ML20141F755

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Agrees W/Div of Security Understanding That U Renewal Cases May Warrant Addl Investigation & Inclusion of Form SG-85A in Section 11.15(c)(1) to Comply W/Ofc of Personnel Mgt Requirements.Personnel Security Program Info Encl
ML20141F755
Person / Time
Issue date: 08/05/1983
From: Brown W
NRC
To: Burnett B
NRC
Shared Package
ML20140E750 List:
References
FRN-50FR39076, RULE-PR-11 AB99-2-36, NUDOCS 8601090538
Download: ML20141F755 (29)
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Note to Bob Burnett We agree with SEC's understanding that any particular "U" renewal case may warrant additional investigation. We also agree with the inclusion of Form SG-85A in 111.15(c)(1) to comply with OPM requirements.

We are now ready to prepare a paper to the ED0 to have him revise 10 CFR Part 11.

Driginal signed Ey Wiaard B. B.':c.'

Willard Brown s s

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DISTRI'BUTION:

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PERSONNEL SECURITY PROGRAM .

AEC Appendix 2301 0

PART Vil SELECTIVE REINVESTIGATION PROGRAM The AEC Reinvestigation Program is de- 2 Number of copies of PSQ's signed to as sure the continued eligibilityfor access authorization of selectedindividuals . a. Four copies of form AEC-25 will

,y;. Q employed in the atomic energy program. It be required when submitting re-applies to all individuals possessing AEC quests for the initial (5 year) re-

"Q" acces s authorization except the follow. investigation of:

ing:

(1) AEC employees and AEC con-

1. AEC contractor construction person- sultants.

nel.

(2) contractor employees who 2 members of the Armed Forces. occupy "po sitions of a high degree of importance er sensi-

3. employees of agent.ies of the Depart- tivity" (see annex C).

ment of Defense and their contractors.

(3) contractor employees falling

4. employees of other Federal depart- within 4.a.(3), below, ments and agencies and their contrac-tors. b. One copy of Form AEC-25 will be required to submit requests for
5. holders of access permits .and their the second and subsequent rein-employees. vestigation (10 years or more) of individuals referred to in a.(1)and A. REEVALUATION (2), above.

[k The eligibility for access authorization of c. One copy of Form AEC-25 will be s elected individuals will be reevaluated required for all other individuals

-?-h 'a each 5 years on the basis of either field falling within the scope of the re-

$ iny e s tig a t to n s, file and fingerpr!nt investigation program.

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.@4 t ~l checks, or review of Personnel Security Questionnaires. 3. Review of Cases B. PROCEDURES PSQ's of individuals holding positions not designated as being "of a high de-

1. Obtaining New PSQ's gree of importance or sensitivity" will be reviewed in conjunction with the Prior to July 1 of each fiscal year, existing file to determine whether or arrangements will be made to obtain not they will be submitted forinvesti-new PSQ's (Form A EC-25, exhibit 2) gation as set forth in 4.a.(2)(a),below, from all individuals within the scope ,

of this part for whom the most recent 4. Selection and Extent of Reinvestiga-initial investigation, reinvestigation, tions or supplemental inveuigation was s c o m p1 e t e d during t'.e fiscal year 5 a. Field Investigations years previous to *.ne current fiscal year. Form AEC.25 will be used in (1) Requests fo r field investiga-processing cases being considered for tion will be forwarded to the field investigation or file and finger- FBI fo r the initial (5 year) print checks, except where the previ- reinvestigation of: +

ous PSQ's were executed more than 5 years ago, in which cases form AEC- (a) AEC employees and AEC 1 is used. cons ultants.

37 Approved: September 16, 1968

" R enrinted: Aoril 20.1973

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AEC Appendix 2301 PERSONNEL; SECURITY PROGRAM (b) contractor employees who (b) have or could acqitire ac-occupy " positions of a high cess to cryptomaterial (m. .

degree of importance or Chapter 2701,"Communi ,-

sensitivity" (see annex' C). tions Security") or acc " 4 to traffic processedover the (2) Requests for field investiga- Secure Automatic Data In-tions will be forwarded to the rmation Exchange (SADIE)

System or the Secure Auto-Director, Division of Security, 6.' M fo r *.

. matic Data Inf o r m a tio n W/Rf;.M Exchange (SADIE) Backup System.

(a) other case's in which infor-mation developed bythe new PSQ's or by other means (c) as computer systems per-will, in the opinion of the sonnel involved in the weap-manager of the field office, ns program, have the tech-require supplemental in- nical expertise and the vestigation. Where an in- OPPortuntty to modify a dividual was previously in- computer's operating sys-t em, vestigated by the CSC and his new PSO, received under the provisions of the Re- If the previous investigation investigation Program, in- was conducted by an agency dicates that furtherinvesti- ther than the CSC, a copy of gation will be required, the the investigative reports will case will be referred to the be forwarded with the" Request Division of Security under f r Investigation," Form AEC-

[' . , the provisions of part I, 393 (exhibit 7).

for additional investigation

- by the Civil Service Com- b. File and Fingerprint Checks mis sion.

i (1) Requests for file and finger-

- (b) such other cases as may be print checks will be forwarded lly 3 /_ designated by the Director. - to the FBI for the second re-h4! Me-Division of Sr.curity. investigation (10 years and every 5 years thereafter) of:

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'l' (3) Requests for field investiga- ()AEC employees and AEC tions will be forwarded to the "W CSC for the initial (5 year) re- consultants, investigation of contractor em-ployees who do not occupy (b) contractor employees who

" positions of a high degree of ccupy " positions of a high importance or sensitivity"(see degree of importance or annex C) who: s ensitivity."

(a) have or could acquire both (c) contractor employees who technical knowledge of and ceupy positions falling within 4.a.(3), above, physical access to atomic weapons in such a manner as to allow opportunity to (2) Requests for file and finger-cause a nuclear detonation. print checks will be forwarded Atomic weapons include,for to the FBI for individuals hold-the purposes of this part, any ing positions not designated as atomic explosive assembly being "of a high degree of or subassembly which is importance or s en s itivi t y" capable of producing a nu- whose cases have been previ-

s. , clear detonation. ously referred to the Director, .

39 lig}

! Q Approved: April 20,1973 38 i

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PERSONNEL SECURITY PROGRAM AEC Appendix 2301 s

Division of Security, pursuant an even flow of work to the investi-to the provisions of part II, or gative agenctes, and will inform whose PSO's indicate signifi- field offices accordingly.

cant changes.

5. Schedule of Submission Evaluation of reinvestigations shall be reported on Form AEC-716 " Clear-

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  • The Director, Division of Security, ance Actions Following Requests for will establish a schedule for sub-mission of requests for reinvesti- Investigation" (exhibit 8) (see part I, gation to assure insofar as possible V. 2. for preparation).

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  • 38a Approved: April 20,1973

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U.S Department of Energy ORDER .

Washington, D.C. .

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DOE 5631.2

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SUBJECT:

PERSONNE,L

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1. PURPOSi;/ To iinplementlthe"prov-ih5odsUof' Ackfo the 1#54Atomic }a's 'I Ener[T amendedP and Executive :0nd'ers *104ES,.10865, and 12065. c  %;'.T
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CANCELLATI0W I Mnterini

. fla,nagementepirceti've No. 6101, PERSqNNEL' SECURITY,'

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PROGRAM, o,f'{-T9.-77y 7 ;g e ihn *. ,

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3. SCOPE. The*provisiont,3 rof'this Order apply to all Departmental elementw including the Feder4 A~cergy 1 pqqulatory. Commission. .W-e

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4. BACKGROUND.A7QTe.;~;.L,'e.t,...,... TW:+ .?rrokn l ,.Securit.y Ryog n . 7e applies to".i'tfemployees ~ arid contractors, as follows: ... .
a. The provisions of the. .. Energy Act of 1954, as. amended, Executive Orders?.,ilREO 'hnd 12065,AtpAnic, 4n'd- Federal Personnel Manual chapter 7,32 Departnanta,1 empioyees.,.appycantstfgr employment, consultantis', empl 9yees of oth'e'r -Federal agencies,'g gssi.gne.es.for.;enjployment r,andfac, cess y an,d3d.

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O b. c" n,e79y,; ct'of 1954,.as' amend'd,'and e Exec'utive

! i The provisions of the Atom [fto' De'partmen'ta'l contra Orders 10865 and 12065 appf V

employees and consultants, . np g . access- pe,nn.ittees9,for act'e's's - .W

5. REFERENCES. .

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a. Atomic Energy Act of 1Mc;4,p& amended.. Shctiong l43, {'Depa tment -of Def.ense Participation," Section 145Y "Restrictiods,,'L and'iSect. ion.ci6LB;;."GerdM1 Provisions," which are the Tbgislativj. rgquirements-for!.establ.istimdof767 a DOE security program for coQrolling aqcess.Jpy,R,eptri.ctep; Data .an,dg,p,ecial nuclear material. %e ; : ' ., .j,y.

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b. 10CFRPart710."CriteViaEndProceduggifd Access to Classified Matter 'or Sign'ift? ant- Quanti,tiesof. SpecialiNuclea'r - .

Material," as published in the"rederal Registeh",' pol.'.42,1.16;.190h of 9-30-77, which is used in those cqsed'ip which .

h th,ere'are 'quisji6i{.si$fp eligibility for DOE access.{,y *, * .'.',.4.

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c. DOE 1360.2, COMPUTER SECURID , PROGRAM FOR UNCLASSIFIED'COMPtJTER ' SYSTEMS, of3-9-79,whichestablisheFpoliciesan'd pro'c'edures for de'veloping, implementing, and administering a program for safeguarding 00E computer systems and in particular, 00E sensitive unclassified information.

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/ UTION: INITIATED BY:

( ) NIRdepart:nental Elements Office of Safeguards k/ Federal Energy Regulatory Commission and Security

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1 2 00E 5631.2 11-13-80

d. Executive Order 10450, of 4-27-53, as amended, which es'tablished the requirement for detennining that all Federal employees be loyal, reliable, trustworthy, and of good conduct and character.
e. Executive Order 10865, of 2-24-60, as amended which established the basis for industrial security program for civilian personnel.
f. Executive Order 12065, of 12-1-78, which established the restriction for access to classified information. .
g. Federal Personnel Manual, Chapter 731, " Suitability," which contains requirements for employment by the Government regarding the character, reputation, and fitness of the individual under consideration.
h. Federal Personnel Manual, Chapter 732, " Personnel Security Program," which 1 implements Executive Order 10450 throughout Federal departments and agencies.
i. Federal Personnel Manual, Chapter 736, " Investigations," which deals primarily, with national agency checks and inquiries (NACI) and full field investigations conducted by the Office of Personnel Management.
j. Federal Personnel Manual Letter 732-7, " Personnel Security Program for Position Associated with Federal Computer Systems," which establishes policy for a personnel security program covering positions that are involved in the design, storage, retrieval, access, and dissemination of information maintained in Federal computer systems, as well as positions associated with automated decisionmaking systems.
k. Office of Management and Budget Circular No. A-71, " Security of Federal Automated Infonnation Systems," of 7-27-78, with Transmittal No.1, which promulgates policy and responsibilities for the development and implemen-tation of computer security programs by e.ecutive v branch departments and agencies.
6. IMPLEMENTATION. Additional implementation procedures will be published as necessary as extra chapters. These chapters will be coordinated separately.

William S. Heffelfinger Director of Administration

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. DOE 5631. 2 i 11-13-80 A') TABLE OF CONTENTS '

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PAGE CHAPTER I - DEFINITIONS

1. Access ..................................................... I-1
2. Access authorization or Security Clearance ................. I-l
3. Access .*ermittee ........................................... I-2
4. Cl a s s i f i ed I n fo rma t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2
5. D e ro g a t o ry I n fo rma t i o n . . . . . . . . . . . . . . . . . .'. . . . . . . . . . . . . . . . . . . I-2
6. Fo rme rl y Re s t r i c t ed Da t a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
7. Hearing Counsel ............................................ I-3
8. Interim Access Authori zation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-3
9. National Security Information .............................. 1-3
10. Naval Nuclear Propul sion Info rmation . . . . . . . . . . . . . . . . . . . . . . . I-3
11. Personnel Security Board ................................... 1-3
12. Position Sensitivity Designation ........................... 1-3
13. Restricted Data ............................................ 1-3
14. Security Area .............................................. 1-4
15. Sensitive Data ............................................. I-4
16. Sensitive Position ......................................... I-4
17. Speci al Nucl ear Materi al . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-4

, CHAPTER II - RESPONSIBILITIES AND AUTHORITIES

1. The S e c re t a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1 (m}-

\ 2. The Assi stant Secretary for Defense Programs . .. .. .. . ... .... 11-1

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3. Heads of Departmental Elements and Chainnan, Federt l Energy Regul atory Commi ssion . . . . . . . . . . . . . . . . . . . . . . II-2

'4. Ge ne ra l ' Co u n s e l . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-2

5. Heads of Headquarters El ements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-2
6. Director of Personnel ...................................... II-3
7. Di recto r of Safegua rd s and Securi ty . . . . . . . . . . . . . . .. . . . . . . . . . II-3
8. Head s o f Fi el d Organi za ti ons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-5 CHAPTER III - POSITION SENSITIVITY DESIGNATIONS

. 1. General .................................................... III-1 -

2. Categories ................................................. III-1 .
a. Department of Energy Employees, Applicants for Employment, Consultants, and Assignees ................. III-1
b. DOE Contractor and Subcontractor Employees and Consultants and Access Permittees ...................... III-3
c. Other Federal Department or Agency Employees . . . . . . . . . . . III-4

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. 3 .- Sensitive Compartmented Information ...................'..... III-5

4. G eneral Gui del i nes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I I I-5 t; * .

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DOE 5631. 2 1-1 11-13-80

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k[_,h) CHAPTEi_I_

DEFINITI6NS

1. ACCESS.
a. The knowledge, use, or possession of classified information or other sensitive information not protected by National Security regulations which is required by an individual in the performance of official duties and which is provided to the individual on a "need-to-know" basis; or
b. ' Situations involving the responsibilities of an individual in the performance of official duties which may provide proximity to or control over special nuclear material in Category I or II quantities.
2. ACCESS AUTHORIZATION OR SECURITY CLEARANCE. An administrative determination that an individual who is either a DOE employee, applicant for employment, consultant, assignee, other Federal department or agency employee (and other persons who may be designated by the Secretary of Energy) or, a DOE contractor or subcontractor employee, is eligible for access to Rsstricted Data, other classified information, or special nuclear material. Clearances granted by the DOE are designated as "Q," "L," " Top Secret," or " Secret."
a. "Q" access authorizations or clearances are based upon full field

. investigations conducted by the Federal Bureau of Investigation, Office of Personnel Management, or another Government agency which conducts personnel security investigations. They permit On individual to have access, on a "need-to-know" basis, to Top Secret, Secret and Confidential Restricted Data, Fonnerly Restricted Data, National Security Informatien, or special nuclear material in Category I or II quantities as required in the performance of duties. When "Q" access authorizations or clearances are granted to employees of access permit holders they are identified as "Q(X)" access authorizations or clearances and pennit access only to the type of Secret Restricted Data specified in the permit.

b. Top Secret access authorizations or clearances are based upon full field investigations conducted by the Office of Personnel Management or another Government agency which conducts personnel security investiga- ,

tions. 'They permit an individual to have access, on a "need-to-know" basis, to Top Secret, Secret, Confidential National Security Information, -

and Formerly Restricted Data as required in the performance of duties,

c. "L" access authorizations or clearances are based upon National Agency Checks and inquiries (NACL) for Federal employees, or National Agency Checks (NAC) for non-Federal employees, conducted by the Office of

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o I-2 DOE 5631.2 11-13-80 Personnel Management. They permit an individual access, on a "need-to-know" basis, to Confidential Restricted Data, Secret and Confidential, Fomerly Restricted Data, or Secret, and Confidential National Security Information, required in the perfonnance of duties, provided such infoma-tion is not designated " CRYPT 0" (classified cryptographic infonnation),

other classified communications security ("COMSEC") information, or intelligence information. When "L" access authorizations or clearances are granted to employees of permit holders, they are identified as "L(X)"

access authorizations or clearances and pennit access only to the type of Confidential Restricted Data specified in the access permit. Addition-ally, the cognizant DOE official may grant an "L" access authorization or clearance to craft or manual workers community management and service personnel, nurses, medical technicians, cafeteria workers, health and safety workers, purchasing and accounting groups, and the like, who are employed in classified construction or operations areas; provided the work of such individuals do not afford them:

(1) More than visual access to buildings and equipment classified not higher than Secret Restricted Data; or (2) Access to information classified higher than Confidhntial Restricted Data concerning plant operating characteristics, process data, weapons, or weapons components.

d. Secret access authorizations or clearances are based upon National Agency Checks and Inquiries (NACL) for Federal employees, or National Agency Checks (NAC) for non-Federal employees, conducted by the Office of Personnel Management. They permit an individual access on a "need-to-know" basis, to Secret and Confidential National Security Information as required in the performance of duties.
3. ACCESS PERMITTEE. Aq individual or organization which has been issued a permit by the Department of Energy, providing access to Restricted Data applicable to civil uses of atomic energy in accordance with the terms and conditions stated on the permit and in accordance with applicable security regulations.
4. CLASSIFIED INFORMATION. Any information which requires protection against

, unauthorized disclosure in the interests of the national defense and security or foreign relations of the United States pursuant to U.S. Statute or Executive order. The term includes Restricted Data, Formerly Restricted Data, and National Security Information, each of which has degrees of importance denoted by the classifications Top' Secret, Secret, or Confidential.

5. DEROGATORY INFORMATION. Unfavorable information concerning an individual which creates a question as to the individual's eligibility or continued eligibility for access or employment.

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DOE 5631. 2 I-3 11-13-80 (L,- x.') 6. FORMERLY RESTRICTED DATA. Classified information jointly determined by

\m / the Department of Energy (or its predecessors, the Atomic Energy Commission and the Energy Research and Development Administration) and the Department of Defense to be related primarily to the military utilization of atomic weapons, 4 and removed by the DOE from the Restricted Data category pursuant to section 142(d) of the Atomic Energy.Act of 1954, as amended, and safeguarded as National Security Information, subject to the restrictions on transmission to other countries and regional d'e fense organizations that apply to Restricted Data. .

7. HEARING COUNSEL. A 00E attorney assigned to prepare and conduct Personnel Security Board Hearings.

.8.- INTERIM ACCESS AUTHORIZATION. A determination by the Secretary, for access to National Security Information, or by the Assistant Secretary- for Defense Programs, for access to Restricted Data, that it is clearly consistent with .

the national interest for the DOE to permit an individual to have such access prior to the DOE's receipt of full field reports of investigation. Interim Access Authorizations are not processed for. Access Permittees or for 'those individuals whose accesses will require an "L" or Secret clearance.

9. NATIONAL SECURITY INFORMATION. Information which requires protection in the interest of national defense or foreign relations of the United States and classified in accordance with an Executive order which does not fall within the definition of Restricted Data or Formerly Restricted Data, ved 10. NAVAL NUCLEAR PROPULSION INFORMATION. All information classified or unclassified concerning the design, arrangement, development, manufacture, testing, operation,> administration, training, maintenance, and repair of '

the propulsion plants of naval nuclear powered ships, including the associated nuclear support facilities.

11. PERSONNEL SECURITY BOARD. A board appointed by the Head of a Field

' Organization to make findirgs and recommendations in granting access authori-zation to an individual which consists of three members, one of whom shall be designated chairperson.

12. POSITION SENSITIVTIY DESIGNATION. A written certification by the appropriate DOE official that a position under his or her jurisdiction (to be occupied by '
  1. a DOE employee, applicant for employment, consultant, or assignee) is critical-sensitive, noncritical-sensitive, or nonsensitive. .
13. RESTRICTED DATA. Data which is defined in section IIy of the Atomic Energy Act of 1954, as amended, as "all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but

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I-4 DOE 5631.2 11-13-80 shall not include data declassified or removed from the Restricted Data category pursuant to section 142."

14. SECURITY AREA. A physically defined space containing classified matter (documents or material) or special nuclear materials subject to physical protection and personnel access controls.
15. SENSITIVE DATA. Information requiring a degree of protection due to the risk and magnitude of loss or harm that could result from inadvertent or deliberate disclosure, alteration, or destruction of the data (e.g., personal data, proprietary data, sensitive energy data, sensitive financial or supply data, and so forth).
16. SENSITIVE POSITION. Any position in the 00E affected by, connected with, or related to the national security or welfare; i.e., a position whose occupant could, by virtue of the nature of such a position, bring about a materially adverse affect on the national security as prescribed in Executive Order 10450 and the Atomic Energy Act of 1954, as amended.
17. SPECIAL NUCLEAR MATERIAL. Special nuclear material, as defined in section II.aa of the Atomic Energy Act of 1954, as amended, not subje' c t to a Nuclear Regulatory Commission license. For the purpose of this Order, special nuclear material in one facility or shipment is divided into the following categories:
a. Category "I" Quantities of SNM.

(1) Uranium 235 (contained in Uranium enriched to 20 percent or more in i;W the isotope U-235) alone, or in combination with Plutonium and Uranium 233 when (multiplying the Plutonium and Uranium 233 content by 2.5) the total is 5,000 grams or more.

(2) Plutonium and Uranium 233 when the Piutonium and Uranium 233 content is 2,000 grams or more.

(3) SNM in lesser quantities but which is located in the same area or shipment with other SNM with which it could be selectively combined to produce the equivalent quantities in Items (a) or (b) of this category.

Jb . Category "II" Quantities of SNM.

(1) Uranium 235 (contained in Uranium enriched to 20 percent or more in .

the isotope U-235) alone, or in combination with Plutonium and Uranium 233 (multiplying the Plutonium and/or Uranium 233 content by 2.5) when the total is 1,000 to 4,999 grams.

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.- DDE 5631.2 I-5 (and I-6) 11-13-80

/m -(2) Plutoniuim and Uranium' 233 when the Plutonium and Uranium 233 f (L_,-)' content is 400 grams to 1,999 grams.

-(3) SNM in lesser quantities but which is located in the same area or shipment with other SNM with which it could be selectively combined to produce the equivalent quantities in subparagraphs (1) or (2) of this category.

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0-II-2 DOE 5631.2 11-13-80

d. Act as "special designee" under 10 CFR part 710.27(m)(2)(j) to determine whether statements may be received by Personnel Security Boards and detennine whether new evidence may be received in accordance with 10 CFR part 710.29(b)(2). ,

e.. Submit records in Administrative Review proceedings in accordance with 10 CFR part 710.30(d)(2) and (e).

f. Grant, deny, or revoke access authorization in accordance with 10 CFR part 710.24(a) and 710.32.
g. Approve reconsideration of access authorization cases in accordance with 10 CFR part 710.34.
h. Select and appoint the individuals who offer firdings and recommendations

, ~in administrative review cases in accordance with 10 CFR part 710.31.

3. HEADS OF DEPARTMENTAL ELEMENTS AND CHAIRMAN, FEDERAL ENERGY REGULATORY COMMISSION shall:
a. Generate requests to the Secretary for waivers of preappointment full field investigation requirement for candidates under consideration to occupy a critical-sensitive position which does not require access to Restricted Data.
b. Generate requests to the Secretary or the Assistant Secretary for Defense Programs, through the Director of Safeguards and Security, for Interim Access Authorizations.
4. GENERAL COUNSEL shall:
a. Approve notification letters to individuals whose eligibility for access authorization is in question in accordarice with 10 CFR part 710.22.
b. Concur. in request for issuance of subpoenas to witnesses in cases processed in accordance with 10 CFR part 710.20 et seq.
c. Concur in request for suspensions in cases processed in accordance

,. with 10 CFR.part 710.21. -

5. HEADS '0F HEADQUARTERS ELEMENTS shal1:
a. Certify, in writing 'to the Director of Personnel, Position Sensitivity Designations for each position under their jurisdiction to be occupied by a DOE employee or applicant for employment, consultant, or assignee.

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DOE 5631.2 11 1 11-13-80 i ). CHAPTER II .

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RESPONSIBILITIES AND AUTHORITIES

1. THE SECRETARY shall:
a. Certify those specific positions which are of a high degree of importance or sensitivity under section 245f of the Atomic Energy Act of 1954, as amended, which are to be subject of an ' investigation by the Federal Bureau of Investigation.
b. ~ Designate those specific positions within DOE which are sensitive under section 3(b) of Executive Order 10450.
c. Authorize, in the case of emergency, and for a limited period of time, a

- sensitive position (including either critical-sensitive or noncritical-sensitive) to be occupied within the DOE by an individual for whom a preappointment full field investigation has not been completed, if

.such action is necessary in the national interest under section 3(b) of Ex'ecutive Order 10450. .

d. Grant authorization for access to National Security Information pursuant to section 4-201 of Executive Order 12065 prior to completion of the required investigation when it has been determined that such action is in the national interest.

Y e. Establish standards and specifications in writing as to the scope and extent of investigations under section 145g of the Atomic Energy Act of 1954, as amended.

f. Make determinations required by 10 CFR part 710.27(m)(2)(ii) and 10 CFR part 710.33.
2. THE ASSISTANT SECRETARY FOR DEFENSE PROGRAMS shall:
a. Grant authorization for access to Restricted Data pursuant to Section 145b of the Atomic Energy Act of 1954, as amended, prior to completion of the required investigation when he has detenair.ad that such action is in the national interest. -
b. Direct the suspension of ac. cess authorization in accordance with 10 CFR part 710.21.
c. Issue subpoenas to witnesses in all cases processed in accordance with 10 CFR part 710.20 et seq.

A s_,

. 002 5631. 2 II-3 11-13-80 hy b. Apprave and transmit to the Director of Safeguards and Security,

'H - Headquarters, requests for access authorization of employees of other Federal departments or agencies who require access to Restricted Data,

c. Approve and transmit to the Director of Safeguards and _ Security, Headquarters, applications for access authorizations for foreign nationals.
d. Furnish Data Report on Spouse (DOE Form DP-354) for personnel under their jurisdiction who possess an access auth'orization.
e. Approve and transmit to the Director of Safeguards and Security, Headquarters, requests for access authorizations for members of the Armed Forces and civilian employees of the Department of Defense and the National Aeronautics and Space Administration assigned to duty with DOE Headquarters organizations, for access to Restricted Data.
6. HEADQUARTERS, DIRECTOR OF PERSONNEL shall:
a. Receive position sensitivity designations for Headquarters positions and provide copies of certifications to the Director of Safeguards and Security, Headquarters.
b. Process all requests for investigations for DOE Headquarters employees, applicants for employment, consultants, and assignees to the Director of Safeguards and Security, Headquarters.

- V7 c. Determine final action to be taken in those cases where questionable suitability information is developed.

7. HEADQUARTERE DIRECTOR OF SAFEGUARDS AND SECURITY shall:
a. Develop policy, objectives, standards, guides, and. procedures for the DOE Personnel Security Program.
b. Authorize Heads of Field Organizations to initiate security investigations relative to foreign nationals who are applicants for security clearance.
c. Fcr cases processed in accordance with the provisions of 10 CFR part
  1. 710.20 et seq. and 10 CFR part 710.38, perform the functions assigned to the Director of Safeguards and Security, Headquarters, and make recommen- ,

dations to the. Assistant Secretary for Defense Programs as appropriate,

d. Process all requests by other Government agencies for verification of an individual's DOE security clearance status.

O O

eum-em ato o .. . . . ...-..i . . . . . . - -

. 11-4 DOE 5631.2 11-13-80

e. Maintain centralized records for all DOE security cleara'nce actions.
f. Coordinate requests by the Inspector General for access to personnel security information for investigative purposes.
g. For Headquarters, approve and maintain records of review of personnel security files by properly identified employees of investigative _ agencies of the Federal Government and other routine users under Privacy Act regulations. .
h. Recommend to the Controller funding necessary for conductag personnel security investigations.
i. Maintain liaison with the Federal Bureau of Investigation and the Office of Personnel Management and is principal point of contact with these agencies on all personnel security matters.
j. Notify the Federal Bureau of Investigation or Office of Personnel Management of withdrawals of requests for investigation.
k. Initiatei ' -

(1) Investigation of spouses of individuals who marry after having been processed for an access authorization.

(2) Appropriate investigation and grant access authorizations for access to Restricted Data for: j,y (a) Personnel of the Department of Defense (000) and the National Aeronautics and Space Administration 'MASA) assigned for duty with DOE or DOE contractors or with n har Federal departments or agencies, and (b) Employees of other Federal deoartments or agencies who require such access.

1. Accept properly executed certifications for D00 and NASA personnel '

assigned for duty with DOE who require access to Restricted Data.

me. Concur in requests to the Secretary for waivers of preappointment full field investigation requirements for candidates under consideration to occupy critical-sensitive positions not requiring a "Q" clearance.

n. Accept properly executed requests for Interim Access Authorizations; conduct appropriate indices checks and forward such requests to the Assistant Secretary for Defense Programs with appropriate recommendations.

, 00E 5631. 2 II-5 11-13-80

o. For DOE Headquarters (including Grand Junction Office, DOE regional offices, energy technology centers, power marketing agencies, (except the Bonneville Power Administration), Federal Energy Regulatory Commission, Strategic Petroleum Reserves Office, and the Environmental Measurements Laboratory):

(1) Implement the Personnel Security Program consistent with the objectives, standards, guides, and procedures stated in this Order and in 10 CFR part 710. ,

-(2) ' Perform functions listed on pages II-5 through II-7, subparagraphs 8b, d, e, f, g, and k.

(3) Perform functions listed on pages II-7 and II-8, subparagraph 8m(1) through (5), (8), (9), and (10).

(4) Make an annual compilation of " Positions of a High Degree of Importance or Sensitivity"'for certification.

(5) Process Data Reports on Spouse (DGE Form DP-354).

(6) Process cases of DOE or DOE contractor personnel who are hospitalized or otherwise treated for a mental illness which may cause a defect in judgment or reliability.

(7) Evaluate all reports of investigation conducted on 00E employees

- n;k and applicants for employment for suitability in sensitive positions, PA42 and notify the Director of Personnel, Headquarters, of the results of each investigation for appropriate action.

8. HEADS OF FIELD ORGANIZATIONS, INCLUDING PITTSBURGH NAVAL REACTORS, SCHENECTADY NAVAL REACTORS AND THE. ASSISTANT ADMINISTRATOR FOR MANAGEMENT SERVICES, BONNEVILLE POWER ADMINISTRATION (EXCLUDING THOSE ORGANIZATIONS MENTIONED ON PAGE II-5, SUBPARAGRAPH 70), ALBUQUERQUE, CHICAGO, IDAHO, NEVADA, OAK RIDGE, RICHLAND, SAN FRANCISCO, SAVANNAH RIVER shall:
a. Implement the Personnel Security Program consistent with the policy, objectives, standards, guides, and procedures stated in this Order and in 10 CFR part 710. '
b. Initiate requests for investigation directly to the Federal Bureau of Investigation or Office of Personnel Management.
c. Detennine the position sensitivity and access requirements prior to requesting investigations for DOE employees or applicants for employment, consultants, and assignees.

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II-6 00E 5631. 2 11-13-80

d. Detennine the access requirements prior to requesting in'vestigations -

for DOE contractor or subcontractor employees, consultants, or access permittees.

e. Implement procedures which require DOE supervisors and DOE contractor organizations to report information received that an individual under their jurisdiction, possessing an active access authorization, is hospi-talized or otherwise treated for a mental illness which may cause a defect in judgment or reliability, and to notify the Djrector of Safeguards and Security, Headquarters, of this fact and when such employee is found to be free of such defect.
f. Arrange for the service of a psychiatrist to examine an individual when such an examination is determined appropriate in resolving a question of eligibility for access authorization, or continuing access

-authorization. .

g. Implement procedures under a supervisory security program to assure that DOE supervisors and DOE contractor organizations are aware that:

~

(1) Inforination concerning an individual possessing an active DOE access authorization (or in process for same) that is a matter of personnel security interest should be reported to a DOE security official.

(2) Established reporting channels should be used in communicating a matter of personnel security concern to the appropriate DOE security official. er f h. Request approval'of the Director of Safeguards and Security, Headquarters, to initiate security investigations relative to foreign nationals.

i. Refer to the Director of Safeguards and Security, Headquarters, requests for access authorization for employees of other Federal departments and agencies.
j. Furnish the Director of Safeguards and Security, Headquarters, with:

(1) Written notifications of withdrawals of requests for access authorizations. '

(2) An annual compilation of " Positions of a High Degree of Importance or Sensitivity" for certification.

(3) Data Reports on Spouse (D0E Form DP-354) for personnel under their jurisdiction who marry subsequent to the processing for an access authorization.

a '

00E 5631. 2 II-7 11-13-80

_k. Accept.for access to " Confidential" or " Secret" National Security Infcrmation (Non-Restricted Data) or Fonnerly Restricted Data involved in

'D0E contracts and subcontractors, written assurances that personnel of the facility engaged in DOE work possess final D0D or NASA clearances for access to national security information and the type of investigation on which such clearances were granted. Clearances granted by D00 contrac-tors and interim " Confidential" or " Secret" clearances are not acceptable.

Appropriate records of accepted clearances shall be maintained by the

. field organization.

1. Generate requests to the Secretary or the Assistant Secretary for Defense Programs, through the Director of Safeguards and Security, Headquarters, for Interim Access Authorizations.
m. In addition to the above, Heads of Field Organizations and the Assistant-Administrator for Management Services, Bonneville Power Administration:

^

(1) Grant access authorization in all cases except those requiring processing for a Personnel Security Board hearing.

(2) Cause individuals to be interviewed when the reported informa*. ion falls within the criteria of 10 CFR part 710 o'r Executive Order 10450.

(3) In connection with cases processed in accordance with 10 CFR part 710.20 et seg, perform those functions assigned to the Heads of Field Organizations.

(4) Extend, accept for transfer, reinstate, and terminate access i

authorizations as appropriate.

(5) Authorize transfer of contractor personnel, whose access authorizations are based upon investigations by the Office of Personnel Management or other Government agencies,-to positions of a "High Degree of Importance or Sensitivity" prior to receipt of Federal Bureau of Investigation reports.

(6) Furnish the Director of Safeguards and Security, Headquarters, with appropriate notifications of all access authorization actions.

~

(7) Approve and maintain records of review of personnel security files by properly identified employees of investigative ~ agencies of the Federal Government and other routine users under Privacy Act regulations.

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' I I'-8 00E 5631.2 11-13-80 (8) Accept investigations and reports on the character, associaticas, and loyalty of individuals made by the Office of Personnel Management, Federal Bureau of Investigation, or another Government agency which conducts' personnel security investigations, provided that a security clearance has been granted to such individuals by another Government a'ency g based on such investigations and reports.

(9) Maintain personnel security files, as appropriate, containing

' copies of reports of investigation a'nd other pertinent data on individuals granted a DOE security clearance by that office, or where an investigation was requested by that office and reports of investigation forwarded by virtue of the fact that the individual occupied a critical-sensitive position. -

(10) Assure that the information reflected on standard employment forms completed by DOE employees, applicants for employment, consultants

, and assignees is comparable with the information reflected on security forms prior to the security forms being forwarded to the appropriate investigative agency.

(11) Evaluate all applicable reports of investigation conducted on DOE employees and applicants for employment under their ' jurisdiction for suitability in sensitive positions and notify the cognizant of fice of the results of each investigation for appropriate action.

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  • DOE 5631. 2 111-1 11-13-80 CHAPTER III ,

@ POSITION SENSITIVITY DESIGNATIONS

1. GENERAL. The position sensitivity designation for each category of personnel for employment and access are contained in this chapter. Sensitive compart-mented information and general guidelines on requests for clearances are in paragraphs 3 and 4.
2. CATEGORIES.
a. Department of Energy (DOE) Employees, Applicants for Employment, Consultants, and Assignees.

(1) It is DOE policy to afford employment, and access to Restricted Data,

' National Security Information and other sensitive data not subject to National Security Regulations, and Category I or Category II quantities of special nuclear material to individuals concerning whom the DOE has made a determination that such employment and access will not endanger the common defense and security and is clearly consis-tent with the national interest. Except as a~uthorized by the Secretary (or designee) that such action is clearly consistent with the national interest, this determination shall be based upon an investigation and report by the Office of Personnel Management, Federal Bureau of Investigation, or another Government agency which conducts personnel security investigations, provided (in those

.Xhn JB2 instances involving access to Restricted Data) that a security clearance has been granted to suc'h individuals by.another Government agency based on such an investigation and report.

(2) To assure that investigative coverage is appropriate for the individual's level of responsibility and access, a determination shall be made as to the sensitivity of each Departmental position and certified in writing to the Director at Headquarters, or to the appropriate DOE official at a DOE field office. This certification of Position Sensitivity Designation shall indicate whether the position is critical-sensitive, noncritical-sensitive, or nonsensi-tive; and if critical-sensitive or noncritical-sensitive, shall indicate which of the criteria in (a) or (b) below was used as a ,

i basis for that determination, and the degree of access (if any) which is involved. The following criteria shall be~used in the determina-tion of the Position Sensitivity Designation.

(a) Critical-Sensitive Position. A sensitive position, requiring a pre-appointment Office of Personnel Management full field investigation, the duties of which include any of the following:

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4 III-2 DOE 5631 2 11-13-80 1 Access to Top Secret National Security Infahnation.

2 Access to Secret Restricted Data.

_3, Access to Special Nuclear Material in Categories I or II.

4_ Access to, and development or approval of war plans or particulars of future or major or special operations of war, or critical or extremely important, items of war.

5, Access to, and development or approval of plans, policies, or programs which affect the overall operations of the 00E.

6 Fiduciary, public contact, or other responsibilities

~~

demanding the highest degree of public trust. ,

_7_ Responsibility for the planning, direction, and implementation of a computer security program; major respon-sibility for the direction, planning, and design of a computer system, including the hardware and software; or the capabilit'y to access a computer system during its operation or maintenance in such a way, and with a relatively high risk for causing grave damage, or realization of significant personal gain (ADP-1).

8 Access to " CRYPT 0"-(classified cryptographic information) or other classified communications security (COMSEC).

(b) In addition to the above criteria for deter <nining critical-sensitive position designations, the following addi-tional responsibilities or considerations : hall be used to establish whether a critical-sensitive position is a " Position of a High Degree of Importance or Sensitivity" within the meaning of section 145f of the Atomic Energy Act of 1954, as amended, requiring a pre-appointment FBI full field investigation.

1 Regular access to Top Secret Restricted Data.

2 Regular access to Restricted Data involving broad policy -

, - or program direction in any of the following:

a_ Research and development programs pertaining to nuclear or thennonuclear weapons or special nuclear material production.

b_ Production or stockpile of nuclear or thermonuclear weapons or special nuclear material.

e 00E 5631.' 2

  • III-3 11-13-80 c: Research, development, or production in the laser fusion or laser isotope programs.

Si Naval nuclear. propulsion program.

3, Any other position so designated by the Secretary.

.(c) Noncritical-Sensitive Position. A sensitive position, not within the categories described above, requiring a preappoint-ment National Agency Check and Inquiry (NACI), the duties of which include any of the following:

1 Access to Confidential Restricted Data.

, j[ Access to Secret or Confidential National S4curity Information.

j[ Responsibility for the direction, planning, design, operation, and maintenance of a computer system, and whose work is technically reviewed by a higher authority in a critical-sensitive position to assure the integrity of the system (ADP-II). ~

(d) Nonsensitive Position. A position requiring a NACI but not requiring a clearance connected with, or relative to the national security or welfare, and which does not fall into any of the categories described above. This also includes all j$hf other positions involved in computer activities not specified on page III-2, paragraph 2a(2)(a)7 and page III-3, paragraph 2a(2)(c)3.

b. DOE Contractor and Subcontractor Employees and Consultants, and Access Pe rmi ttees.

(1) It is DOE policy to withhold the access to Restricted Data, other classified information, and quantities of special nuclear material of DOE contractor and subcontractor employees and consultants and access permittees until the DOE has made a detennination that such access will not endanger the common defense and security. Except as authorized by the Secretary or his designee that such action is -

clearly consistent with the national security .this determination shall be made based upon an investigation and report by the Office

  • of Personnel Management, Federal Bureau of Investigation, or another Government agency which conducts personnel security investigations, provided (in those instances involving access to Restricted Data) that a security clearance has been granted to such individual by another Government agency based on such an investigation and report.

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III-4 DOE 5631.2 11-13-80 (2) To assure that investigative coverage is appropriate, the individual's type of access (Restricted Data, National Security Infonnation, or unclassified Special Nuclear Material in Category I or II Quantities) and level of access (Top Secret, Secret, or Confidential) shall be detennined before a request for investigation is made by the appropriate DOE official. Additionally, a DOE contractor or subcontractor employee or consultant position shall be designated as a " Position of a High Degree of Importance or Sensitivity" within the meaning of section 145f of the Atomic Energy Act of 1954, as amended, when the duties of that position include any of the following:

(a) Regular access to Top Secret Restricted Data.

(b) Regular access to Restricted Data involving broad policy or ,

program direction in any of the following:

1 Research and development programs pertaining to nuclear or thermonuclear weapons or special nuclear material production.

2_ Production or stockpile of nuclear or thermo. nuclear weapons or special nuclear material.

3_ Research, development, or production in the laser fusion or laser isotope programs.

4_ Naval nuclear propulsion program.

(3) It is DOE policy not to establish a separate clearance program for DOE contractor and subcontractor employees and consultants and access permittees for positions associated with unclassified Federal Computer Systems. Rather, the contractor, subcontractor, consul-tants, or access permittee is responsible for maintaining satisfac-tory standards of employees qualifications, performance, conduct, and business ethics under its own personnel policies (U.S. Department of Energy Procurement Regulation, Subpart 9-50.12, Labor Relations, 9-50.1201-2(a)). .

c. Other Federal Department or Agency Employees.

(1) It is DOE policy to withhold the access to Restricted Data, other classified infonnation under DOE responsibility, and quantities of special nuclear material of other Federal employees until the DOE has made a determination that such access will not endanger the common defense and security. Except as authorized by the Secretary or his designee that such action is clearly consistent with the 9

' 00E 5631.2 III-5 11-13-80

. n

( ) national security, this determination shall'be based upon an investi-

' 's_ / gation and report by the Office of Personnel Management, Federal Bureau of Investigation, or another Government agency which conducts personnel security investigations provided (in those instances involving access to Restricted Data) that a security clearance has been granted to such individual based on such investigation and report.

(2) Additionally, positions within other Federal departments (exclusive of personnel of the Department of Defense and the National Aeronautics and Space Administration, who do not require DOE security clearance by virtue of section 143 of the Atomic Energy Act of 1954, as amended, or section 304(b) of the National Aeronautics. and Space Act of 1958) and agencies shall be designated as a " Position of a High Degree of Importance or Sensitivity" within the meaning of section 145f of the Atomic Energy Act of 1954, as amended, when the duties of that position include any of the following:

(a) Regular access to Top Secret Restricted Data.

(b) Regular access to Restricted Data involving broad policy or program direction in any of the following:

1 Research and development programs pertaining to nuclear or thermonuclear weapons or special nuclear material production.

2 Production or stockpile of nuclear or thermonuclear weapons Ofg"g)

"i - or special nuclear material.

-3 Research, development, or production in the laser fusion or laser isotope separation programs.

4, Naval nuclear propulsion program.

3. SENSITIVE COMPARTMENTED INFORMATION (SCI). Within the DOE, determinations concerning an individual's eligibility for access to SCI are the respon-sibility of the Senior Intelligence Officer and his or her designated repre-sentative(s). The granting of access to SCI shall be controlled under the strictest application of the "need-to-know" principle under procedures '

prescribed in Director of Central Intelligence Directive (DCID), No.1/14.

4. GENERAL GUIDELINES. Reg'uests for clearances shall be submitted only after a determination has been made that the duties of a position require access to classified information, or special nuclear material in Category I or II quantities, or regular access to a security area. Clearances are not to be requested as a means for alleviating individual or management responsibility to safeguard classified information properly or control dissemination of r

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III-6 DOE 5631.2 11-13-80 such classified information on a "need-to-know" basis. It is the intent of this policy to assure that clearances are requested only when absolutely required to avoid the unnecessary expenditure of agency funds and resources or the unwarranted invasion of an indivi-dual's right to privacy.

(1) The DOE will take all reasonable measures to obtain existing reports of investigation which may fulfill the agency standards

' and specifications as to the scope arid extent of investigations established by the Secretary.

(2) Requests for clearances will not be processed: (a) unless all required security forms are completed and signed (when appropriate) by the applicant; (b) if the printed content of the security forms has been altered; (c) if insufficient ',

, information is provided or the forms are illegible.

(3) The possession of a DOE clearance pennits an individual access to the levels of classified information (on a "need-to-know" basis) as shown below: .

Type Clearance Access Permitted *

-D0E Employees, Applicants for employment,-

Consultants, and Assignees; and DOE Contractor and Subcontractor Employees . &

and Consultants:

"Q - Sensitive" Top Secret RD, FRD,'& NSI Secret RD, FRD, & NSI Confidential RD, FRD & NSI "Q - Nonsensitive" Top Secret NSI, & FRD Secret RD, FRD & NSI Confidential RD, FRD, & NSI Top Secret Top Secret NSI, & FRD

'. Secret NSI, & FRD -

Confidential.NSI & FRD "L" Secret NSI, & FRD Confidential RD, FRD, & NSI Secret Secret NSI, & FRD Confidential NSI, & FRD 9

' s* i 00E '5631. 2

  • III-7 (and III-8) 11-13-80

..s h Employees of DOE Access' Permit Holders:

a "Q(X)" Secret RD Confidential RD-(as specified in the

~

access permit) ,4 "L(X)" Confidential RD (as specified in the access permit)

. - Other Federal Department / Agency Employees: *

"Q'- Sensitive" Top Secret RD Secret RD 0

~'

Ccnfidential RD

^

g "Q - Nonsensitive" Secret RD Confidential RD "L" Confidential RD

- *(RD - Restricted Data; FRD - Formerly Restricted Data; NSI - National i Security Information)- ,,

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  • V. S. COVERNMENT
  • RENTING OFMCE 1990== ht.177/2h v ,

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8 00E Contractor Reinvestigation Program I. All 00E Q - cleared contractors are covered by their reinvestigation program, but the application of this program differs as to the type

[vp of "Q" clearance held by the contractor.

(1) Two Types of-00E Contractor "Q" Clearance:

..a. "Qf"... positions designated as "of a high degree of importance or sensitivity"; initial FFI performed by the FBI; reinvesti-gations performed by the FBI; covers / includes those contractors whose duties require access to TS-RD, weapon data, and other highly sensitive information/ material. (Also known as "Q-Sensitive".)

b. "Qc".. . positions designated as "Q - Nonsensitive"; the initial FFI performed by OPM; reinvestigation, if pursued, is also performed by OPM; covers / includes the remainder of "Q" contractors (most 00E "Q" contractors' come under this category; S-RD, NNPI, other sensitive access requirements).

II. -DOEContrabtorReinvestigationProgramProcess

, e new forms-packet required every 5 years 7------ o Operations Offices asstire i s I ' program is carried out for i l those contractors under l , ,

_i their jurisdiction s Rf- (Sensitive) _M (Nonsensitive)

.c e new investigation normally e new investigation not perforr.e4 every 5 years i normally performed every

,. t s\

5 years unless review of new forms discloses derogatory information N_ e

~

e first 5 years: FBI " bring- e budget / monetary factors up" field investigation more prevelent A

e subsequent 5 years, FBI '

e better chance of investi-File & Fingerprint gation upon 10th year Chtck investigation anniversary t ,

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SPfCIAL NOTE: NO REINVESTIGATION PROGPR1 FOR "L" CONTRACTORS, EITHER

, AT DOE OR NRC.

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,s J**"4 4 8 UNITED ST ATES

. J .i NUCLEAR REGULATORY COMMisslON

,', ' [.cI TI j t

WASHINGTON, D. C. 20555 9, c .:

gv g ***** June 26,1984 e s ,

Mr. Jame's/13. MacRae Office of Management and Budget Reports Management, Room 3201 -

New Expcutive Office Building Washingtbh, DC 20503

Dear >Mr. MacRae:

In accortlance with Section 3507 of Public Law 96-511 of December 11, 1980, and regulat.fons of the Office of Management and Budget (0MB), I am enclosing, for Ot1B review; copies of Standard Fonn 83 and the supporting statement covering reporting and record $eeping requirements of NRC Form 1, " Personnel Security Questionnaire."

l The estimated respondent burden is 2,267 hours0.00309 days <br />0.0742 hours <br />4.414683e-4 weeks <br />1.015935e-4 months <br />.

/

c In accordance with NRC's procedures, my staff has made an independent review of the\ practical utility and necessity for the proposed infonnation collection, '

6 and we are in concurrence with this proposal. We have also reviewed for duplication and found no similar requiremer.t in the agency. Therefore, we are transmitting this material for appropriate OMB review and approval.

< y Sincerely, J///;,e Patricia G. Norry, Dir tor Office of Administration

Enclosures:

As stated ,

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a t

h

I h . ;^' AIPiACES SFa3 -

REQUEST FOR 0liB REVIEW FOR USE BEr.I:sIhG 4-83 (REY. 3-81) .

-lMPORTANT READ INSTRUCTIONS BEFORE COMPLETING FORM. DO NOT USE THE SAME SF 83 TO SIMutTANEOUSLY REQUEST AN EXECUTIVE ORDER 12291 REVIEW AND APPROVAL UNDU THE PAPERWORK REOUCTION ACT.

ANSWER ALL QUESTIONS IN PART I,. IF YHIS REQUEST 15 FOR REVIEW UNDER E.O.12291. COMPLETE PART II AND SIGN THE CERTIFICATION. IF THIS REQUEST 15 FOR APPROVAL UNDER THE PAPERWDRK REDUCTION ACT AND 5 CFR 1320. SKIP PART II COMPLETE PART III AND SIGN THE CERTIBICATION.

SEND THREE COPIES OF THIS FORM, THE MATERIAL TO BE REVIEWED. AND FOR PAPERWORK -- THREE COPIES OF

-THE SUPPORTING STATEMENT TO: OFFICE OF INFORMATION AND RECUIATORY AFFAIRS OFFICE OF MANACEMEN AND BUDGET. WASHINGTON D.C. 20503 -ATTENTION DOCKET LIBRART ROON 320I PART I.

2. AGENCY 3.NAME AND TELEPHONE NUMBER OF PERSON WHO 1.' DEPARTMENT / AGENCY and BUREAU /0FFICE CAN BEST ANSWER QUESTIONS REGARDING C00E ORIGINATING REQUEST THIS REQUEST U.S. Nuclear Regulatory James J. Dunleavy.

Commission 3. 1.5 a (301) 427-4001

4. TITLE OF INFORMATION COLLECTION OR RULEMAKING U.S. NRC Form 1, Personnel Security Questionnaire
5. LEGAL AUTHORITY FOR INFORMATION COLLECTION OR RULE 6l AFFECTED PUBLIC (CHECK Alt THAT APPLY)

. (CITE UNITED STATES CODE. PUBLIC LAU OR EXECUTIVE /_M,,_ 1. INDIVIDUALS OR HOUSEHOLDS ORDER) / 2. STATE OR LOCAL COVER.NMENIS

- j//_3. TARMS

/ / 4. BU31:tESSES OR OTHER FOR-PROFIT Usc oR E.0. 10450 & 10865, D 5. rEDERAI. ACENCIES oR mrt0 TEES -

& Atomic Energy Act / / 6. NON-FKOFIT INSTITUTIONS '

of 1954, as amended U 7 **^' ""' ' * "- " * * * * * "* .

PART 11. COMPLETE THIS PART ONLY IF THE REQUEST 15 FOR OMB REVIEW UNDER EXECUTIVE ORDER 12291.

L 7 . REGULATORY INFORMATION NUMBER (RIN) 9. CFR SECTION AFFCCTED

- Cylt 4:. TYPE OF SU81N15510N

10. DOES THIS REGULATION CONTAIN HEPORTING OR RECORD- -

KEEPING REQUIREM~NTS THAT REQUIRE OMB APPROVAL.UND CLASSIFICATION THE PA"ERif0RK *EDUCTICM ACT AND 5 CFR 1320T d 1. HA.70R TES O NO O O 2. MONNAJOR STAGE OF DEVELOPMENT 11. IF A MAJOR RULE. IS THERE A R'EGULATORY IMPACT ANALYSIS ATTACHE 07 O 1. PROPOSED OR DRAFT ,

O 2. FINAL OR INTERIM FINAL. WITE PRIOR 1. TES O 2. NO O - IF NO DID OMB WAIVE PROFoSAI.

Tuf A.utTSISr O 3. FINAL OR INTERIM FINAL. WITHOUT PRIOR PROPOSAL 3..TES O 4. NO O TYPE OF REVIEW REQUESTED I2. DOES THis REGULATION AFFECT ANY TRADE SENS O 1. STANDARD ACTIVITY 7 O 2. PENDINc O 3. EMEACENCT TES /J No C O 4. STATUTORT OR JUDICIAL DECREE CERTfFICATION FOR REGULATORY SUBMISSIONS: IN SUBMITTING THIS REQUEST FOR OMB REVIE CONTACT AND THE PROGRAM OFFICIAL CERTIFY THAT THE REQUIREMENTS OF E.O.12291 AND ANY APPLIC BEEN COMPLIED WITH.

SICNATURE OF FROGRAM OFFICIAL DATE SIGNATURE OF AUTE011 ZED RfCULATORT CONTACT

  • DATE j ff s Y

s f f N2' M g. .

(Ans I CJ. 5 - ~ 'RIDutitCN ACT AND 5 CFR 1320.

  • I3, AESTRACT - DEStRIsE NEEDS,1:SES AND AFFECTED PenLIC IN 50 voRDS OR LESS The information on NRC Form 1 iS needed to conduct background investigations and/or

,eval ua tionS of applicants for employment with the NRC and employees of URC contrac-

- tors and licensees to determine their eligibility for access to NRC classified in- I formation or access to or contrni nver snecial nuclear material 26. CURREN

14. TYPE OF INFORMATION COLLECTION- (CNECK ONE ONLY) .

NuMsER - - - ..

INFORMATION COLLECTIONS NOT CONTAINED IN RULES 3150-0048 a 1. Rscuut SvaM2SSION C 2. DtERCDCT SunMISSION 21. REQUESTED EXPIRATION DATE (CnTIFICATION ATTACHED) .

INFORMAfl0N-COLLECTIONS CONTAINED IN RULES 2/20/07

$ 3. EXISTING REGULATION (NO CHANGE PROPOSED)

O 4. NOTICE OF PROPOSED RULEMAKING (NPRM) 22. PURPOSE OF INFORMATION COLLECTION (CHECK AS H O 5. FINAL, NPRM WAS PREVIOUSLY PUBLISHED AS APPLY) ' *

6. FINAL OR INTERIM FINAL WITHOUT PRIOR NPRN e ~ C A. REGUu R SUBMISSION O 1. APPLICATION FOR BENEFITS O B. DCERCDCT SUBMISSION O 2. PROGRAM EVALUATION

. (CERTIFICATION ATTACMED) O 3. G5ERAL PURFOSE STATISTICS O 4. REGULATORY OR COMPLIANCE DATE OF EXPECTED OR ACTUAL FEDERAL RECISTS U 5. PROGRAM PLANNING OR MANAGEMENT PUBLICATION AT THIS STAGE OF RULEMAAING ~

O 6. RESEARCE I , 19 O 7. AUDIT

15. TYPE OF REVIEW REQUESTED (CHECK ONE ONLY)
23. FREQUENCY OF RECORDKEEPING OR REPORTING (C O 1. NEW COLLECTION THAT APPLY)

G 2. REVISION OF A CURRENTLY APPROVED. COLLECTION

' C 3. EXTENSION OF THE EXPIRATION DATE OF A O 1. RECORDKEEPING CL7JtINTLY APPROVED COLLECTION VITHOUT ANY. ' REPORTING CHANGE IN 18Z SUBSTANCE OR IN THE METHOD $ 2. ON OCCASION O 6 ' SDtI-ANNUALLY

,' O 7, ANNUALLY OF CDLLECTION - O 3, WEEKLY O 4. REINSTATD'.ENT OF A PREVIOUSLY APPROVED

  • O 4. MONTHLY O .B. BIENNUALLY COLLECTION FOR WHICH APPROVAL HAS EXPIRED. - O 5. QUARTERLY O 9. OTHER -DESCRIBE O 5. nISTING COLLECTION IN USE WITHOUT AN OMB ^ '

CONTROL NUMBER ..

M.1%NCY REPORT FORM NUMBER (S) .

HRC Form 1 24. RESPONDENTS dBLIGATION TO COMPLY (CHECK THE

17. ANNUAL REPCRTING OR DISCLOSURE BURDEN . STRONCEST OBLICATION THAT APPLIES) 1,51 F ' - c 1. votUNTARY
1. NuMan or RESr0NDENr5 O 2. REau1Rsa TO onTAxN OR RtmN A narrIT 1
2. NuMan OP RESr0NSES Pu RESPONDENr O 3. MANDATORY 1,N1
3. TOTAL ANNUAL RESPONSES (1 x 2) 1.5 ES. ARE THE RESPONDENTS PRIMARILY EDUCAT
4. BOURS P n RESPONSE OR INSTITUTIGNS OR IS THE PRIMARY PURPOSE 2.267 COLLECTION RELATED TO FEDERAL EDUCATION
5. TQTAL BOURS (3 x 4) ._

yIS O NO y ,

,8. ANNUAL RECOR0 KEEPING BURDEN 1

N/A

1. NUMan:0P RECORDKEEPERS
26. DOES THE AGENCY USE SAMPLING TO SELFCT R
2. ANNUAL;50URS PER RECORDKEEPER OR DOES THE AGENCY RECOMMEND OR PRESCRI
3. TOTAL RECORDAEEPING HOURS (1 x 2) 0F SAMPLING OR STATISTICAL ANALYSIS SY R
4. RECORDKEEPING RETDITION PERIOD _ YEARS
19. TOTAL ANNdAL BURDEN 2,267 27. ' REGULATORT AUTHORITY FOR THE INFORM

~

~ 1. RZQUESTED~~(17-5 + 18-3) 8,250 10 CrR 10. 11. and 25__ . or 2.INCuRiENTOMnINvImoRr

-t 5.9R3 FI

_ , or

3. DITPERENCE (1 - 2)

EIPLANATION OF DIPTEADCE OTHER (SPECITT)

5. ADauSTMENr ci 5.983 .

P IED

.PAPDMEX CDlIIFICATlDi:

IN SUBMITTING THIS REQUEST FOR OMB APPROVAL. DIRECTIVES THE AGEN WITN INCLUDING PAPERWORK REGULATIONS. ST

.DATE PROMULGATED UNDER THE PAPERWORK REDUCTION ACT of 1980. DATE SIGNATURE OF AGENCT HEAD OR THE SENIOR SIGNATURE OF PROGRAM OTPICIAL THORIZED RETA* SDTATIVE

' OFFICIALfullAN f4,. uw f:J Pa tm, c l a G . Norry , Di re/ts,., ctor #

g[e m Office of Administration .

ees O & O

. SUPPORTING STATD1ENT FOR

,' NRC FORM 1, PARTS I AND II, PERSONNEL SECURITY QUESTIONNAIRE (REVISION OF P.iRT II)

1. Justification
a. Need for Infomation Colie.ction (1) As a part of a total security effort to minimize danger to the common defense and security, individuals who are (a) nominated for access to NRC classified infomation, (b) nominated for access to or control over special nuclear material, or (c) apply for employ-ment with the NRC, must have a background investigation conducted on their character, loyalty, and associations. This basic security background investigation requirement and standards are documented in the references below:

. - the Atomic Energy Act of 1954, as amended, Sections 145 and 161 i.,

- Executive Order 10450, " Security Requirements for Government Employment,"

- Executive Order 10865, " Safeguarding Classified Infomation Within Industry," ,

- Executive Order 12356, " National Security Infomation," and its Implementing Directive,

' - 10 CFR Part 10.10, " Criteria and Procedures for Detennining Eligibilii.y for Access to Restricted Data or National Security Infomation or an Employment Clearance," and

- 10 CFR Part 11.15, " Criteria and Procedures for Determining Eli-gibility for Access to or Control Over Special Nuclear Material."

(2) The above investigatory requirement har resulted in the use of the current NRC Fonn 1, Parts I and II, Personnel Security Question-naire (PSQ), of which portions of PSQ Part II are being proposed for revision. The fourfold purpose of the PSQ is to (a) provide meaningful current personal history information to penait the investigative agency to conduct an expeditious and adequate inves-tigation of the respondent concerned in connection with a required NRC access authorization and/or employment clearance; (b) provide meaningful security-related background information for review by NRC security personnel to detemine or augment the scope of an initial or additional investigation that should be or has been conducted in the natio;.al interest on the respondent; (c) pemit meaningful security review of updated infonnation when an inves-tigation is not nonnally conducted, e.g., in connection with readjusting access authorizations back to the "Q" level (or "U" level under Part 11.15 e) following an extended period of access

~. .

authorization at the "L" (or "R" under Part 11.15 e) level, or a reinstatement of an access authorization after a period of tennination;- and (d) pennit the respondent to provide directly current and accurate information on issues of personal and security concern that will be used to assess the' respondent's eligibility for an NRC access authorization /employnent clearance.

(3) The questions on NRC Fonn 1, Part II, ' provide direct and relevant infornation and thereby assist the NRC in fulfilling its responsi-bility to assess a respondent's trustworthiness as well as assist

-investigative agencies in the efficient conduct of background inves tigations. The collective experiences of NRC, DOE, DoD, and other agencies in personnel security reveal that the areas which most often arise as security con'cerns are those probed by the questions listed below. Also, these questions relate directly to several elements of conduct listed in Section 8, Executive Order i 10450, and the criteria in 10 CFR Part 10, the second and fifth references above. The' specific criteria are those most often applied to security concerns arising from background investiga-tions. The questions are being added to Part II as shown in the following numbered sequence:

9.A. Do you now or have you ever used alcoholic beverages (such ,

as' liquor, beer or wine) habitually and to excess?

9.B. Has your use of alcoholic beverages (such as liquor, beer, wine) ever resulted in the loss of a job, arrest by police or treatment for alcoholism? ,

10.A. Are you now or have you ever been a user of any narcotic, depressant, stimulant, hallucinogen (to include LSD or PCP) or cannabis (to include marijuana or hashish) except as prescribed by a licensed physician.?

10.B. Have you ever been treated for drug abuse or have you ever lost a job or been arrested by police in connection with the use, possession, purchase or sale of any narcotic, depressant, stimulant, hallucinogen or cannabis? ,

11. Have you ever been treated for a mental, emotional, psychological or personality disorder?
12. Have you ever petitioned to be declared bankrupt or other-wise been the subject of bankruptcy proceedings?

To protect the privacy of the individual and shield his/her answers to the questions from unauthorized viewing, instructions are pro- l vided to place Part II in a preaddressed envelope which may be opened only by designated security personnel . The PSQ, Parts I and II, and the resultant investigative information are stored and maintained in a secured and alarmed area.

(4) On issues of personal concern to the individual and of security concern to NRC, it is most efficient,- and more equitabie to the individual, to collect personal information from the individual rather than indirectly from others whose information would in all likelihood be less current and possibly less accurate. In those cases where only a National Agency Check is conducted (which is the large majority of cases under 10 CFR Parts 11 and 25), the questions serve as the principal and in certain instances the only way to obtain the information. . In cases involving medical treat-ment for alcohol, drugs, or mental illness, the responses to the questions will ensure that doctors' identification / treatment facilities are known in advance of the investigation so that necessary releases can be obtained prior to initiating the inves-tigation and appropriate investigative coverage can be requested.

This saves investigative time as well as resolving the security concern more expeditiously which, to a degree, will thereby increase contractor / licensee productivity,

b. Practical Utility of the Information Collection The canpleted NRC Form 1, Part II, is forwarded to the NRC Division of Security where it will serve as bases for security-related decisions as follows : -

'(1) Based on,"Yes" answers to the questions (e.g., Have you ever been treated for a mental, emotional, psychological, or personality disorder?), the investigation will be scoped accordingly in order to obtain the necessary investigative assurance.for a decision as to access authorization eligibility. Additional security-related information may also be obtained from the applicant prior to requesting the investigation.

(2) Based on "No" answers to the questions, "L" or "R" level access authorization may be considered for. "Q" or "U" level access autho-rization without any additional investigation if a "Q" or "U" pre-viously was held by applicant. Also, other agency security clear-ances may be converted to NRC access authorizations without any additional investigation.

In cases such as (1) above, a better quality, more efficient, and l timely investigation on which to base security decisions is ob-

tained when such questions are used. In cases such as (2)-above, t

better quality security assurance is obtained fran Part II ques-

tions. Also, explarations offered by individuals can also be useful by themselves in reaching security decisions.

l (3) If no investigation is required, the respondent'may learn of the

security decision within one to' three weeks of NRC receiving

'Jhen a National Agency Check is l

correctly required (completed "R" forms."L" or access authorization), the respondent may learn of the security decision within 60 to 90 days. When a full f

3

_ _ _ _ _ _ _ , , _ , _ _ _ . . _ , , _ , _ _ , _ _ _ - . . . _ . . _ _ _ _ _ _ , _ , _ _ _ _ _ _ _ _ _ _ . _ _ , _ _ m, _ _ _ ,_

l

. _4_

field investigation is required ("Q" or "U" access authorization),

the respondent may learn of the security decision within four to seven months. The time periods are dependent on the work load of the investigative agency.

c. Duplication with Other Collections of Information (1) For respondents who have never applied for a Federal Government security clearance, there is no duplication of information collec-tion with regard to completing NRC Form 1, Part II. If a respon-dent has been previously granted security clearance by another government agency, NRC procedures permit such clearances in certain instances (e.g., current investigation on file) to be certified to the NRC without the* respondent completing NRC Form 1, Pa rt II. For the very.small group of people who have applied to the Immigration and Naturalization Service for citizenship, or the Department of State for a passport, or who have advised the IRS of bankruptcy, there may be some duplication.

(2) If a respondent has-been arrested and such arrest has been reported by the Local Law Enforcem.ent Agency to the FBI, completion of the question concerning arrest will probably be a duplication of infor-mation collection. However, the probable duplication is minimal ,

and necessary. for the following reasons:

(a) there is no guarantee that an arrest made by local police agencies will be on file with national agencies, especially if the arrest is recent or a small rural local agency made the arrest, and (b) NRC Form 1, Part II, is not always submitted to the CPM or FBI for investigative verification, such as in the casa of a clearance level change where negative answers / explanations to the questions may serve as the basis for the security deci-sion to grant the change. .

d. Consultation Outside the NRC The revised NRC Form 1, Part II, has been provided to DoD, DOE, and OPM.

No comments were received concerning the revisions. The new questions on NRC Form 1, Part II, are based on and similar to those used on DD Form 49, " Personnel Security Questionnaire" (PSQ) (Industrial), and DD Form 48, "PSQ (Industrial) - NAC." These DoD forms were approved by OMS in April 1982. Also, the NRC questions are nearly identical to those used on DOE's revised DOE Fonn DP-1 (Part II) which was approved by OMB in August 1983.

e. Other Supporting Information (1) Part II questions have proven to be of value for the following reasons:

4

- -5

-(a) The questions provide valuable investigative lead information during full field investigations and also serve, in the case of Federal snployment' applicants, to cross-check with qualifi-

  • cations information provided on the SF 171 and similar forms.

(b) The questions provide security-related information that a National Agency Check and a National Agency Check and Inquiry, both of which have a limited scope of inquiry, do not provide.

(c) The questions inform the respondents of areas of security concern which are used to detennine his/her eligibility for an access authorization.

(d) In addition to indicating h'onesty and reliability, truthful answers to the questions may also indicate that the individual is not trying to deceive or conceal information.

(2) Respondents are apprised of the purpose and uses of the information requested on NRC Form 1 by NRC Fonn 254, " Privacy Act Statement and Instructions for Completion of Security Forms Packet." The Privacy Act Statement explains to the respondent that the information entered on the NRC security forms is used as the basis for an investigation to determine initial or continuing eligibility for '

access to Restricted Data, National Security Information, special nuclear material, or for clearance for employment. The Privacy Act Statement also informs respondents of routine uses of the information, such as transfer or disclosure to federal investiga-tive agencies; to other federal, state, or loca.1 agencies to the extent necessary for an NRC decision about the respondent; or to another appropriate federal agency for that agency's decision about the respondent. The information may also be disclosed to a federal, state, or local agency if the information indicates a violation or-potential violation of law and in the course of an administrative or judicial proceeding.

(3) The Privacy Act Statement also advises respondents that disclosure of the information is voluntary on their part; however, if the information is not supplied, ' clearance processing may be delayed or the application may not be processed. To indicate that their consent has been given for the investigation of their background, the respondents sign NRC Form 259, "Autharity to Release Informa-tion." This form authorizes investigators to obtain information on the respondents including, but not limited to, academic, residential, performance, personal history. medical, credit,

~

arrest, and conviction records, etc.

2. Description of the Information Collection
a. Number and Type of Respordents The inforc.ation collection re quirement applies to approximately 90 NRCThe licensee and contractor facilities comprising 1,511 respondents.

facilities involved include those whose personnel require an NRC access authorization under 10 CFR Parts 10.1,11.11, or 25.17.

b. Reasonableness of the Schedule for Collecting Information There is no established schedule for the initial use of NRC Form 1, Parts I and .II, by an individual . The fong is only submitted whenever

'it is -determined that an individual requires NRC access authorization.

Reinvestigation for certain critical-sensitive positions, and renewal of NRC "U" access authorizations under 10 CFR Part 11.15, are normally done on a .five year cycle. Throughout the gceernment, this five year period is felt to be the maximum allowable while still minimizing the danger to the common defense. and security. The five year collection

~

schedule is therefore reasonable.

c. Method of Collecting the Information The information listed on NRC Form 1, Parts I and II, is not collected for tabulation in a recurring report. The information is collected from the individual which is the most efficient means of obtaining it.

-The information provided by the questions is specifically used:

[ '(1) To assist in the conduct of a comprehensive full field background ,

J. investigation to detennine-the respondent's eligibility for access authorization primarily at the "Q" or "U" level. If the informa-tion was not provided, investigative time would significantly in-crease, reducing licensee, contractor, and government productivity.

g.

(2) In conjunction with a National Agency Check to d'etermine the

' respondent's eligibility for an "L" or "R" access authorization.

(3) To serve by itself as the-basis for security processing or eligi-bility/ evaluation decision. If the information was not provided, a more extensive field investigation would be required that would use much more time and result in lower productivity.

(4) To assist in the detennination that granting access authorization e is consistent with the national interest.

d. Record Retention Period -

There is no requirement for the respondent to maintain records.

e. Reporting Period There is no established reporting frequency for NRC Form 1, Parts I and II. The forms are completed at the time (1) an access' authorization is required or (2) a five year reinvestigation / renewal or other reinvesti-gation is required. In the case of reinvestigation or renewal, other than certain identifying data, only new information since the previous NRC Form 1, Parts I and'II, were submitted need be provided. NRC Form I, Parts I and II, are also completed on an as-needed basis for security decision, clearance level changes, etc.
f. Copies Required to be Submitted NRC Form 1, . Parts I and II, are five-part manifold forms. The individual may keep one copy, one copy is maintained in the individual's Personnel Security File, and three copies are normally forwarded to the investi-gative agency.
3. Estimate of Burden
a. Estimated Hours Required to Respond to the Collection ~

It requires a respondent .1.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> to complete NRC Form The 1, Parts total I and esti-II (11/6 hours for Part I and 1/3 hohr for Part II).

mated annual burden for all 1,511 respondents is 2,267 hours0.00309 days <br />0.0742 hours <br />4.414683e-4 weeks <br />1.015935e-4 months <br />.

The four There additional questions account for 151 hours0.00175 days <br />0.0419 hours <br />2.496693e-4 weeks <br />5.74555e-5 months <br /> of the total burden.

has been a decrease in burden from 8,250 hours0.00289 days <br />0.0694 hours <br />4.133598e-4 weeks <br />9.5125e-5 months <br /> to 2,267 based on actual respondents during the past 3 years.

b. Estimated Cost Required to Respond to the Collection (1) Completion Costs - NRC Fonn 1, Parts I and II It'is estimated that the total annual dollar cost for all respon-respon-dents to canply with this requirement is $136,020.(1,511

. dents x 1.5 hrs. x $60/hr. = $136,020).

I (2) Investigative Cost - NRC Form 1, Part II ,

Investigative cost associated with Part II is charged to the licensee. ItTotal is estimated that 20% of time is expended on investigative cost is $380,100 x 20% = $76,020.

licensees.

(3) Total Cost Total cost required to respond to NRC Form 1, Parts I and II, is

$136,020 completion costs plus $76,020 investigative cost equals

$212,040.

c. Source of Burden Data and Method for Estimating Burden Based on experience, observation, and sampling of the security staff's effort to complete the fanns, the average time needed to complete NRC Form 1,~ Parts I and II, is I hour and 30 minutes.

- d. - Reasonableners of Burden Estimated -

The burden estimates are reasonable because the time used to complete the fonn is based on experience, observation, and staff sam, pling. ,

4. Estimate of the Cost to the Federal Goveranent The annual cost to the NRC for the completion and processing of NRC Form 1, Parts I and II, is $104,679.

- 920 NRC Form l's x 1.5 hrs completion time x $60/hr. = $82,800 (1,380 hrs. x $60) ,

- 920 NRC employee forms x 9 min. processing time x $60/hr. = $8,280 (8,280 min. = 138 hrs. x $60)

- 1,511 respondent forms x 9 min. processing time x $60/hr. = $13,599 (13,599 min. = 226.65 hrs. x $60) ,

- Total $104,679 e

9 i

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m^Tir:tir,weTIONS -MRC FOKht l NAS TWL) PARTS ALL SECTIONS T)*l'h OR l'RINT ALL OFIIUTH ANSul:RS. PAR weth altquestaans. Do not sogn wouhnut (ness readent the unstructonns and errenforarean at the end of the1.orm herh theensures llmore space as requered. enter an item 17 on the back of thus form or attach addstannat sheets and anderate the st roply. Questsons which do not apply should be marked **None**.

4 ns.sc u s n't son c n...

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s. N AuE (last. Fnrst. Afsddir) . . . . . . , n,. .

es. nts n TH uanth nay Ye e S. SOCE A L SEC. No. (Scr instruu twns)

2. ALL OTHER N AMES (Include maiden reame. names by former DATC marriages. and dates that names were sased)
1. DI RT Hl'L Ac t. (Cst v. County. State. an.1 Countryl w.o...<c,i O n.vo,e,d E l
8. Put an "X** an Appropriate Dom: Sengi, O narr.ed O D A TES If d.worced. enter name of divorced spouse (Q wsth date and plare of divorce (s).

R SIDENCE (Streer and Number.

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10. CITIZENSHil': U.S.O ^'<a O D AT ES
9. 'ALL t ,THER R ESIDENCES FOR PAST I 5 Y EARS A. If U.S. coinen. indicsse whcther:

tt) By Dirth O '(3) or Naiueah =teoa O

^hea "crisi'ai'oa No.

(2) Der ev ative O l'etition No.

Date Date Certification No.

Place Certification No.

Place D. If alien. indicate:

(2) Present Citizenship (1) Alien Registration No. e (4) Port of Entry (3) Date of Entry T. o . ,

II . MILITA RY SER VICE (Past or Presenti s .. .,

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82.

EMPLO YAfENT(Last ALL employment datruncludsng pr:sent employment f and ALL dates and addres e nizati.sn employments required a security clearance or access authorization,indscate this fact di after the name o the emmpan '

which requested the clearance. Give name or names under whnehIwuY.5, emploved 5.terv.

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,,4, if dnfferent from Trto name nner une et uer6 ICNp*.Y $a'.Neir.ooe tr$ ret O

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h*. EDUCATION (AllSchools Above Elementary} mee. .

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rer.ee elderar A" ead*"***d min be a **d by f*dorelinensesenew arenewe wh*Ie rendeensas e ere=resy nense Enerar Act et I054.en eawad*d eed E**ees==* 0 d"e !**Sa *nd etreranee er eeren eesAernes.en enen ase eenhor.sy etsace ene os and ssieietshe Auemer shot the f *ermes.en neer etee be eerd ter any of the reesene e,see etened en thedentarmeseen Provery Art **I neee 5sesenmentronete enand eten emote =='*nn thse eben archeelee ear loin t reolue thet the dseeleeerr e! a kse enfer metien ne s,etentary. Howreer.teile e by ene te nopptr oll er en s pers ef r

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IDaar and I' lace k'Irere Sarnedi (Sign Original Ontvf (Usual Signature of Person Fdling Out Quessionnaire) NCY OR FIRM i Mi'LOYING TO BE FILLED OUT DY ACl NAM E OF AGl.NCY un I tRM 9RIEF DESCRIPTION OF DUTIES (Description should not Reveal aassifiedinfurination) -.

AupHLSS wlLL l l.MSON II AVI ACCl_% TO:

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