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DEC 0 2 1982 MEMORANDUM FOR: R. J. Brady, Director Division of Security ADM FROM: R. R. Rentschler, Acting Chief Fuel Facility Safeguards Licensing Branch Division of Safeguards, HMSS
SUBJECT:
DRAFT REVISIONS TO 10 CFR PART 11 Your review, discussions and comment concerning the above subject have been most helpful. The changes suggested in the enclosure to your memorandum of November 23, 1982 have been incorporated into our draft revisioni to Part 11
.(seeenclosure).
We agree with your coments on the revised Sections 11.11(b),11.13(a) and -
11.15(c) as regatds the practical effect on the eligibility of incumbents.
We would appreciatehhe legal review from ELD as soon as possible. We (aTp'Hiciate a your identification of the difference between the explicit five year" limitation on background,inyestigation under Part 25 and the proposed
. , , Section 11.15(c). We believeQhat this issue should be deferred.
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R. R. Rentschler, Acting Chief Fuel Facility Safeguards Licensing Branch Di. vision of Safeguards. HMSS
Enclosure:
As stated 8601090468 851223 PDR PR 11 50FR39076 PDR
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- RGl F@CICQ DR9 GO-609 NRCM 0240 OFFICIAL RECORD COPY .
- ENCLOSURE-
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Draft Working Paper .
< -( 511.7(c) "NRC 'U' special nuclear material access authorization" means an adninistrative determinatien 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 511.11(a)(1) or 511.13.
511.11(b) No individual may be permitted to work at any job detennined 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 indivi-4 dual may be permitted unescorted access to pny protected area at any site subject to this part without either an NRC*-U or NRC-R special nuclear material access authorization. An exception to the requirement for an NRC "U" for an individual 4
- ' to work at a job within the criterion of paragraph (a)(1) is provided for any individual in posession of an NRC "L" or "R" or an ?quivalent active federal security-clearance but not yet in receipt of the NRC "U" provided that a complete app.lication was submitted for that employee in accordance with 511.15 and the application has not been disapproved. An exception to the requirement for an NRC "R" for an individual to have unescorted ac ess to a protected area is provided for any individual in possession of an NRC "L". access authorization or an equivalent active federal security clea qte, provided that a complete application was submitted for that employee in a cordance with 511.15 and the 1 application has not been disapproved. l s
511.13 Special. Requirements for Transportation
( (a) No individual shall transport, drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear '
r material, act as a monitor at transfer points, escort road, rail, sea, or air shipments of special nuclear material subject to the appropriate physical protection requirements of 5573.20, 73.25, 73.26, or,73.27. of this chapter or be authorized to adjust such transport without NRCiU special nuclear material acces authorization. Exceptions are provided for (i) any individual employed on the effective date of these amendments and not yet in receipt of an NRC "U"
' access authorization from the Connission, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the apgifcation has not been disapproved; (ii) any individual in possession of an NRCI L or*R" access authorization or equivalent active federal security clearance but not yet in receipt of the NRC'.U',~ provided that a complete application was submitted i
for that employee in accordance with 511.15 and the application has not been
- disapproved.
(b) Licensees who after 365 days following Commission approval of the amended security plan submitted in accordance with 511.11(a) transport or who deliver to a courier for transport special nuclear material subject to the physical
- protection requirements of 593.20, 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 l this section assigned to the shipment. Exceptions to the requirement to con-firm and record the SSNM access authorization number are provided for (i) any [
individual employed on the effective date of these amendments and not yet in
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-( receipt of an NRC "U" access authorization from the Commission, provided that a complete application was submitted for that employee in accordance with 511.13(a) and the application has not been disapproved; (ii) 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 NRC10*, provided that a complete application was submitted for that employee in accordance with 511.15 and the application has not been disapproved.
511.15(M) 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 Secuirty, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555.* Applications for affected individuals employed on the effective date of these amendments shall be submitted within 60 days of notification to the licensee of Comission approval of the amended security plan.
511.15(a)(2) Licensees who wish to secure NRCSU"or NRC I R* access authorizations for individuals in possession of an active NRC or other federal security clearance based on an equivalent investigation shall submit NRC Form , " Material Access Authorization Acknowledgement" and NRC Form 237, " Request for Access Authori zation." The NRC will process such requests by verifying the data on an NRC cleared individual, or contacting the federal agency which granted the clearance and requesting certification of the security clearance. Licensees may directly request the federal agency which administered the secprity clearance, if other than NRC, to certify to the NRC that it has on file an active security clearance f.or such an individual, specifying the investigative C basis and level of such. -
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511.15(b) Applications for special nculear material access authorization for
' individuals other than those qualifying under the provisions of 21.15(a)(2) above, shall be made on forms supplied by the Commission including:
(1) Personnel Security Questionnaire (NRC-1, Parts I and II);
(2) National Agency Check-Data for Nonsensitive or Noncritical-Sensitive Position (SF-85A)-for "R" cases only; (3) Two completed standard fingerprint card (FD-258);
(4) Material Access Authorization Acknowledgement (NRC- );-
(5) Authority to Release Information (NRC-259);
(6) 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 k- plan. . _
- Process times for special nuclear material access authorizations can be expected to be about 190 days for NRC-U and 130 days for NRC-R.
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511.15(c) Normally, renewal applications for.NRCfU"or'R access authorizations will not be requested or processed at less than five year intervals. Under exceptional circumstances (as determined by the NRC to be justifiable reasons) requests may be required without respect to time intervals. The application fo'r renewal will consist of the following:
(1) A Personnel Security Questionnaire, completed by the applicant.
(2) Two standard fingerprint cards with the individual's fingerprints.
(3) . Authority to release information.
(4) Other related forms where specified.
(5) A statement by the employer or contractor that at the time of application for renewal the individual's assigned or assumed job requires the level of special nuclear material access authorization which he or she holds, justified by appropriate reference to the licensee's security plan.
511.15(e) Each application for special nuclear material access apthorization, renewal or change in level shall be accomplished by the licensee's remittance
- (' . payable to the -U.S. Nuclear Regulatory Commission according to the following schedule:
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.(1) NRC "U" requiring full field investigation ..................................... $1,550.00 (2) NRC "U" based on Certification of Comparable Full Field background investigation . .... . ............ 15.00
............................................. 15.00*
(3) NRC "R" (4) Renewal NRC "U" or "R" .............................. 15.00*
Material access authorization fees will be published in December of each year and will be applicable to each access authorization request received during the following calendar year.
511.15(f) Any federal employee or contract agent of a federal agency, on official business, who possesses an active NRC or DOE "Q" access authorization or an equivalent federal security clearance (" Top Secret") based on a comparable full field back-ground investigation may be permitted the same level of unescorted access to
- If full field investigation is deemed necessary, a fee of $1,550.00 will be assessed.
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special nuclear material that an NRC "U" access authorization would afford in accordance with 511.11. Any federal employee or contract agent of a federal agency, on official business, who possesses an active NRC or DOE "L" access.
authorization or an equivalent federal security clearance (" Secret") based on a background investigation or national agency check may be permitted the same-level of unescorted access to special nuclear material that an NRC "L" access authorization would afford in accordance with 311.11.
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