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MEMORANDUM FOR: Richard A. Dopp, Chief Security Policy Branch Division of Security. ADM FROM: Willard B. Brown, Chief Fuel Facility Safeguards Licensing Branch Divisio. of Safeguards. HMSS
SUBJECT:
DRAFT REVISIONS T010 CFR PART 11 Please refer to the recent dialogue between our branches on revising 10 CFR Part 11 especially your February 7,1983 memorandum commenting upon draft revisions from this branch dated December 2,1982. We have the following observations upon those comments.
First, you point out that an incumbent may not be found eligible for employ-ment because of factors disclosed in a background investigation despite a
( longstanding and favorable employment record. We agree with this conclusion.
Secondly, we have removed the inconsistency between Section ll.ll(b) and ll.13(a) by revising sll.11(b). Finally, following discussion with Mr. Hiruelsbach of your staff, we have redrafted Section ll.15(c) to allow utilization of the DOE contractor reinvestigation program. Specifically, we propose to make NRC "R" and "L" renewals consistent by dropping require-ments for reinvestigations for "R"s. The sections of Part 11 which are to be revised are attached for your review. We would appreciate your early attention inasmuch as implementation of the entire material acces's authorization program has been deferred until the revisions can be adopted.
Willard B. Brown, Chief Fuel Facility Safeguards Licensing Branch Division of Safeguards NMSS Attachacnt:
As stated e601090503 851223 PDR PR 11 50FR39076 PDR A
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511.7(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 511.11(a)(1) or 511.13.
511.11(b) No individual may be permitted to work at any job determined by the Commission to fall within the criteria of paragraph (a)(1) of this section without an NRC "U" special nuclear material access authorization; and no indivi-dual 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 tecess authorization. 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 the effective date of these amendments, and the individual is not yet in receipt of an NRC "U" special nuclear material access authorization from the Commission, provided that a complete application was submitted for that snployee in accordance with 511.15(b) and the application has not been disapproved; and (ii) any individual in possession of an NRC "L" or "R" access authorization or an equivalent active federal security clearance but not t
' yet in receipt of the NRC "U" special nuclear material access authorization provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved.
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 the effective date of these amendments, and the individual is not yet in I
receipt of an NRC "R" special nuclear material access authorization from the Commission, provided that a complete application was submitted for
!. that employee in accordance with 511.15(b) and the application has not .
been disapproved; and (ii) any individual in possession of an NRC-L access authorization or an equivalent active federal security clearance, provided that a complete application was submitted frr that employee in accordance with 511.15(b) and the application has not been disapproved.
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
. 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 NRC "U" special nuclear material ,
access authorization. Exceptions are provided for (1) any individual employed P
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on the effective date of these amendments and not yet in receipt of an NRC "U" special nuclear material access authorization from the Commission, provided that a complete application was submitted for that employee in accordance with
, Sil.15(b) and the application has not been disapproved; and (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 NRC "U", special nuclear material access authorization, provided that a canplete application was submitted for that employee in accordance with 511.15(b) 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 11.11(a) transport or who deliver
< to a. co rier for transport special nuclear material subject to the physical protection requirements of 5573.20, 73.25, 73.26, 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material 4 access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. Exceptions to the requirement to con-firm and record the SSNM access authorization number are provided for (1) any individual employed on the effective date of these amendments and not yet in receipt of an NRC "U" special nuclear material access authorization from the Commission, provided that a complete application was submitted for that suployee in accordance with 511.15(b) and the application has not been disapproved; and (ii) any individual in possession of an NRC "L" or "R" access authorizatics 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
- was submitted for that employee in accordance with 11.15(b) and the application has not been disapproved.
511.15(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, 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 Commission approval of the amended security plan.
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- 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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( 311.15(a)(2) Licensees who wish to secure NRC "U" or NRC "R " special nuclear <
material acces, authorizations for individuals in possession of an active NRC access authorization or other security clearance granted by another federal '
agency based on an equivalent investigation shall submit NRC Fonn ,
" Material Access Authorization Acknowledgement" and NRC Form 237, " Request for Access Authorization." 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 security clearance, if other than NRC, to certify to the NRC that it has on file an active security clearance for such an individual, specifying the investigative basis and level of such clearance.
511.15(b) Applications for special nculear material access authorization for
-individuals other than those qualifying under the provisions of 11.15(a)(2) above,
. shall be made on forms supplied by the Commission including:
(1) Personnel Security Questionnaire (NRC-1, Parts I and II); i (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 plan.
511.15(c) Unless special circumstances indicate otherwise as detennined by the NRC, applications for renewal of NRC "U" and NRC "R" special nuclear material access authorizations shall not be required at intervals of less than five
! years. Applications for renewal of an NRC "R" special nuclear material access authorization shall consist of the first of the following items; applications
- for renewal of an NRC "U" special nuclear material access authorization shall
! consist of all five items: ,
(1) A statement by the en'ployer 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, justificd by appropriate reference to the licensee's security plan.
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( (2) A Personnel Security Questionnaire, completed by the applicant.
(3) Two standard fingerprint cards with the individual's fingerprints.
(4) Authority to release information.
(5) Other related forms where specified.
511.15(e) Each application for special nuclear material access authorization, renewal or change in level shall be accomplished by the licensee's remittance payable to the U.S. Nuclear Regulatory Comission according to the following schedule:
(1) NRC "U" requiring full field investigation ..................................... $1,550.00 (2) NRC "U" based on Certification of Comparable Full Fiel d background investi gation . . . . . . . . . . . . . . . . . . 15.00 (3) NRC "R" ............................................. 15.00 (4) Renewal NRC "U" or "R" .............................. 15.00*
f 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 granted by another federal agency (" Top Secret") based on a comparable full field background investigation may be permitted the same level of unescorted access to special nuclear material that an NRC "U" special nuclear material 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 NRG 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 the same level of unescorted access to special nuclear material that an NRC "R" special nuclear material access authorization would afford in accordance with 511.11.
- If full field investigation is deemed necessary, a fee of $1,550.00 will be assessed.
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