an individual to have unescorted access to a protected area are provided for (i) any individual employed in such a job on [ insert date of the effective date of this rule] who is not yet in receipt of an NRC-R special nuclear material access authorization from the Commission, provided that a
. complete application is submitted to the NRC for processing for that employee in accordance with 9 11.15(a) and (b); or (ii) any individual in possession of an NRC-L access authorization or an equivalent active Federal security clearance, provided that a complete application has been submitted to the NRC for processing for that employee in accordance with 5 11.15(a) or (b), or both.
- 4. In S 117.13, paragraphs (a) and (b) are revised to read as follows: I
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s S 11.13 Special requirements for transportation.
(a) All individuals who, after 365 days following approval of the amended security plan submitted in accordance with S 11.11(a), transport, arrange for transport, drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as monitors at transfer points, or escort road, rail, sea, or air shipments of special nuclear material "ubject s to the appropriate physical protection requirements of SS 73.20, 73.25, 73.26, or 73.27 of this chapter, or who are authorized to alter the scheduling and routing of such transport shall have NRC-U special nuclear material access authorization.
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Exceptions are provided for (1) any individual sho is employed in such a job on [ insert date of the effective date of this rule] and who is not yet in receipt of an NRC-U special nuclear material access authorization from the Commission, provided that a complete application is submitted to the NRC for processing for that employee in accordance with S 11.15(a) and (b) or (2) any individual in possession of an NRC-L or R access authorization or equivalent active Federal security clearance but not yet in' receipt of the NRC-U special nuclear material access authorization, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with S 11.15(a) or (b), or both.
(b) Licensees who, after 365 days following Commission approval of the amended security plan submitted in accordance with S 11.11(a), transport or deliver to a carrier for transport special nuclear material subject to the O
physical protection requirements of SS 73.20, 73.25, 73.26, or 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. However, the licensee need not confirm and record the special nuclear material access authorization number in the case of any individual for whom an application has been submitted and is pending before the NRC in accordance with paragraph (a) of this section.
- 5. Section 11.15 is revised to read as follows:
S 11.15 Application for special nuclear material access authorization.
(a)(1) Application for special nuclear material access authorization, renewal, or change in level shall be filed by the licensee on behalf of the applicant with the Director, Division of Security, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Applications for affected individuals employed on [ insert the effective date of this rule] shall be submitted within 60 days of notification of Commission approval of the amended security plan.
(2) Licensees who wish to secure NRC-U or NRC-R special nuclear material access authorizations for individuals in possession of an active NRC Q or L 9
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access authorization or other security clearance granted by another Federal agency based on an equivalent investigation shall submit a " Security Acknowledgement" (NRC Form 176) and a " Request for Access Authorization" (NRC Form 237). NRC will process these requests by verifying the data on an NRC cleared individual, or by contacting the Federal agency which granted the clearance, requesting certi-fication of the security clearance, and determining the investigative basis and level of the clearance. Licensees may directly request the Federal agency I
which administered the security clearance, if other than NRC, to certify to the NRC that it has on file an active security clearance for an individual and to specify the investigative basis and level of the clearance.
(b) Applications for special nuclear material access authorization for individuals, other than those qualifying under the provisions of S 11.15(a)(2),
must be made on forms ' supplied by the Commission, including:
(1) Personnel Security Questionnaire (PSQ) (NRC Form 1, Parts I and II);
(2) National Agency Check-Data for Nonsensitive or Noncritical- -
Position (SF-85A)-for R cases only (This form must be typed.);
(3) Two completed standard fingerprint cards (FD-258);
i (4) Security Acknowledgement (NRC Form 176);
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. e l (5) Authority to Release Information (NRC Form 259);
i (6) Related forms where specified in accompanying instructions (NRC-254); and (7) A statement by the employer, prospective employer, or contractor I
identifying the job to be assigned to or assumed by the individual and the
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{ 1evel of authorization needed, justified by appropriate reference to the l licensee's security plan.
i ll j (c)(1) Except as provided in paragraph (c)(2) of this section, NRC-U and R special nuclear material access authorizations shall expire 5 years from the date of issuance. If continued NRC-U and R special nuclear material
! access authorization is required, an application for renewal must be submitted j
at least 120 days prior to its expiration date. Failure to make a timely I
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application will result in expiration of special nuclear material access i authorization. Special nuclear material access authorization for which a -
I timely application for renewal has been iiiade may be continued beyond the
} . expiration date pending final action on the application. An application for 3
i renewal will include:
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(i) A statement by the licensee that at the time of application for i
renewal the individual's assigned or assumed job requires an NRC-U special nuclear material access authorization, justified by appropriate reference to :
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(ii) Personnel Security Questionnaire (NRC Form 1, Parts I and II);
J (iii) National Agency Check-Data for Nonsensitive or Noncritical-sensitive position (SF-85A) (This form must be typed.);
(iv) Two completed standard fingerprint cards (FD Form 258);
(v) Authority to Release Information (NRC Form 259); and (vi) Other related forms where specified in accompanying NRC instructions (NRC Form 254).
(2) An exception to the NRC-U special nuclear material access authoriza-tion expiration date and the time for submission of NRC-U special nuclear i
material access authorization renewal applications is provided for those individuals who have a current and active DOE-Q access authorization and wh'o are subject to DOE Selective Reinvestigation Program requirements. For thess individuals, the time for submission of NRC-U special nuclear material access authorization renewal, applications may coincide with the time for submission to DOE of Part I of a DOE Personnel Security Questionnaire pursuant to DOE Selective Reinvestigation Program requirements. The licensee may submit to NRC, concurrent with its submission to DOE, a copy of Part I of the individual's DOE Personnel Security Questionnaire which is dated and bears an original signature together with Part II of an NRC Personnel Security Questionnaire and the forms i
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and information required by paragraphs (c)(1)(i), (iii), (iv), (v), and (vi) of this section, as the supporting documentation for an NRC-U special nuclear material access authorization renewal application. Any NRC-U special nuclear material access authorization issued in response to a renewal application sub-mitted pursuant to this paragraph will not expire until the date set by DOE for the next reinvestigation of the individual pursuant to DOE's Selective Reinvestigation Program (generally every five years). At that time.(and at the time.of e&ch subsequent reinvestigation of the individual), the licensee may again submit, concurrent with its submission to DOE, a copy of Part I of the individual's DOE Personnel Security Questionnaire which is dated and bears an original signature together with Part II of an NRC Personnel Security Questionnaire and the. forms and information required by paragraph (c)(1)(i), (iii), (iv), (v),
and (vi) of this section as the supporting documentation for the renewal application. Failure to file such a renewal application concurrent with the time for submission of an individual's Part I of a DOE Personnel Security Questionnaire to DOE pursuant to DOE Selective Reinvestigation Program requirements will result in the expiration of the individual's NRC special
- nuclear material access authorization. NRC-U special nuclear material access authorizations for which timely applications for renewal have been made may be continued beyond the expiration date, pending final action on the application.
(3) Notwithstanding the above, in no instance shall the period of time for the initial and each subsequent NRC-U renewal application to NRC exceed 7 years. Any individual who is subject to the DOE Selective Reinvestigation l
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Program requirements but, for administrative or other ,reasons k
who does not i submit reinvestigation forms to 00E within 7 years of the previous sub 5 sion, shall submit a renewal application to NRC using then forms pre paragraph (c)(1) above before the expiration of the 7 year period .
Failure to request an NRC-U renewal' for any individual within eriodthe 7 year p will(d)result in termination of the individu'al's NRC-U acce .
If at any time, due to new assignment or assumption ,a of duties change in~special nuclear material access authorization tlevel "U" o from N is required, the individual shall apply for a change ofof level -
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nuclear material' access authorization.The application must include a j
description of the new duties to be assigned or assumed
, justified by i appropriate reference to the licensee's security plan. l (e)(1) ;
Each application for special nuclear material access authorization, renewal or change in level must be accompanied e licensee's by th remittance payable to the U.S. Nuclear Regulatory Commission g to the acco .
following sched, die:
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NR'C-U requiring full field investigation S
-$1,580 ii. 'i NRC-U, based on certification of comparable full ri field background investigation 7 iii. 0 l(
NRC-U or R renewal i 1
iv. NRC-R 15 ',
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- v. 15 NRC-R based on certification c/ , a,wule6 investigation '
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I If a full field investigation is deered necessary, a subsequent fee of
$1580 will be assessed.
2 If a National Agency Check investigation is deemed necessary, a subsequent fee of $15.00 will be assessed; however, if a full. field investigation is daemed necessary, a subsequent fee of $1580 will be assessed.
(2) Material access authorization fees will be published in July of each year and will be applicable to each access authorization request received during the following calendar year. Applications from individuals having current Federal access authorizations may be processed expeditiously at no cost, since the Commission may accept the certification of access authorizations and investigative data from other Federal government agencies which grant personnel access authorization.
(f)(1) Any Federal employee, employee of a contractor of a Federal agency, licensee, or other person visiting an affected facility for the purpose of conoucting official business, who possesses an active NRC or DOE-Q access ,
authorization or an equivalent Federal security clearance granted by another Federal agency (" Top Secret") based on a comparable full field background -
investigation may be permitted in accordance with S 11.11 the same level of
. unescorted access that an NRC-U special nuclear material access authorization j would afford. (2) Any Federal employee, employee of a contractor of a Federal agency, licensee, or other person visiting an affected facility for the purpose i of conducting official business, who possesses an active NRC or DOE-L access authorization or an equivalent security clearance granted by another Federal agency (" Secret") based on a background investigation or national agency check O.
may be permitted in accordance with 5 11.11 the same level of unescorted access that an NRC-R special nuclear material access authorization would afford.
- 6. A new $ 11.16 is added to read as follows:
S 11.16 -Cancellation of request for special nuclear material access authorization.
When a request for an individual's access authorization is withdrawn or 1 .
l cancelled, the licensee shall immediately notify the Chief, Facilities and Personnel Security Branch, NRC Division of Security, by telephone, so that the full investigation or National Agency Check may be disccntinued.
The caller .
chall provide the full name and date of birth of the individual, the date of i
[ request, and the type of access authorization originally requested ("U" or "R").
The licensee shall promptly submit written confirmation of the telephone r.otification to the Facilities and Personnel Security Branch, NRC Division of Security. A portion of the fee for the "U" special nuclear material -
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access authorization may be refunded depending upon the status of the full 4 .
l field investigation at the time of. withdrawal or cancellation.
Dated at Bethesda, Maryland, this day of , 1985.
For the Nuclear Regulatory Commission.
! William J. Dircks l EAccutive Director for Operations.
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+.y AMENDED REGULATION 10 CFR PART 11 9
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ENCLOSURE B
I AMENDMENT TO 10 CFR PART 11
- 1. In S 11.7, Paragraph (c) is amended to read as follows:
S 11.7 . Definitions.
- (c) "NRC 'U' special nuclear material access authorization" means an administrative determination based upon a national agency check and a full-field background investigation, normally conducted by the Office of Personnel Management, that an individual in the course of employment is eligible to work at a job falling within the criteria of S11.11(a)(1) or 11.13.
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- 2. In S 11.11, the introductory text of paragraph (a) and the entire text of paragraph (b) are amended to read as follows:
S 11.11 General requirements.
(a) Each licensee who [after-February-19--1981-] uses, processes, stores, transports, or delivers to a carrier for transport, formula quantities of s.necial nuclear material (as defined in Part 73 of this chapter) subject to the physical protection requirements of SS 73.20, 73.25, 73.26, 73.45, and 73.46, of Part 73 of this chapter and each person subject to the general licensing requirements of S 70.20a 1 shall identify at its facility or plant (excluding l
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I all non power reactor facilities and storage of fuel incident thereto and facilities and plants in which the licensee possesses or uses only irradiated special nuclear material subject to the exemption of S'73.6(b) of Part 73 of this chapter), describe, and if not already provided, provide to the Commission, by[dannary-18--1982,] [ insert date 60 days from the effective date of this rule] by amendment to its security. plan:
A A A A A (b) After 365 days following Commission approval of the amended security plan submitted in accordance with paragraph (a) of this section 2 no individual may be permitted to work at any job determined by the Commission to fall within the criterion of paragraph (a)(1) of this section without an NRC-U special nuclear material acces's authorization, and no individual may be permitted unescorted access to any protected area at any site subject to this Part without either an NRC-U or NRC-R special nuclear material access authorization.
The exceptions to the requirement for an NRC-U and NRC-R special nuclear material access authorization are as follows: [An exception-is provided-for-any-individual employed-on-the effective-date of-these amendments- and not yet-in receipt-of an-approved-access-authorization-from-the-Eemmission- provided-that-a complete application-was-submitted-for-that-employee-in-accordance with-511-15-and-the application-has not-been-disapproved.]
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1 (1) Exceptions to the requirement for an NRC-U special nuclear material i
j' access authorization for an individual to work at a job within the criteria of j paragraph (a)(1) are provided for (i) any individual employed in such a job on '
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[ insert date of the effective date of this rule) who is not yet in receipt of__an f- 'NRC-U special nuclear material access authorization from the Commission, provided 4
l that' a complete application is submitted to the NRC for processing for that
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employee in accordance with S 11.15(a) and (b); or (ii) any individual in l
l possession of an NRC-L or R access authorization or an equivalent active Federal i
security clearance but not yet in receipt of the NRC-U special nuclear material access authorization, provided that a complete application has been submitted I
to and is pending before the NRC for processing for that employee in accordance i with S 11'.15(a) or (b), or both.
(2) Exceptions to the requirement for an NRC-R special nuclear material access authorization for an individual to have unescorted access to a protected .
1 j area are provided for (i) any individual employed in such a job on [ insert date of '
the effective date of this rule] who is not yet in receipt of an NRC-R special j nuclear material access authorization from the Commission, provided that a 4 ,
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. ' complete application is submitted to the NRC for processing for that employee in j j accordance with S 11.15(a) and (b); or (ii) any individual in possession of an -[
i NRC-L access authorization or an equivalent active Federal security clearance, ,
i l provided that a complete application'has been submitted to the NRC for processing l for that employee in accordance with 5 11.15(a) or (b), or both.
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- 3. In S 11.13, paragraphs (a) and (b) are amended to read as follows:
S 11.13 Special requirements for transportation.
(a) All individuals who,after 365 days following approval of the amended security plan submitted in accordance with S 11.11(a)2 transport, arrange for transport, drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as monitors at transfer points, or escort road, rail, sea, or air shipments of special nuclear material subject to the appropriate physical protection requirements of SS 73.20, 73.25, 73.26, or 73.27 of this chapter or are authorized to alter the scheduling and routing of such transport shall have NRC-U special nuclear material access authorization. [An exception-is provided-for any indiv' ideal-employed on-the-effective-date-of-these amendments-and-not yet-in receipt of an-approved-access-authorization-from-the-Eemmission provided-that a-complete-application as-submitted-for-that-employee-in-accordance-with
$11-15(b)-and-the-application-has not-been-disapproved-] Exceptions are provided for (1) any individual who is employed in such a job on [ insert date of the effective date of this rule] and who is not yet in receipt of an NRC-U special nuclear material access authorization from the Commission, provided that a complete application'is submitted to the NRC for processing for that employee in accordance with S 11.15(a) and (b); or (2) any individual in possession of an NRC-L or R access authorization or equivalent active Federal security clearance
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4 but not yet in receipt of the NRC-U, special nuclear material access authoriza-tion, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with S 11.15(a) or (b), or both.
(b) Licensees who after 365 days following Commission approval of the amended security plan submitted in accordance with 6 11.11(a), transport or deliver to a carrier for transport special nuclear material subject to the physical protection requirements of SS 73.20, 73.25, 73.26, 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. [An-exception-to-the-requirement to confirm-and-record-the-SSNM-access-authorization-number-is provided-for-any individoal-employed on-the effective-date-of-these-amendments and not yet-in receipt-of-an approved-access authorization-from-the-Eemmission- provided-that a-complete appliention-was-submitted-for-that employee-in-accordance-with S-11-13ta)-and-the application-has-not-been-disapproved.] However, the licensee need not confirm and record the special nuclear material access authoriza-tion number in the case of any individual for whom an application has been submitted and is pending before the NRC in accordance with paragraph (a) of this section.
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- 4. Section 11.15 is amended to read as follows:
S 11.15 Application for special nuclear material access authorization.
(a)(1) Application for special nuclear material access authorization, renewal, or change in level shall be filed by the licensee on behalf of the applicant with the Director, Division of Security, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Applications for affected individuals employed on [the-effective-date-of-these-amendments] [ insert the effective date of this rule] shall be submitted within 60 days of notification of Cammission approval of the amended security plan.-
(2) Licensees who wish to secure NRC-U or NRC-R special nuclear material access authorizations 'for individuals in possession of an active NRC Q or L access authorization or other security clearance granted by another Federal agency based on an equivalent investigation shall submit a " Security Acknowledge-ment" (NRC Form 176), and a " Request for Access Authorization" (NRC Form 237).
NRC will process these requests by verifying the data on an NRC cleared individual, or by contacting the Federal agency which granted the clearance, requesting certification of the security clearance, and determining the investigative basis and level of the clearance. ticensees may directly request the Federal agency which administered the security clearance, if other than NRC, to certify to the NRC that it has on file an active security clearance for an individual, and to specify the investigative basis and level of the clearance.
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(b) Applications for special nuclear material access authorization for individuals other, than those qualifying under the provisions of S 11.15(a)(2), must [shafi] be made on forms supplied by the Commission2 ,
including:
(1) Personnel Security Questionnaire (PSQ) (NRC Form 1, Parts I and II) [ completed-by-the-individual];
(2) National Agency Check-Data for Nonsensitive or Noncritical-Position (SF-85A)-for R cases only (This form must be typed.);
(3) Two completed standard fingerprint cards (FD-258) [with-the individuali s-fingerprints-(fingerprints-may-be-taken-by-a-local police-authority-];
(4) Security Acknowledgement [ form] (NRC Form 176);
(5) Authority to Release Information (NRC Form 259);
(6) [0ther] Related forms where specified in accompanying instructions (NRC-254); and (7) A statement by the employer, prospective employer, or contractor identifying the job to be assigned to or assumed by the individual and the level of authorization needed, justified by appropriate reference to the licensee's security plan.
(c)(1) Except as provided in paragraph (c)(2) of this section, NRC-U and R special nuclear material access authorization shall expire 5 years from the date of [ issue] issuance'. If continued NRC-U and R special nuclear l
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f material access auti.cization is required, an application for renewal must
[shall] be submitted at least 120 days prior to its expiration date. Failure to make a timely application'will result in expiration of special nuclear material access authorization. Special nuclear material access authorization '
for which a timely application for renewal has been made may be continued beyond the expiration date pending final action on the application. An application for renewal will [ consist-of-the-following:-] include:
(i) A statement by the licensee that at the time of application for renewal the individual's assigned or assumed job requires an NRC-U special nuclear material access authorization, justified by appropriate reference to the ;
licensee's security plan; 4
(ii) Personnel S'ecurity Questionnaire (NRC Form 1, Parts I and II);
J [ completed-by-the-applicant ]
(iii) National Agency Check-Data for Nonsensitive or Noncritical-sensitive position (SF-85A) (This form must be typed.);
(iv) Two completed standard fingerprint cards [with-the-individual's fingerprints] (FD Form 258); .
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(v) Authority to Release Information (NRC Form 259);
(vi) Other related forms where specified in accompanying NRC instructions ,
(NRC Form 254),
(2) An exception to the NRC-U special nuclear material access authoriza-tion expiration date and the time for submission of NRC-U special nuclear
, material access authorization renewal applications is provided for those individuals who have a current and active DOE-Q access authorization and who i are subject to DOE Selective Reinvestigation Program requirements. For these individuals, the time for submission of NRC-U special nuclear material access authorization renewal applications may coincide with the time for submission j to DOE of Part I of a DOE Personnel Security Questionnaire pursuant to DOE Selective Reinvestigation Program requirements. The licensee may submit to NRC, concurrent with its submission to DOE, a copy of Part I of the individual's DOE Personnel Security Questionnaire which is dated and bears an original signature together with Part II of an NRC Personnel Security Questionnaire and the forms and information required by paragraphs (c)(1)(i), (iii), (iv), (v), and (vi) ,
- of this section, as the supporting documentation for an NRC-U special nuclear material access authorization renewal application. Any NRC-U special nuclear material access authorization issued in response to a renewal application sub-i mitted pursuant to this paragraph will not expire until the date set by DOE for I
the next reinvestigation of the individual pursuant to DOE's Selective Reinvesti-gation Program (generally ev'ery five years). At that time (and at the time of 9
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each subsequent reinvestigation of the individual), the licensee may again sub-mit, concurrent with its submission tg DOE, a copy of Part I of the individual's DOE Personnel Security Questionnaire which is dated and bears an original signature together with Part II of an NRC Personnel Security Questionnaire and the forms and information required by paragraph (c)(1)(i), (iii), (iv), (v), and (vi) of this section as the supporting documentation for the renewal application. Failure to file such a renewal application concurrent with the time for submission of an individual's Part I of a DOE Personnel Security Questionnaire to DOE pursuant to DOE Selective Reinvestigation Program requirements will result in the expiration of the individual's NRC special nuclear material access authori-zation. NRC-U special nuclear material access authorizations for which timely applications for renewal have been made may be continued beyond the expiration date pending final action on the application. -
(3) Notwithstand'ing the above, in no instance shall the period of time for the initial and each subsequent NRC-U renewal application to NRC exceed 7 years. Any individual who is subject to the DOE Selective Reinvestiga-tion Program requirements but, for administrative or other reasons, does not' submit reinvestigation forms to DOE within 7 years of the previous submis-sion, shall submit a renewal application to NRC using the forms prescribed in paragraph (c)(1) above before the expiration of the 7 year period. Failure to request an NRC-U renewal for any individual within the 7 year period will result in termination of the individual's NRC-U access authorization.
(d) If at any time, due to new assignment or assumption of duties, a change in special nuclear material access authorization level from NRC "R" to "U" is required, the individual shall apply for a change of level of special
nuclear material access authorization. The application must include a description of the new duties to be assigned or assumed, justified by appropriate reference to the licensee's security plan.
(e)111 Each application for special nuclear material access authorization, renewal or change in level must be accompanied by the licensee's
.i remittance payable to the U.S. Nuclear Regulatory Commission according to the i following schedule:
P (1) New-application "B" $1-550 (2) New application- "R" 15 (3) Renewai ugu-or-- "R" 15 (4) Ehange-of-ievel.uRu-to ugu-(full fee-charged-only-if-an-investigation is-required 1-550 (5) Eenvert-existing-NRE or-B0E "Qu or uQ(X)"-to-W y1-550 (6) Eonvert-existing-NRE-or-80E utu or "E(X)u-to-B 11-550 (7) Eenvert-existing-NRE or-90E.uqu. .
uq(x3u..utu--or "E(X)u.to-R 1 15 1
. Fali-fee-charged-only-if-an-investigation-is-required--ire:--inst investigation-is-more-than-five years-old or-does-not-meet necessary investigative-scepe.
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- i. NRC-U requiring full field investigation $1,580 ti. NRC-U based on certification of comparable full y field background investigation 0 1
tii. NRC-U or R renewal 15 1
iv. NRC-R 15
- v. NRC-R based on certification of comparable 2 investigation 0 l If a full field investigation is deemed necessary, a subsequent fee of
$1580 will be assessed.
' 2 If a National Agency Check investigation is deemed necessary, a subsegaent fee of $15.00 will be assessed; however, if a full field investigation is deemed necessary, a subsequent fee of $1580 will be assessed.
[(e)]{21 Material access authorization fees will be published in
[Becember]
)
July of each year and will be applicable to each access authorization request received during the following calendar year. Applications from individuals having current Federal access authorizations may be processed expeditiously at
[iess]no cost, since the Commission may accept the certification of access authorizations and investigative data [(which-is-less-than-five years-old)] .
from other Federal government agencies which grant personnel access authorization.
1 [Naclear-Regulatory-Eemmission-(NRE)-or-Bepartment-of-Energy-(BSE) "Q"-or "E"-access-authorization granted-to-an-NRE-or-60E-employee-or-a-Bepartment-of Befense-(BGB).uyop. Secret"-(based-on-a-full-field-investigation)-or.uSecret" clearance granted-to-a-BOB-empicyee--wili permit-this-employee--on-official business--the-same-level-of-unescorted-access-to-special nuclear-material i
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within material-access-areas;-or within-vital-areas; or protected-areas-that an-NRE.ugu-or "Ru-access-authorization;-respectively;-would-afford-in accordance-with-S-11-11.]
(f)(1) Any Federal employee, employee of a contractor of a Federal agency, licensee, or other person visiting an affected facility for the purpose of conducting official business, who possesses an active NRC or DOE-Q access authorization or an equivalent Federal security clearance granted by another Federal agency (" Top Secret") based on a comparable full field background investigation may be permitted in accordance with S 11.11 the same level of unescorted access that an NRC-U special nuclear material access authorization would afford. (2) Any Federal employee, employee of a contractor of a Federal agency, licensee, or other person visiting an affected facilitj for the purpose of conducting official business, who possesses an active NRC or DOE L access authorization or an equivalent security clearance granted by another Federal agency (" Secret") based on a background investigation or national agency check may be permitted in accordance with S 11.11 the same level of unescorted access that an NRC-R special nuclear material access authorization would afford.
- 5. A new S 11.16'is added to read as follows:
S 11.16 Cancellation of request for special nuclear material access authorization.
When a request for an individual's access authorization is withdrawn or cancelled, the licensee shall immediately notify the Chief, Facilities and Personnel Security Branch, NRC Division of Security, by telephone, so that the full investigation or Na' tion'al Agency Check may be discontinued. The caller L
shall provide the full name and date of birth of the individual, the date of request, and the type of access authorization originally requested ("U" or "R").
The licensee shall promptly submit written confirmation of the telephone notification to the Facilities and Personnel Security Branch, NRC Division of Security. A portion of the fee for the "U" special nuclear material access authorization may be refunded depending upon the status of the full field
! investigation at the time of withdrawal or cancellation. -
2 Dated at Bethesda, Maryland, this day of -
, 1985.
For the Nuclear Regulatory Commission. .
William J. Dircks Executive Director for Operations.
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REGULATORY ANALYSIS Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material l
ENCLOSURE C i
i
REGULATORY ANALYSIS Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material *
Statement of Problem -
i Paragraph 10 CFR 11.11 requires each licensee which uses, processes, stores, transports or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in 10 CFR Part 73) to identify all jobs under its control in which an individual could steal or divert special nuclear material, or commit sabotage which could endanger the public by exposure to radiation. This paragraph further requires that persons who occupy the identified job positions be granted the appropriate level of NRC special nuclear material access authorization for initial or continued employment in such positions ("NRC-U" authorization for persons whose jobs permit them to have direct access to or control over the special nuclear material; and "NRC-R" authorization for those who do not have direct access to or control over the special nuclear material, but do have a requirement for unescorted access to protected areas wherein such material is located).
Section 10 CFR 11.15 requires the initial and renewal applications for NRC special nuclear material access authorization for the affected licensee employees to be submitted on forms supplied by the Commissicq. This paragraph authorizes affected licensees to grant unescorted access during official business visits to special nuclear material or to protected areas during official business visits to employees of the Commission, the Department of, i
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Energy (DOE) and the Department of Defense (D00), when such employees have personnel access authorizations or clearances which are based on investigations which are equivalent to the investigations required for licensee employees.
However, there are no provisions for formally granting NRC special nuclear material access authorizations to persons such as licensee employees who have similar personnel access authorizations or clearances granted by other Federal
, agencies and who are in, or applying for, positions at an NRC licensed facility which require the same access on a continuing basis.
At the time that 10 CFR Part 11 was promulgated, more than a dozen nuclear fuel facilities were affected. The rationale for requiring all applications to be made on NRC forms was to provide a uniform system which was tailored to the
- needs of most licensees. A central investigative data file would have been established at the Commission Headquarters for all special nuclear material access authorizations granted by the Commission. Since that time the number of licensed fuel facilities having formula quantities of special nuclear material has been reduced significantly. All of the remaining facilities have requirements, to varying degrees, for NRC and/or DOE personnel access
- authorizations. The levels of these authorizations are the same ("Q" and "L");
and they are based on the same type of investigations (full field Background Investigation and National Agency Check, respectively). Accordingly, investigative data on file with either of these two agencies would be acceptable for granting the comparable level of access to special nuclear material (i.e. , "Q" to "NRC-U" and "L" to "NRC-R"). The granting of access to special nuclear material to' employees of other Federal agencies (e.g., the I .
- Department of Defense) which have comparable current investigative data on file l
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would be consistent with this policy. Also, forms issued by other Federal agencies which are of similar design and contain all of the information required on the NRC application forms would be acceptab'le substitutes for the i:
NRC forms.
The changed circumstances in which the number of individuals needing NRC special nuclear material access authorizations are also already subject to DOE clearance requirements make it more reasonable to utilize as much of the exi, sting D0E program as pos'sible without diminishment of the NRC program.
} Accordingly, it is now appropriate to modify the regulations to allow:
'l j (a) Conversion of NRC and DOE personnel access authorizations to equivalent levels of NRC special nuclear material access authori- i
- . zations (i.e., "Q" to NRC "U" and "L" to NRC "R", respectively), when ,
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the investigations on which such personnel access authorizations were ,
i based are equivalent to those required for the level of access to I special nuclear material for which applications are being made. ;
j' (b)' Acceptance of forms accompanying the application for SNM access I
l authorization which are issued by other Federal agencies, when such ;
4 forms contain all of the information required on the prescribed NRC l l fonns. ,
l l (c) Acceptance by the Connission of copies of Part I of DOE Personnel !
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! Security Questionnaires bearing criginal signatures at the time of 4
renewal of DOE "Q" clearances. j i
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t (d) Incorporation of minor administrative changes; e.g., changing the date for annual revision of fees schedule from December to July; revising the fee for a full field investigation from $1550.00 to ,
$1580.00; and providing for cancelling or withdrawing applications for material access authorizations.
An amendment to effect the foregoing changes to the rule would achieve all of .the ob[ectives of the Commission special nuclear material access authoriza-tion program; and at the same time, not require licensees to duplicate efforts and expenditures for equivalent investigations and application data which have already been accomplished to satisfy requirements of other Federal agencies.
The significance of taking no action to resolve this problem would be to require unnecessary and unreasonable expenditures and personnel time loss on the part of licensees and their employees to acquire information which is already available from other Federal sources.
Objective ,
The objective of this rulemaking action is to provide an effective program for the Commissinn to grant special nuclear material access authorizations without imposing unnecessary administrative burdens on licensees. This can be achieved by effecting the foregoing changes to the existing rule, which will allow the Commission to certify certain cleared licensee employees into the program and to accept application forms and investigative data provided by other Federal agencies. This will allow adoption of the DOE Reinvestigation Program for renewals of those individuals possessing current DOE "Q" clearances.
Alternatives Two alternatives were considered, in detail:
. 1) ' Retain the current rule unchanged.
- 2) Amend the current rule to achieve the stated objective.
Consequences The costs and/or benefits of this rulemaking actions are summarized as
> follows:
For each applicant for special nuclear material access authorization who has a Federal personnel security clearance based upon an equiva-lent investigation, the employing licensee may submit an applicatio'n with reduced documentation and without fee. For an NRC-U special nuclear material access authorization application, this amounts to an avoidance of approximately one and one-half hours of preparation time anc' f1580 in fee. For an NRC-R special nuclear material access authorization application, the avoidance is approximately one and one-half hours of preparation time and $15 in fee. There also is an annual avoidance in the renewal of NRC-U authorizations for individuals who are also subject to DOE "Q" renewal requirements.
o .
Approximately one and one-half hours of preparation time is avoided for each such renewal.
- On the basis of recent information it is estimated that a total of ,
! 5075 individuals will require NRC special nuclear material access authorizations. Under the current Part 11 requirements each one of these l
individuals would have to submit a complete application. They would also have l
to complete the form when applying for renewal of the access authorization 5
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yea.rs after initial issuance. The total number of complete applications to be submitted during the first 5 years, assuming there will be an annual attrition rate of 10% requiring new applications for replacement employees, would be as follows.
1 initial applications 5075 second year new 508 third year new 508 fourth year new 508 fifth year new 508 total ,
7107 annualized rate 1421 Under the proposed revision to Part 11, information filed with the Federal government under other investigative programs can be used as a basis for issuing NRC material access authorizations. It is, therefore, expected that 3200 of the initial 5075 applications will not need to be complete applications. Also, an estimated 880 applications for renewal of NRC-Us will use copies of an equivalent DOE form which is sent simultaneously to DOE at the
time of the NRC renewal application. It is expected that the percentage of individuals subject to both NRC and DOE programs will remain fairly constant.
Therefore, the DOE form will be used for roughly the same proportion of NRC renewals in the future. The rate of submission of complete applications under the revised Part 11 requirements would therefore be as follows.
initial applications 5075-3200 1875 secon'd year new 188 third year new 188 fourth year new 188 fifth year new 188 total 2627 annualized rate -
525 The difference in the annualized rates of submissions of complete applications represents a savings in licensee burden. At a staff rate of $60 per hour this amounts to: $80,640 per year.
(1421 - 525) X 1.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> / application X $60/ staff hour.
Processing a complete application requires about 9 minutes of NRC staff time.
Therefore, processing the 1421 annual submissions under the revised Part 11 would, at $60 per staff hour, cost $12,780. Under the revised Part 11 the reduced cost for procissing only 525 forms per year would be $4,725. This provides a net savings of $8,055. These savings in licensee and government burden are slightly offset by the cost of processing other forms; namely, the NRC Form 237. Each of the six licensees is expected to submit one of these 7-t
1 forms with a list of the indiviouals qualifying for the reduced application.
This form requires about 0.2 hrs for the licensee to prepare and the same time 3
for the NRC to process. The added burden to licensees and the NRC is ,
therefore:
- 6 foms X 0.2 hrs / form X $60/hr = $72.
4 The savings in administrative burden to licensees on an annualized basis for !
l !
the first five years is therefore: $80,568,1.e., ($80,640 - $72)
The saving's to the Federal government on an annualized basis is therefore:
$7,983,i.e.,($8,055-$72)
The one time savings to licensees in fees for 3200 initial material i
access authori2ation who qualify on the basis of current equivalent personnel
, clearances is as follows: '
j 880 0 X $1580 = $1,390.400 2320 R X $15 = $34,800 Total $1,425,200 1
1 Conclusion ,
t Alternative 2 (" Amend the current rule to achieve the stated objective")
should be implemented. The monetary cost to the Comission is minimal, as l
1 compared to the adverse impact of imposing on fuel facility licensees unnecessaryandduplicativerequirementsoftheexistingrule(i.e.,lessthan l the cost of one full field bickground investigation would be expended to amend the rule).
f .
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e WEEKLY REPORT TO THE COMMISSION OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS
. ENCLOSURE D
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DAILY STAFF NOTES OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS Final Rule to be Signed by the EDO d
On. ., 1985, the Executive Director for Operations approved a final rule which would amend 10 CFR Part 11. This final rule would allow utilization of c.urrent active Federal clearances based on equivalent investigations as a basis for granting NRC special nuclear material access authorizations. It also incorporates a number of minor administrative changes related to fee costs, fee schedules, and cancellation or withdrawal of a'pplications for access authorizations. ,
s This notice constitutes notice to the Commission that, in accordance with the
- t.
rulemaking authority delegated to the EDO, the ED0'has received this final rule an'd proposes to forward it on to thd0ffice of the Secretary for FR publication, unl'ess otherwise directed by the Commission.
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