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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- l 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 (.urrent active clearances b~ased 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. I i
EFFECTIVE DATE:
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l FOR FURTHER INFORMATION CONTACT: Dr. W. B. Brown, Office of Nuclear !
! Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, i r l Washington, DC 20555, telephone: (301) 427-4185. L l
8601090459 851223 PDR PR l
10 50FR39076 PDR r
SUPPLEMENTARY INFORMATION:
BACKGROUND 4
On March 17, 1977 (42 FR 14880), the NRC published proposed amendments to its regulations 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 1
proposed regulations and subsequently established a Hearing Board to gather additional testimony. A final rule, based upon recommendations of the Hearing Board regarding only fuel cycle facilities and transportation, was published in d
i 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 (DOE) facilities and at mixed DOE /NRC facilities. Subsequently, the population of individuals affected has become one in which DOE /NRC mixed
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 Accordingly, the incentive to establish and maintain a comparable and independent NRC program has been replaced by an incentive to use as much of the existing Federal system as possible.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 D00, 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 an 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 en individuals with current Federal clearances. It also allows 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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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 individual is subject to both DOE "Q" clearan'ce and NRC "U" access i authorization requirements.
MINOR ADMINISTRATIVE CHANGES i 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 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 between 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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t 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 and 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 The NRC has determined that this final rule is the type of action 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 (44 U.S.C. 3501 et seq.).
These requirements were approved by the Office of Management and Budget approval number 3150- . ,
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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 i
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.S.C. 553, the NRC is adopting the following amendments to 10 CFR Part 11.
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PART 11 CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR -
CONTROL OVER SPECIAL NUCLEAR MATERIAL i
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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:
S 11.7 Definitions. !
a a a a a (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 t eligible to work at a job falling within the criteria of $11.11(a)(1) or S11.13.
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- 3. In S 11.11, the introductory text of paragraph (a) and the entire text of paragraph (b) are revised to read as follows:
S 11.11 General requirements.
(a) Each licensee who uses, processes, stores, transports, 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 SS 73.20, 73.25, 73.26, 73.45, and 73.46, and each person subject to the general licensing requirements of S 70.20a, shall identify at 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 S 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:
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(b) After 365 days following Commission approval of the amended security plan submitted in accordance with paragraph (a) of this section, no individual i 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 access 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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(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 (1) 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 has been submitted to and is pending before the NRC for processing for that employee in accordance with 6 11.15(a) and (b);
or (ii) any individual in possession of an NRC-L or R access authorization or an eqeivalent 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 6 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 (1) 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 Comission, provided that a complete application has been submitted to and is pending before 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 9 II.15(a) or (b), or both. ,
- 4. In 5 11.13, paragraphs (a) and (b) are revised to read as follows:
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6 11.13 Special requirements for transportation.
(a) All individuals who, after 365 days following approval of the amended security plan submitted in accordance with 911.11(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 subject to the appropriate physical protection requirements of 9% 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. 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 Connission, provided that a complete application I has been submitted to and is pending before the NRC for processing for that employee in accordance with 5 11.15(a) and (b) or (2) any individual in pos-session 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 ;
i access authorization, provided that a complete application has been submitted
- to and is pending before the NRC for processing for that employee in acco. dance ,
i with 5 11.15(a) or (b), or both, t (b) Licensees who, after 365 days following Commission approval of the amended security plan submitted in accordance with 5 11.11(a), transport or t deliver to a carrier for transport special nuclear material subject to the 10 - !
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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.
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- 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 j 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 .7aclear material access authorizations for individuals in possession of an active NRC Q or L
t 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 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 611.15(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) Twocompletedstandardfingerprintcards(FD-258);
(4) Security Acknowledgement (NRC Form 176);
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c (5) Authority to Release Information (NRC Form 259);
1 (6) Related forms where specified in accompanying instructions l (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.
a 1 (c)(1) Except as provided in paragraph (c)(2) of this section, NRC-U r
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 j access authorization is required, an application for renewal must 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 j timely application for renewal has been made may be continued beyond the. ;
j expiration date pending final action on the application. An application for renewal will include: l 4
- (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 [
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- nuclear material access authorization, justified by-appropriate reference to i .the licensee's security plan; .
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(ii) Personnel Security Questionnaire (NRC Form 1, Parts I and II);
(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 mate' rial access authoriza-t 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 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 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 toget.her 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-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 each 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 4
Program requirements but, for administrative or other reasons, who does not submit reinvestigation forms to 00E 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 1
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)(1) Each application for special nuclear material access authorization, renewal or change in level must be accompanied by the licensee's remittance payable to the U.S. Nuclear Regulatory Commission according to the following schedule:
- i. NRC-U requiring full field investigation $1,580
- 11. NRC-U based on certification of comparable full y ;
field background investigation 0 1
- iii. NRC-U or R renewal 15 1
l iv. NRC-R 15 l v. NRC-R based'on certification of comparable '
2 investigation 0 '
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N-I If a full field investigation is deemed necessary, a subsequent fee of 2
.$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 deemed necessary, a subsequent fee of $1580 will be assessed.
1 (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 i
i authorizations and investigative data from other Federal government agencies ;
j which grant personnel access authorization.
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(f)(1) Any Federal employee, employee of a contractor of a Federal agency, ;
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( licensee, or other person visiting _an affected facility for the purpose of 'l conducting official business, who possesses an active NRC or_ DOE-Q access i i
authorization or an equivalent Federal security clearance granted by another !
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! Federal agency (" Top Secret") based on a comparable full field background .
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l investigation may be permitted in accordance with 5 11.11~the same level of l
1 l unescorted access that an NRC-U special nuclear material access authorization '
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would afford.
, (2) Any Federal esployee, employee of a contractor of a Federal i
i agency, licensee, or other person visiting an affected facility for the purpose ;
l of conducting official business, who possesses an active NRC or DOE-L access !
l authorization or an equivalent security clearance granted by another Federal f
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l agency (" Secret") based on a background investigation or. national agency check L
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i may be permitted in accordance with S 11.11 the same level of unescorted I
access that an NRC-R special nuclear material access authorization would afford.
- 6. AnewS11.16isaddedtoreadasfollobs:
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S 11.16 Cancellation of request' for special nuclear material access authorization.
When a request for an individual's access authorization is withdrawn or caiicelled, 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 discontinued. The caller 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").
2 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.
Dated at Bethesda, Maryland, this /$ day of b/
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, 1985.
For tne Nuclear Regulatory Commission.
t William J'. Dircks W
Executive Director for Operations.
3 3ee78 Fedesel Re@ssef Vol. 50. No. (as / Pddly. Sept:mber 27, 1985 / Ruhs c.nd Regul;tions mq% .
r rdingly ChapterIof Title 8of the suom.assee Tasty sosponesATlost significant economic impact on a Co'de of Federal Regulations is amended Ba& ground botantial number of small entities.
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- A document published in the F tive Order 12372 23304), ed brucell is Cata er Domestic sei tan e ATION Ll6?. _ -
regulations in 9 CFR Part 78 by cluding under o.10.025 and is subject t the o
- 1. n e thority citation for Part 235- Medina County Texas in de a of provisi s of Executive Order 72 continues t read as follows:, Texas designated as Class B. or to the which re uires intergovernme tal effective date of the interim e, consultati with State and i I
- 3 g, ***$samended Ac Medina Coaty. Texas we included in officials. (. 7 CFR 3015. S partV 48 *
- the AreaogTexas es as Class (a UE1m m C. The amendment. whi was made FR 29112. J 24,1983:40 22873.
May 31.1984: FR 1 April 10.
(^ ^ 1 effective June 4.1986, eyes certain I 238.3 1985).
restrictions on the inte tate movement In i 238.3 Aliens immedi' ate and of cattle from Medin unty. Texas. Ilst of Bubjects 9 Part7s continuous transiti e listing of Comments were e ' cited for 80 days transportstion unes , paragraph (b) Animal Disease ttle. Hogs, after publication o e amendment. No Quarantine. Trans ation. Brucellosis.
~--.,e Signatory h,n,es is ame ded by: Adding comments wW ived. The factual in dphabetical seqcen Five Star situation which a set forth in the Airlines. PART 7*- ""' _ ' _
document of J e 4.1985, still provides a Deted; Sopweber 20.1ssa.
- basis for the dment. Accordingly, e inte ruik amending 9 s Part78 was.
MasMa [. Game. Executive and Regulatory
- published at FR 7 -= on June.
Acfing Associate Commissioner. Flexibility 4.1965. La ad ted as a rule. .
His is issued in conformance Aulbeutey- U.S.C.111-1 1145 11A with Ex ve Order 12291 and has 117.12a 1 123-12s.134b.134t; CFR 2.1Ti
[TR Doc. 8M106 Filed 9-2S46; 8:46 been ' ed to be not a major rule,. 2.51, and 3 .2(d). .
satssa caos ans-ms Ba n information compiled by the Donee ashington. DC this day d i
- De ent,it has been determined that Sept 1ses. - .
e will not have a significant- B.G.
DEPARTMENT OF AGRICULTURE e on tfie economy: will not cau for increase in costs or prices fo,se aAc- Deputy Administator. Veterin r- S, cu, Animal anet Plant Healtti inspection naumers,ladividualindustries.
[ u-2302s Fued 9-26 46; 8:45 am]
3,,.,ge, ederal. State, or local government ,,,, ,
gencies, or geographic regions: and will 9 CFR Part 73 t have any significant adverse effects -
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o competition, employment.
ins stment. productivity innovation.or NUCLEAR REGULATORY (Docket Na ese on e abuity of United States. based COMMISSION BruceNoets in Cattle; State and ente rises to compete with foreign-Cteselfications based nterprises in domestic or export 10 CFR Part 11 marke Aossocy: Animal and Plant Hea For thz action the Office of Crtteria and Procedures for Inspection Service. USDA. Managem at and Budget has waived its Determining Eligitselity for Accese to or review p se required by Executive Control Over Special Nuclear Material Actioet Affirmation ofinte rule.
Order 12291.
sussesAsty: Dis document ffirms the Changmg status of a portion of the Aossocv: Nuclear Regulatory intIrim rule which amen the State of Texas uces testing and other Commission.
regulltions governing interstate requirements o the interstate ACTioet Final rule.
mzv: ment of cattle use of movement of ce in cattle. Cattle sussesAsty:ne Nuclear Regulatory i ughter, f r u a bre stock. or Commission is amending the fT designated as Clas B rather than in the for feeding. Testing uirements for "9" **"ts for app ti fo initial portion of the Sts designated as Class cattle moved intersta for immediate s nud mae C.nis rule is n essary because it has slaughter, or to quaran ed feedlots are not affected by the ch e in status. renewel of "U" access authorizations by been determin that Medina County together with e previously designated Also, catt!e from Certifie Brucellosis- go af ormation on ected y at tu I as those individuals who possess current ards B. ffe of the active clearances based upon equivalent b ren determined that the ch e in i
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- Te n m pattern e c sea y d ca o not have a significant economic pact administrative and investigative costs to OATS: September 27.1966. licensees for affected individuals as well l on those persons affected by this poet sospostasATioes costrAcT: document. as reduce certain NRC administrative Dr. .H. Frye. Cattle Diseases Staff. VS. Under these circumstances, the costs.
. USDA Room 814. Federal Administrator of the Animal and Pla sPracTrva OATS: October 28,1985.'
B Iding. 6505 Belcrest Road. Health inspection Service has con runTwsn sosponesATiose coerrAcT:
yattsvt!!e. MD 20782. 301-436-8711. determined that this action will not ha Dr. W.B. Brown. Office of Nuclear l
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Federal Register / Vcl. 50. No.188 /.Frid:y. SeptImber 27, 1985 / Rults cnd Reguhti ns 39377
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Material Safety and Safeguards. U.S. clearance to use some of the DOE to the Paperwork Reduction Act of 1980 l Nuclear Regulatory Commission. documents in making application for the (44 U.S.C. 3501 et seq.). %ese l Washington, DC 20556, telephone: (301) NRC "U" material access authorization, requirements were approved by the 427-4185. His reduces the a<iministrative burden Office of Management and Budget i supsussuesTam MTeess: upon applicants. approval number 3150-0062. I Backgreemd Use of Department of Energy Regulatory Analysis Reinvesdgade Program The Commission has prepared a On March 17,1977 (42 FR 14e80), the NRC published proposed amendments Application for renewal of an NRC regulatory analysis on this final to its regulations which would establish "U" material access authorization may regulation.%e analysis examines the en access authorization program for follow the schedule of the DOE costs and benefits of the alternatives individuals who have unescorted access Reinvestigation Program and utilize considered by the Commission.ne to or control over special nuclear signed snd dated copies of Part I of the analysis is available for inspection in material Written comments were DOE Personnel Security Questionnaire the NRC Public Document Room.1717 H invited and received. On December 28, if an individualis subject to both DOE Street NW., Washington. DC. Single 1977 (42 FR 64703), the Commission "Q" clearance and NRC "U" access ' copies of the analysis may be obtained issued a notice of public hearings on the authorization requirements. from Dr. W.B. Brown. Office of Nuclear proposed regulations and subsequently Minor Administrativechangea Material Safety and Safeguards. U.S.
established a Hearing Boartito gather Nuclear Regulatory Commission.
additional testimony. A final rule, based - A number of administrative changes Washington. DC '!D555. telephone: (301) upon recommendations of the Hearing which are not related to reducin8 427-4185. l doord regardag only fuel cycle facilities duplication are included in this rule and. transportation, was published in the revision. The schedule date for revision IJst of Subjects la le CFR Part 11
- Fedesel Register amending to CFR Parts of fees has been changed from Hazardous materials transportation.
11; 50 and 70 on November 21.1980 (45 December to July; the fee for a full field Nuclear materials. Reporting and Mt 78988), investigation has been changed from recordkeeping requirements. Security One of the reasons for undertaking the $1550.00 to $1580.00 to reflect the current measures.Spedal nudear material NRC access authorization program for cost; and a new section has been added individuals having access to or control regarding withdrawal or cancellation of PART 11-CRITERIA AND over special nuclear material was to applications. PROCEDURES POR DETERGAINING )
maintain comparability with a similar ELIGIBIUTY POR ACCESS TO OR j Ominalaa of a Proposed Rule program of clearances at Department of CONTROL OVER SPECIAL NUCLEAR '
Energy (DOE) facilities and at mixed Rese changes in the procedures in 10 MATERIAL .
DOE /NRC facilities. Subsequently, the CFR Part 11 were initiated in response population of individuals affected has to a request by a licensee for elimination For the reasons set out in the become one in which DOE /NRC mixed of needless duplication between the preamble and under the authority of the 1 facility emphyees are by far the NRC special nuclear material access Atorric Energy Act of 1954, as amended. l dominant segment. Accordingly, the authorization program and the the Energy Reorganization Act of 1974. l incentive to establish and maintain a Department of Energy personnel as amended, and 5 U.S.C. 553, the NRC comparable and independent NRC clearance program. The changes have is adopting the following amendments to program has been replaced by an been discussed in detail with all 10 CFR Part 11.
incentive to use as much of the existing affected licensees. All agree that the 1. ne authority citation for Part 111s Federal system as possible.The changes are desirable. The changes do revised to read as follows:
revisions to 10 CFR Part 11 accomplish not alter the list of jobs identified in 10 Authodty: Sec. tot. including 161L 68 Stat.
this end. CFR Part 11 as requiring material access 94a. as amended (42 U.S.C. 2201): sec. 201. as Conversica of Clearances authorization: therefore. individual ; tat.1242. as amended (42 U.S.C. seat 1 applicants for access authorizations are l Section it.tstel also issued under sec. 501. e5 Under the revised Part 11 either not affected or are benefited by Stat. 290 (31 U.S.C. 9701).
requirements the NRC would accept an the elimination of duplication. No other existing personnel access clearance persons are affected by the changes. For
- 2. In i 11.7. Paragraph (c) is revised to from any Federal agency, including these reasons good cause exists for read as follows:
NRC.DOEorDOD if theinvestigation omitting notice and public rulemaking as i 11.7 Definetsone.
upon which the clearance is based is unnecessary. Accordingly, these . . . . .
equivalent to the investigation required changes in 10 CFR Part 11 are issued as for the special nuclear material access (c) ..NRC *U'special nuclear material a final rule effective in 30 days. access authoriz,adon means an authorization.His avoids having to conduct an investigation on an Environenantal Impact: Categorical admmistrative determination based individual for whom an adequate Exclusion upon a national agency check and a full-investigation already exists. The NRC has determined that this fi eld background investigation. normally fin Irul th f b conducted by the Office of Personnel f"" Ap@canoa "
in categ cal ex union 10 CF Management, that an individual in the 51.22(c)(1).Therefore, neither an C ufSe o employment is eligible to work Acceptance of an application for environmental impact statement not an at a j b falling within the criteria of access authonzations on other than environmental assessment has been i 11.11(a)(1) or I 11.13.
NRC forms allows the NRC to use prepared for this final rule.
existing informatfort on individuals with 3. In i 11.11 the introductory text of current Federal clearances.it also Paperwork Reduction Act Statement paragraph (a) and the entire text of allows an individual applying for This final rule amends information paragraph (b) are revised to read as renewalof a DOE"Q" personnel . collection requirements that are subject follows:
k-f *
. 4
\
39WE Federal Register /.Vcl. 50. N:.188 / Friday. Septitnber 27. 1985 / Rulis'affd-Regulations _ _
$ 11.11 General Ci -. area are provided for (i) any individual confirm and record prior to shipment the (a) Each licensee who uses, processes, employed in such a job on October 28. name and special nuclear material stores, transports, or delivers to a 1965 who is not yet in receipt of an access authorization number of all carrier for transport formals quantities NRC-R special nuclear material access individuals identified in paragraph (a) of cf special nuclear material (as defind authorization from the Commission. this section assigned to the shipment.
In Part 73 of this chaptar) subject to the provided that a complete application However, the licensee need not confirm physical protection requirements of has been submitted to and is pending and record the special nuclear material il 73.20. 73.25. 73.26,73.45 and 73.48. before the NRC for processing for that access authorization number in the case end each person subject to the general employee in accordance with i 11.15 (a) of any individual for whom an licensing requirements of i 70.20s, shall and (b): or(ii) any individualin application has been submitted and is identify at its facility or plant (excluding possession of an NRC-L access pending before the NRC in accordance 4 cli non-power reactor facilities and authorization or an equivalent active with paragraph (a) of this section.
storage of fuelincident thereto and Federal security clearance. provided 5. Section 11.15 is revised to read as f cilities and plants in which the that a complete application has been
~
follows:
licensee possesses or uses only submitted to the NRC for processing for irradiated special nuclear material that employee in accordance with g specsai nucseer subject to the exemption of I 73.6(b) of i 11.15 (a) or (b). or both.
P;rt 73), describe and if not already g 11.13 (Revised]
provided, provide to the Commission by .
material access authonzation, renewal.
December 26,1965 by amendment to its 4 Section 11.13 is revised to read as or change in level shall be filed by the security plan: f 11 w8: licensee on behalf of the applicant with g , ,,,3 g ,,,,,,, ' L _ ,,, the Director. Division of Security. U.S.
(b) After 365 days following transportation. Nuclear Regulatory Commission.
Commission approval of the amended (a) Allindividuals who, after 365 days Washington. DC 20555. Appucadons for security plan submitted in accordance following approval of the amended affec+ed individuals employed on with paragraph (a) of this section, no - security plan submitted in accordance October 28,1985, shall be submitted individualmay be permitted to work at with i 11.11(a). transport, arrange for within 60 days of notification of any job determined by the Commission transport, drive motor vehicles in road Commission approval of the amended ta fall within the criterion of paragraph - shipments of special nuclear material, security plan.
(2)(1) of this section without an NRC-U pilot aircraft in air shipments of special (2) Licensees who wish to securs' special nuclear material ~ access nuclear material, act as monitors at NRC-U or NRC-R spectal nuclear cuthorization, and no individual may be transfer points, or escort road. rail, sea, material access authorizations for penr.itted unescorted access to any or air shipments of special nucle ~ar individuals in possession of an active protected area at any site subject to this material subject to the appropriate NRC Q or L access authorization or Part without either an NRC-U or NRC-R physical protection requirements of other security clearance granted by special nuclearmaterial access il 73.20,73.25,73.26. or 73.27 of this another Federal agency based on an cuthorization. The exceptions to the chapter, or who are authorized to alter equivalent investigation shall submit a requirement for an NRC-U and NRC-R the scheduling and routing of such " Security Acknowledgement"(NRC special nuclear material access transport shall have NRC-U special Form 176) and a " Request for Access cuthorization are as follows: nuclear material access authorization. Authorization" (NRC Form 237). NRC (1) Exceptions to the requirement for Exceptions are provided for (1) any will process these requests by verifying en NRC-U special nuclear material individual who is employed in such a the data on an NRC cleared individual, cccess authorization for an individual to job on October 28.1965 and who is not or by contacting the Federal agency work at a job within the criteria of yet in receipt of an NRC-U special which granted the clearance. requesting
. piragraph (a)(1) are provided for (1) any nuclear material access authorization certification of the security clearance.,
individual employed in such a job on from the Commission. provided that a and determining the investigative basis October 28.1985, who is not yet in complete application has been and level of the clearance. Licensees Teceipt of an NRC-U special nuclear submitted to and is pending before the may directly request the Federal agency m:terial access authorization from the NRC for processing for that employee in which administered the security Commission. provided that a complete ' accordance with i 11.15 (a) and (b) or clearance, if other than NRC. to certify epplication has been submitted to and is (2) any individual in possession of an to the NRC that it has on file an active pending before the NRC for pr3 cessing NRC-L or R access authorization or security c!earance for an individual and f r that employee in accordance with equivalent active Federal security to specify the investigative basis and i 11.15 (a) and (b): or (ii) any individual clearance but not yet in receipt of the level of the clearance.
In possession of an NRC-L or R access NRC-U special nuclear material access (b) Applications for special nuclear cuthorization or an equivalent active authorization. provided that a complete material access authorization for Federal security clearance but not yet in application has been submitted to and is individuals, other than those qualifying receipt of the NRC-U special nuclear pending before the NRC for processing under the provisions of i 11.15(a)(2),
m terial access authorization. provided for that employee in accordance with must be made on forms supplied by the that a complete application has been i 11.15 (a) or (b). or both. Commission. including-submitted to and is pending before the (b) Licensees who, after 365 days (1) Personnel Security Questionnaire NRC for processing for that employee in following Commission approval of the (PSQ)(NRC Form 1. Parts I and II)?
cccordance with i 11.15 (a) or (b). or. amended security plan submitted in (2) National Agency Check. Data for both. accordance with i 11.11(a). transport or Nonsensitive or Noncritical-Position (2) Exceptions to the requirement for deliver to a carrier for transport special (SF-85A) for R cases only ('Ihis form rn NRC-R special nuclear material nuclear material subject to the physical must be typed.):
access authorization for an individual to protection requirements of Il 73.20 (3)Two completed standard have unescorted access to a protected 73.25. 73.26. or 73.27 of this chapter shall fingerprint cards (FD-258);
f l
t age 73
, Federal Regisser'/ Vcl. 50. Ns.188 / Frid:y. SeptImber 27. 1965 / Rults and Regulstiona Reinvestiga' tion Program requirements. the individual's NRC-U access
( ) Security Acknowledgement (NRC authorization.
The licensee may submit to NRC.
~
Form 178):
(5) Ausbonty to Release Information cdncurrent with its submission to DOE. (d) If at any time, due to new (NRC Form 25e); a copy of Part I of the individual's DOE assignment or assumption of duties a (6JRelated fanns whatw specified in Personnel Security Questionnaire which change in special nuclear material accompanying instructions (NRC-254); is dated and bears an original signature access authonzation level from NRC "R" and together with Part II of an NRC to "U" is required. the individual sha!!
(7) A statement by the employer. Personnel Security Questionnaire and apply for a change oflevel of special prospective employer, or contractor the forms and information required by nuclear material access authorization.
identifymg the job to be assigned to or paragraphs (c)(1) (i) (lii), (iv), (v) and The application must include a assumed by the individual and the level (vi) of this section. as the supporting description of the new duties to be of authorization needed. justified by documentation for an NRC-U special ass gned or assumed. justified by appropriate reference to the licensee's nuclear material access authorization appropriate reference to the licensee's secunty plan- renewal applicaffon. Any NRC-U secun y p gan.
(c)(1) Except as provided in paragraph special nuclear material access authorization issued in response to a (e)(1) Each application for special (c)(2) of this section. NRC-U and R nuclear material acpse authorization.
special nuclear material access renewal application submitted pursuant authorizations shall expire 5 years from renewal or change m level must be to this paragraph will not expire until the date of issuance. If continued NRC- the date set by DOE for the next accompanied by the licensee's U and R specisl nudear material access remittance payable to the U.S. Nuclear reinvestigation of the individual authorization is required, an application pursuant to DOE's Selective ilegulatory Commission according to the for renewal must be submitted at least Reinvestigation Program (generally following schedule:
120 days pdor to its expiration date. every five years). At that time (and at L NRM mquiring fuH Sold in M Failure to make a timely application will the time of each subsequent n.
8 o an e reinvestigation of the individual), the it ggNsa , f ce ,y tgc tion ,o
[n Kptre d Ucen888 M8y 8g8 u nu A of amparable fun Seld nuclear material access authorization with its submission to DOE. a cooy of background investigation.
for which a timely application for Part I of the individual's DOE Personnel ' lu. NRC.U or R renew a '
- 15 renewalhas been made niay be 8 13 Secunty Questionnaire which is dated iv. NRC-R
- v. NRC.-R bened on certification 80 l continued beyond the expiration date and bears an original signature together '
pending final action on the application. of comparable investigation.
with Part II of an NRC Personnel An application for renewal will include: Security Questionnaire anel the forms n. .
(i) A statement by the licensee that at and sti by are aphs = w . rus, esn.w go is s.-.s the time of application for renewal the individual's assigned or assumed job section as th'e supporting documentation E.."".r
- S
% ,/ rO.esus*e"**"T. T O.a.
rr requires an NRC-U special nuclear f r the renewal application. Failure to material access authorization. Justified e a y"""*
appy*priate reference
"" to the h a]w o mission (2) Material access authorization fees will be published in July of each year (ii) Personnel Security Questionnaire of anindividual's PartIof -
a DOE and will be applicable to each access Personnel Security Questionnaire t authorization request received during (NRC Form t. Parts I and II): DOE pursuant to DOE Selective (iii) National Agency Check-Data for the followin calendar year Reinvestigation Program requirements Applications from individuals having Nonsensitive or Noncritical. sensitive re' pk " '
posi on (SF-85A)(This form must be y dual C spedal nucl t current Federal access authorizations may be processed expeditiously at no material access authorization. NRC-U cost, since the Commission may accept v)iwo completed standard. special nuclear material access the certification of access authorizations fingerprint cards (v) Authority (FD Form to Release Info258)Enation authorizations for which timely and investigative data from other applications for renewal have been Federal government agencies which (NRC Form 259); and made may be continued beyond the grant personnel access authorization.
(vi) Other related forms where expiration date, pending final action on specified in accompanying NRC the application. (f)(1) Any Federal employee.
Instructions (NRC Form 254). employee of a contractor of a Federal (2) An exception to the NRC-U special (3) Notwithstanding the above,in no instance shall the period of time for the agency. licensee, or other person visiting nuclear material access authorization an affected facility for the purpose of expiration date and the time for initial and each subsequent NRC-U submission of NRC.-U- special nuclear renewal application to NRC exceed 7 conductingofficialbusiness who years. Any individual who is subject to possesses an active NRC or DOE-Q material access authorization renewal access authorization or an equivalent applications is provided for those the DOE Selective Reinvestigation Program requirements but, for Federal security clearance granted by individuals who have a current and another Federal agency (' Top Secret")
administrative or other reasons, who active DOE-Q access authorization and based on a comparable full field who are subject to DOE Selective does not submit reinvestigation forms to DOE within 7 years of the previous background investigation may be Reinvestigation Program requirements.
For these individuals, the time for submission shall submit a renewal permitted in accordance with 511.11 the submission of NRC-U special nuclear application to NRC using the forms same level of unescorted access that an prescribed in paragraph (c)(1) above NRC-U special nuclear material access material access authorization renewal authorization would afford. (2) Any applications may coincide with the time before the expiration of the 7 year period. Failure to request an NRC-U Federal employee, employee of a for submission to DOE of Part I of a contractor of a Federal agency, licensee.
ISOE Personnel Security Questionnaire renewal for any individual within the 7
. pursuant to DOE Selective year period will result in termination of
- or other person visiting an affected
\ ,
t aggu Federal Register / Vcl. 50. Na 188 / Frid:y, Sept:rnber 27, 1965 / Rulis and Reguhti ns -
f:cility for the purpose of conducting (n _-i y FUTURES TRADING The brief shallinclude a statement of the reasons why it is clauned that the order o official business, who ponesses an ISS80N '
the National Futures Association compo a active NRC or DOFA. access with the standards for disposition u cuthorization or an equivalent security 17 Port 3 '"i'* "" '* I" I '~"# * * ' " ' '"d clearance granted bY another Federal the specific facts which support thos of NeuonalFutures ,,,,,,..
agency (" Secret") based on a . m background investigation or national
_""" P***8"98 As revised, this sentence rea as agency check may be permitted in age,,cy. mmodity Futures Trading I !I **'
cecordance with i 11.11 the same level Commini ne bnef shallinclude a sta ment of the cf unescorted access that an NRC-R ACTiose Fin rules. reasons why it is claimed th the order of specialnuclear material access ' " '
cuthorization would afford. suasesany:n Commodity Futures be s d na "i Ne
- 8. A new I 11.18 is added to read as Trading Commi ion (" Commission")- provisions of I 3.87 of thi s.ibpart and the follows: has adopted rule pursuant to which the specific facts which sup rt those reasons.
I No Cancematon of 6 W W Commission. in ac ordance with the d4
.y parallels i 3.87(b). hich provides that ty r ang t( A the ader of NFA ballbe affirmed When a request for an individual's U.S.C. 21(o)(2) (1962). Il review unless the Co ,eston makes one or access authorization is withdrawn or registration proceedi conducted by a ut fadiin that cancelled, the licensee shall mon of the f the National Futures As ation paragraph.
immediately notify the Chief. Facilities ("NFA") to deny conditio suspend.
and Personnel Security Branch. NRC restrict or revoke registrati ne n o Regula . Flexibility Act Division of Security, by telephone, so Commission has authorized A to The Co selon has previously that the full investigation or National conduct such proceedings eff tive dete that neither futures Agency Check may be discontinued.He September 30,1985. commi ion merchants nor registered caller shall provide the full name and errecTive oAft September 30,1 comm dity pool operators should be date of birth of the individual, the date cons' ered small entities for purposes of of request, and the type of access con runTwen neronesATtoes coort .
!.inda Kurjan. Special Counsel. or ilip the egulatory Flexibility Act ("RFA"). 5 cuthorization originally requested ("U" V. McGuire. Attorney Division of U. .C. 801 et seq. Accordingly, the or "R").He licensee shall promptly r quirements of the RFA do not apply to submit written confirmation of the Trading and Markets. Commodity Futures Trading Commission. 2033 K ose entities. With respect to the telephone notiffcation to the Faci!Itfes remaining entities, introducing brokers.
cad Personnel Security Branch. NRC Street NW., Washington DC 20581.
commodity trading advisors and Division of Security. A portion of the fee Telephone:(202) 254-8055. ssociated persons, the Commission for the "U" special nuclear material suertassewrAny neronesariose On ted when it proposed these rules that eccess authorization may be refunded August 14.1985. the Commission it elieved they would not impose any depending upon the status of the full published in the Federal Register ad 'tfonal burdens upon such parties, field investigation at the time of proposed rules pursuant to which sinc all registrants are already subject withdrawal or cancellation. Commission,in accordance with to si lar requirements under Part 3 of Dated at Bethesda. Maryland, this 13th day provisions of section 17(o)(2) of t Act. the Co 'asion s regulations, and the 7 U.S.C. 21(o)(2) (1982), will revi of September 1986.
registration ptcceedings condu ted by propose rules simply provide a For the Nuclear Regulatory Commission. procedur to petition for review of an NFA to deny, condition, sus d.
order conc rning the registration of such IErds, restrict or revoke registratio . 50 FR Executive DhectorforOperations.
parties. The efore, pursuant to section 32737.By order dated Augi t 22.1985. 5 U.S.C. 605(b), the the Commission has auth ed NFA to 3(a) of the (FR Doc. 85-2318e Filed 9-26-85: 8-45 am] Chairman cert ses that these regulations enAmea coca riss.es-u conduct such procee - . effective will not have a 'gnificant economic i
_ September 30,1965, wi respect to impact on a subs ntial number of small
- futures commission m ants, entities.
intr ducing brokers, ommodity pool RTMENT OF COMMERCE operators. commo trading advisors Effective Date l j
and their respectiv associated persons. strative ,
Int Trade 50 FR 34885.i Section 4(c) of the Procedure Act. 5 U.S.C. 3(d) provides )
l 15 CFR 39e The Ccmmiss' n received no that rules promulgated b an agency comments oni proposed rules. After generally may not be ma effectiveless IDocket No. 144) - careful consi ration of its own. the than thirty days after publi ation in the Commission as determined to adopt Federal Register except. int olio "for Exports to them essen ally as proposed. However. good cause." The Commiss,a i finds that 1 the secon sentence of proposed rule go d cause exists to make the rules 1 Correction 3.84(a) r ating to the contents of an effective September 30,1985. A In FR Doc. 22650 be 1g on page applica 's or registrant's brief in previously noted, the Commissio has 38511in th seue of Monda September suppo of a petition for review, has authorized NFA to conduct procee ings been evised for the sole purpose of t deny, condit on. suspend, restric r 23.1965, ake the following c ction:
cla ' y. As proposed. this sentence read; revoke registration as of that date, I On 8'38513 third column.
para sph 20 th'ird line from the the Commission believes it is N rWenn accordance mth wtuch NFA mu bo om. "(vi)" should read "(lv)". uct such proceedanse are set forth as an ndam to the comnussion e oeder. so F1t at 24ss7. 'see 47 FR 1861s (April 30,19s2].
'=a coca yses.es-u
"- - -- - _