ML20206E915

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EDO Control of Rulemaking Package Re 10CFR11, Criteria & Procedure for Determining Eligibility for Access to or Control Over SNM, Allowing Utilization of Other Federal Agency Clearance Forms.Continuation Approved
ML20206E915
Person / Time
Issue date: 05/14/1985
From: Dircks W
NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To: Jennifer Davis
NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
References
NUDOCS 8606240040
Download: ML20206E915 (57)
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{{#Wiki_filter:. gg 14 M MEMORANDUM FOR: John G. Davis, Director Office of Nuclear Material Safety and Safeguards FROM: William J. Dircks x Executive Director for Operations k.

SUBJECT:

CONTROL OF NRC RULEMAKING By memorandum of February 13, 1984, " Control of NRC Rulemaking by Offices Reporting to the EDO," Offices were directed that effective April 1,1984, (1) all offices under EDO purview must obtain my approval to begin and/or continue a specific rulemaking, (2) resources were not to be expended on rule-makings that have not been approved, and (3) RES would independently review rulemaking proposals forwarded for my approval and make recommendations to me concerning whether or not and how to proceed with the rulemakings. In accordance with my directive, the following proposal concerning rulemaking has been forwarded for nly approval. Proposed revision of 10 CFR Part 11 (Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material) to allow utilization of other Federal agency clearance forms. (Sponsored by NMSS _ memorandum, Minogue to ED0 dated May 1, 1985.) I approve continuation of this rulemaking. The NRC Regulatory Agenda (NUREG-0936) should be modified to reflect the status of this rulemaking. ($lgna0 William J.Dircks. William J. Dircks Executive Director for Operations cc: V. Stello J. Roe H. R. Denton J. Taylor e60624004o e50514 R. B. Minogue EDO RM PDR P. G. Norry 11 Distribution: WJDircks - JHSniezek VStello WSchwink JPhilips JHenry EDO rf Central File DEDROGR cf n 1 1 0FC :ROGR/S

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SUBJECT:

CONTROL OF NRC RULEMAKING: RES INDEPENDENT REVIEW 0F ONG0ING RULEMAKING SPONSORED BY NMSS Based on our independent review of the ongoing rulemaking " Revised Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material," (10 CFR Part 11), sponsored by NMSS, RES recommends that this rulemaking should continue. The basis for our recommendation is as follows. The proposed rule amends 10 CFR Part 11 requirements for using only NRC clearance forms when requesting special nuclear material access authorizations. These revisions will allow utilization of other federal agency clearance forms for current active federal clearances based upon equivalent investigations for the purpose of granting NRC special nuclear material access authorizations. Specific considerations are: o ~ The number of licensed fuel facilities having formula quantities of special nuclear material has been reduced significantly. All of the remaining facilities have requirements to varying degrees for NRC and/or DOE personnel access authorizations, o The levels of NRC and DOE personnel access authorizations are the same ("Q" and "L") and they are based upon the same type of investigations. Therefore, investigative data on file with either of these two agencies would be acceptable for granting the comparable level of access to special nuclear material. o' An amendment to effect the changes to the rule would achieve all the objectives of the Commissions' special nuclear material access program and at the same time not require licensees to duplicate efforts and expenditures for equivalent investigations and application data which have already been accomplished to satisfy requirements for other federal agencies. ~

- D William J. Dircks 2, NAY 1 1985 o The estimate of reduced licensee burden is $1,599,900 per year industrywide The estimate of reduced cost to the Federal Government is $10,170 per o year. The Director of NMSS,. recommends that this rulemaking continue. The com lete RES independent review package has been sent to OED0 (Attn: DEDR0GR and to the Director, NMSS. hifNY]$ b Robert B. Minogue, Director Office of Nuclear Regulatory Research t a J l '

Dets ROUTING AND TRANSMff7AL SLF ~ gY 2 M! ' TOR (Name. odlce symbol, reem number, initials Date budsong, Agency / Post) ' OSDO (W.'DEDRoGK} n. db s. \\v 3. 4, 5, ~ XAction File Note and Retum - Approval For Cleerence per Conversation As Requested For Correction Prepare fleply Circulate For Your Information See Me Cernent - investigste Signature C- :-Onetion Justify 3 ae p a nssM f ~- ~ [f ll i q_ y

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DO NOT use this form as a RECORD of approvels, concurrences, disposals, clearances, and similar actions FROBA:(Name, org. symbol, Agency / Post) _ Room No.-81ds. . fl h M R. 0 0 h b Phone No. y 8844-102 OPTIONAL. FORM 41 (Rev. 7-76) Freen Y k -11.206 82 0 - 3st-529 (2233 I i

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)V f,. ! 14 ' t MAY 1 1985 l.j,( N P fEMORAN00M FOR: William J. Dircks i k Executive Director for Operations yn h FROM: Robert B. Minogue Director p Office of Nuclear Regulatory Research I

SUBJECT:

CONTROL OF NRC RULEMAKING: RES IIIDEPENDENT REVIEW OF 1W ONG0ING RULEMAKIllG SPONSORED BY lstSS S I. ,) t-l f,C Based on our independent review of the ongoing rulemaking " Revised Criteria and k Procedures for Determining Eligibility for Access to or Control Over Special

A Bluelear Material " (10 CFR part 11), sponsored by IStSS, RES recommends that this

' j h., ;- rulemaking should continue. h basis for our recommendation is as follows. ,i y., h proposed rule amends 10 CFR part 11 requirements for using only IIRC i 4 clearance foms when requesting special nuclear material access

F' authorizations. h se revisions will allow utilization of other federal k.

agency clearance foms for current active federal clearances based upon i h equivalent investigations for the purpose of granting IIRC special nuclear I ,;J material access authorizations. Specific considerations are: a$ I h number of licensed fuel facilities having formula quantities of o

frs, special nuclear material has been reduced significantly. All of the qi "

remaining facilities have requirements to varying degrees for NRC and/or D0E personnel access authorizations. l (y- ? o The levels of IIRC and DOE personnel access authorizations are the same h ("Q" and 'L*) and they are based upon the same type of investigations. Therefore, investigative data on file with either of these two i agencies would be acceptable for granting the comparable level of %r access to special nuclear materia'. k h o An amendment to effect the changes to the rule would achieve all the M objectives of the Commissions' special nuclear material access program k and at the same time not require licensees to duplicate efforts and i expenditures for equivalent investigations and application data which .T have already been accomplished to satisfy requirements for other f federal agencies. Db .f e,<. > y-., y T Se=> NIc ronu sie no-soi Nacu ano OFFICIAL RECORD COPY

E. k r.. - f,._ a i k St h William J. Dircks 2 5 MAY 1 1985 ? [ o The estimate of reduced licensee burden is $1,599.900 per year industrywide x r o The estimate of reduced cost to the Federal Government is $10,170 per year. I i, - The Director of NMSS, recc::rnends that this rulemaking continue. .E The complete RES independent review package has been sent to OEDO (Attn: DEDROGR) and to the Director, NMSS. 3 Originaleigned by: 30M E A.HIEREE lA Robert B. Minogue, Director ?, Office of Nuclear Regulatory Research v 9 k 244h };. : Ift 9 ?. l.; DISTRIBUTION: 9 RMinogue ff Dross y FGillespie MErnst l JNorberg i PTing l; STurel l STurel/rdg HFSG/subj HFSG/rdg Circ Chron .\\/ n,n %n m.m M: M m:@ D [R I l o,,,c,, J ......'l n g .Norberg st , illespid... oss R ....[M.i n S.Turel:c e m,uc> l ..... /. /../85 4/p../85..4,.... 4/.G./.85... y../.85 ......./.8 5 .....p...... 4/ /85 4/ 4/ /85 oavsp.....g..... NRC FOEM 318 (1080) NRCM O240 OFFICIAL RECORD COPY

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1 RES INDEPENDEf3 EEVIEW BOARD (VOTING SHEET TO: F. P. GILLESPIE, CHAIRMAN, RIRB FROM: K. R. Goller, Member, RIRB TITLE OF RULEMAKING: Revised Criteria and Procedures for Determining Eligibility for Access to or Control over SNM (Part 11) / AGREE WITH RECOPf4ENDATIONS IN RES RULEMAKING REVIEW PACKAGE MODIFY RECOMMENDATIONS IN NOT PARTICIPATING

  • RES RULEMAKING REVIEW PACKAGE AS INDICATED BELOW COP 94ENTS AND SUGGESTIONS:

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RES INDEPENDEf3 RIVIEW BOARD VOTING SHEET T0: F. P. GILLESPIE, CHAIRMAN, RIRB FROM: G. A. Arlotto, Member, RIRB TITLE OF RULEMAKING: Revised Criteria and Procedures for Determining Eligibility for Access to or Control over SNM (Part 11) AGREE WITH RECOPMENDATIONS g IN RES RULEMAKING REVIEW PACKAGE MODIFY RECOMMENDATIONS IN NOT PARTICIPATING

  • RES RULEMAKING REVIEW PACKAGE AS INDICATED BELOW COMMENTS AND SUGGESTIONS:

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RES INDEPENDENT FEVIEW BOARD VOTING SHEET TO: F. P. GILLESPIE, CHAIRMAN, RIRB FROM: W. M. Morrison, Member, RIRB TITLE OF RULEMAKING: Revised Criteria and Procedures for Determining Eligibility for Access to or Control over SNM (Part 11) AGREE WITH RECOMMENDATIONS IN RES RULEMAKING REVIEW PACKAGE MODIFY RECOMMENDATIONS IN NOT PARTICIPATING-RES RULEMAKING REVIEW PACKAGE AS INDICATED BELOW COMMENTS AND SUGGESTIONS: Straight Approval, 1 i l W. M. Morrison MEMBER, RIRB +/46/TJ' DATE l l l

e RfS t@2 PEND 647 Rfvl6hl ITSAA ROUTING AND TRANSMfMAL SUP APR 191985 m fNemo, edhee symbol, som awI@er. InRiots Date 4emas. Asener/ Pest) 3. W. M. Morrison, Member, RIRS g, K. R. Goller, Member, RIRD 3, G. A. Arlotto, itember, RIRB ~ S. Y bellen FBe feste and Retum besmves per camerence per connesetion bs ___ ^ ^ rer Correction Propero neply baseueste per veer essermetion see ese I- _ _ _^ Investigste SW 5 rr. Jesufr asaannas W @f, m, a Ps-A :n h2E -- = yAuswt,y w w s ( P A tt) 4 We are at step III.C.2, "RIR3 deliberations," of the RES independent review procedures fo'r the attached i specific onDoing rulemaking sponsored by NM 5 5. Please evaluate the. attached dra'ft independent review package and provide RA!!RB with your voting sheet indicating your position on the rulemakin0 29 E .Your response by c.o.b. will assist in RES' makinD independent recomendations to the EDO in a timely manner. DO 900T use this term as e IIECORO et approvels, eencuereness, elleposais, eteersness, and simmer estions enceL psame, ers. ermtel, Agency / Post) neem No.--etes RAMRB staff emene me. 443-7885 seen. net pgnet 41 Stev. 7-M) NI

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I MEMORANDUM FOR: Willian; J. Dircks Executive Director for Operations i FROM: Robert 8. Minogue, Director Office of Nuclear Regulatory Research

SUBJECT:

CONTROL 0F NRC RULEMAKING: RES INDEPENDENT REVIEW OF ONGOING RULEMAKING SPONSORED BY ESS Based on our independent review of the ongoing rulemaking " Revised Criteria and procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material," (10 CFR Part 11), sponsored by MSS, RES reconnends that this rulemaking should continue. The basis for our recommendation is as follows. j e The proposed rule amends 10 CFR part 11 requirements for using only NRC clearance forms when requesting special nuclear material access authorizations. These revisions will allow utilization of other federal agency clearance forms for current active federal clearances based upon 4 equivalent investigations for the purpose of granting NRC special nuclear material access authorizations. Specific considerations are: l o The number of licensed fuel facilities having fonsula quantities of l special nuclear material has been reduced significantly. All of the remaining facilities have requirements, to varying degrees for NRC and/or DOE personnel access authorizations. o The levels of NRC and DOE personnel access authorizations are the same ("Q" and "L") and they are based upon the same type of investigations. e Therefore, investigative data on file with either of these two agencies would be acceptable for granting the comparable level of ' access to special nuclear material. o An amendment to effect the changes to the rule would achieve all the objectives of the Connissions' special nuclear material access program and at the same time not require licensees to duplicate efforts and expenditures for equivalent investigations and application data which have already been accomplished to satisfy requirements for other federal agencies. errice > me C&te > n:c ronu sie tio-e0) NRCM 0240 OFFICIAL RECORD COPY l.

William J. Dircks 2 I r The estimate of reduced licensee burden is $1,599,900 per year o industrywide The estimate of reduced cost to the Federal Government is $10,170 per o year. i The Director of NMSS, recomends that this rulemaking continue. The conplete RES independent review package has been sent to OEDO (Attn: DEDROGR) and to the Director, K4SS. Robert 8. Minogue, Director Office of Nuclear Regulatory Research DISTRIBUTION: RMinogue Dross FGillespie MErnst JNorberg PTing j STurel STurel/rdg ( HFSG/subj HFSG/rdg Circ Chron i i .o RES/DD RES/DIR G

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/* "% UNITED STATES t NUCLEAR REGULATORY COMMISSION ys-g ,j WASHINGTON, D.C. 20555 e/ APR I 1B5 s.n.a m,DRA0,M MfS B MEMORANDUM FOR: I. Cnti. S ting Dir;;t:r Pul ky, Fla....k; :.d Co.wvi Stori, ZS i FROM: F. P. Gi11espie, Chai, man RES Independent Review Board

SUBJECT:

CONTROL OF NRC RULEMAKING: RES INDEPENDENT REVIEW 0F ONGOING RULEMAKING Enclosed is a rulemaking review package received from a sponsoring office for RES independent review. (Enclosure 1) In accordance with procedures approved by the ED0 on May 30, 1984, the rule-making review package is assigned to your staff for action. (Enclosure 2) The ED0-approved procedures allow a total of 20 working days for completing the RES independent review. To assist RES in completing its independent review in a timely manner, please submit the draft independent review package for this specific rulemaking to RAMRB by 7 working days from the date of this memoran-dum. FP6 F. P. Gillespie, Chairman RES Independent Review Board 1

Enclosures:

I 1. Revised Criteria and Procedures for Detemining Eligibility for Access to or Control Over Special Nuclear Material (10 CFR 11) l 2. Procedures for Conducting RES Independent Review of Rulemaking l l

9 O = > S e e OFFICE REVIEW PACKAGE RECEIVED FROM NMSS

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'$. -l% / 9 M i4 1925 MEMORANDUM FOR: William J. Dircks Executive Director for Operations FROM: John G. Davis, Director Office of Nuclear Material Safety and Safeguards

SUBJECT:

CONTROL OF NRC RULEMAKING - EDO QUARTERLY REVIEW In response to your memorandum of February 13, 1984, and in accordance with instructions provided in subsequent memoranda from the Office of Nuclear Regu-latory Research (NRR), the Office of Nuclear Material Safety and Safeguards (NMSS) has reviewed the ongoing or proposed rulemaking activities listed in Attachment I to this memorandum. On the basis of our review, we recommend approval of continued activity on these rules, with the exception of "Certifi-cation of Industrial Radiographers" and " Shallow Land Disposal of Radioactive Waste". Staff efforts on these are now directed toward terminating the two rulemaking activities. Also, as directed by your memorandum and the subsequent instructions from RES, we have prepared Review Packages for all of the listed rulemaking activities. These are included as attachments to this memorandum, with copies forwarded to RES and the other reviewing office. T J hn G. Davis, Director l Office of Nuclear Material Safety and Safeguards t Attachments: As stated O bec: RES RM DRR l

== hb DIVISION OF SAFEGUARDS " Revised Criteria and Procedures for Detennining Eligibility for Access

to or Control Over Special Nuclear Material"

Contact:

Russel Rentschler 427-4761 NOTE: This is a new rulemaking activity and has not been in the Regulatory Agenda before. O

. m . ~...,,, NRC REGULATORY AGENDA ENTRY 6 k 9 I O

2 i I TITLE: Revised Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material CFR CITATION: 10 CFR 11 A8STRACT: This rulemaking amends requirements for using only NRC forms when requesting special nuclear material access authorizations and allows use of other federal agency forws. This avoids needless duplication in administration and I investigation for individuals currently cleared by such agencies on the basis of equivalent background investigations. The rule change allows renewal of access authorizations under the schedule of the DOE reinvestigation program if the DOE personnel clearance is equivalent. The rule also incorporates changes in fees and the schedule for fee determination. TIMETABLE: NPRM 06/31/85. LEGAL AUTHORITY: Sec. 7, Pub. L 93-377, 88 Stat. 475; Sec. 1611, Pub. L 83-703, 68 Stat. 948 (42 U.S.C. 2201(1)); Sec. 201, as amended, Pub. L 23-439, 68 Stat. 1242, Pub. L 94-79, 89 Stat. 413 (42 U.S.C. 5841). Sec. 11.15(e) also issued under the authority of (31 U.S.C. 9701). EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: No AGENCY CONTACT: Russel R. Rentschler Office of Nuclear Material Safety and Safeguards Washington, D.C. 20555 301 427-4761 l l l l - /

Mi 4 e e e G W TASK LEADER EVALUATION e d l t t , i

o EVALUATION OF RULEMAKING ~ TITLE: AMENDMENT OF 10 CFR PART 11, REVISED CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL 1. The issue to be addressed. This rulemaking amends the language of the sections of 10 CFR Part 11 which specify the requirements for applications and renewals-of Material Access Authorizations. It eliminates the requirement for use of only NRC Forms so as to allow acceptance of documentation on individuals who possess current personnel clearances based upon equivalent investigations. It allows certification of DOE and, to a smaller degree, 000 documentation. 2. The necessity and urgency of addressing this issue. l Adoption of the amandments would eliminate unnecessary and duplicative expenditures of administrative and investigative effort and cost in carrying l out the Material Access Authorization Program. l

f 3. Alternatives to rulemaking. Staff has explored the possibility of eliminating the unnecessary duplication in documentation by granting an exemption from the regulation. The Office of the Executive Legal Director has advised that such action would cause certain legal problems in case of appeals. 4 How the issue will be addressed through rulemaking. The rulemaking will explicitly authorize the use of DOE documentation for those individuals possessing currer.t personnel clearances based upon equivalent investigations. It will also allow use of the DOE sfa. tem of renewals. 5. Effect which the rulemaking has on the public, industry, and NRC. This rulemaking eliminates initial and renewal applications for the category of licensee or licensee-contractor employees who possess personnel clearances based upon equivalent investigations made by other agencies. There is no effect upon the public by this administrative change to regulation. Industry will be relieved of certain duplicative requirements and expensas. The NRC will be relieved of certain administrative requirements which are 4 replaced by less demanding requirements.

6. NRC resources and scheduling needed for the rulemaking. Approximately one half staff-year will ~be expended from now until a final rule is prepared. The schedule for completing the amendment is six months. AGENCY CONTACT: Russel R. Rentschler Office of Nuclear Material Safety and Safeguards Washington, D.C. 20555 301 427-4761 l . +- s y s .,w

9 e e 9 mum O e RllLEMAKING AS CURRENTLY PROPOSED l l l k I I

DRAFT WORKINS PAPER REGULATORYfLEXIBILITYCERTIFICATION The Comission hereby certifies that this rule will not have a significant adverse impact upon,a substantial number of small entities due to the' facts that follow: Less than ten licensees will be affected by this rulemaking; only administrative requirements are affected; requirements which duplicate those of other Federal agencies will be reduced or eliminated. LIST OF SUBJECTS IN 10 CFR Part 11 Part 11 - Hazardous materials - transportation, nuclear materials, reporting i and recordkeeping requirements, security measures, special nuclear material. Part 11 Criteria and Procedures for Determining Eligibility fcr Access _to or Centrol Over Special_ Nuclear Material 1. The authority citation for Part 11 continues to read as follows: Authority: Sec. 7, Pub. L 93-377, 88 Stat. 475; Sec. 1611, Pub. L 83-703, 68 Stat. 948 (42 U.S.C. 2201(i)); Sec. 201, as amended, Pub. L 23-439, 68 Stat. 1242, Pub. L 94-79, 89 Stat. 413 (42 U.S.C. 5841). Sec. 11.15(e) also issued under the authority of (31 U.S.C. 9701). 2. Section11.7(c)isamendedtoreadasfollows: "NRC 'U' special nuclear material access authorization" means an administrative determination based upon a national agency check and a full-field background investigation, normally conducted by the Office of Personnel Management, that an individual in the course of employment is eligible to work at a job falling within the criteria of $11.11(a)(1) or 11.13; 3. Section 11.8 is added to read as follows: 511.8 Information collection requirements" OMB approval. (a) The Nuclear Regulatory Commission has submitted the information 1 collection requirements contained in this part to the Office of Management and Budget (CMB) for approval as required by the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the information cc11ecticn requiremen.ts contained in this part under control number 3150-0062. (b) The approved information ecliection requirements contained in this part appear in 99 11.9, 11.11, 11.13, and 11.15. I l

4. Section 11.11(a) is amended to read as follows: 9 11.11 General Requirements. (a)Eachlicenseewho[after-FebPwaFy-195-1984] uses, processes, stores, 5 i transports, or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in Part 73 of this chapter) subject to the physical protection requirements of 99 73.20, 73.25, 73.26, 73.45, and 73.46 of Part 73 of this chap'ter and each person subject to the general licensing requirements of 9 70.20(a) shall identify at its facility or plant (excluding all non-power reactor facil.ities and storage cf fuel incident thereto and facilities and plants in which the licensee possesses or uses only irradiatec special nuclear material subject to the exemption of 9 73.6(b) of Part 73 of this chapter), describe, and if not already provided, provide to the Comission, [by-January-4Ss-1982 ] within 60 days by amendment to its security 5 plan: 5. Section 11.11(b) is amended to read as follows: (b) After 365 days following Ccrm1ssion approval of the amended security plan submitted in accordance with paragraph (s) of this section no individual may be permitted to work at any job determined by the Cormission to fall within the criterion cf paragraph (a)(1) of this section withcut an NRC-U special nuclear material access authorization, and no individual may be pemitted unescorted access to any protected area at ar.y site subject to this part

7 =. :- - i without either an NRC-U or NRC-R special nuclear material access authorization. 1 [An-ensep44en-4s-prov4ded-for-any-4ndiv4dval-eiRployed-en-the-effeet4ve-date-as these-amendments,-and-not-yet-4n-rese4pt-of-an-approved-aeeess-authei4iation f rom-the-G elNR4664 e n t-p rev4 ded-th a t-a-eemplete-a p p44 eat 4 e n-Wa s-sublR444ed-fe r l that-employee-4n-aeeerdanee-w4th-G W 15-and-the-app 44 sat 4en-has-not-been disapproved.] Exceptions to the requirement for an N_RC-U special nuclear material access authoriza_t_ ion for an individual _to work at a job within the criteria _of paragraph (a)(1) are provided for (1) any individu_al _ employ _ed in such a job who _i_s_ not_ in receipt of _an N_RC-U special nuclear _ material access authorization frcm the Comission, provided that_ _a complete application has been submitte_d for processing for that employee in accordance with_9__11_.15(b) and (1.1) any individual in possession of an NRC-L or R a_c_ cess authorization or an equivalen_t active fede_ral_ _ security clearance but not in receipt of_ the NRC-U special nuclear material access authorization p_rovided that _a complete __ application has o been submjtted for processing for that employee in accordance with ? 11.15(b). l Exceptions to the requirement for an_ NRC-R special nucl_ ear material __ access luthoriz_ation _for an individual _to have unescorted _ a_cce_s_s_ _to a pro _te_cte_d area are provided for (1) any individ_ual emp1_oyed in_ s_uch a lo_b who _is _not in receip_t of an_ _NRC-R_ _special nuclear materi_al access auth_crization_ from the l l Corrmission, provided that a ccmplet_e_ _ application _has been submitted fo,r,processi,ng for that empicyce_ in accordance with ? 11_.15(M; _and (ii) any o indivicual in pcssession cf an _NRC-L access authorizaticn er an ecuivalent l -

active federal security _ clearance, provided that a complete application has been submitted for processing for that employee in accordance_with 5 11.15(b). l 6. Section 11.13(a) is amended to. read as follows: (a) All individuals who after 365 days following approval of the amended security plan submitted in accordance with 511.11(a) transport, [arranee-fer 4ransport] drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as monitors at transfer points or escort road, rail, sea, or air shipments of special nuclear material subject to the appropriate physical protection requirements of l 55 73.20, 73.26, or 73.27 of this chapter or are authorized to adjust such l transport shall have NRC-U special nuclear material access authorization. [An-ene'ept4en-is-pFew4ded-for-any-4md4v4dWal-empleyed-en-the-effeet4ve date-ef-these-amendments-and-net-yet-4n-receipt-6f-aR-appreVed-aEEess-aW4h6F4aa-44en-fF6m-lhe-Gepui4ss4en-pF6V4ded-tha%-A-Esmplete-app %4Ea%4en-as-sWbr4tted-f6F l that-employee-4n-aEEerdante-with-E-liviE(b)-and-the-appl 4ea44en-has-pet-been d4sapproved.] Exceptions are provided f_or (i) any employed individual who_ i_s ~ 1 not_in receipt of an NR_C-U special nuclear material ac_ce_ss__aut_h,01 2ation from the Conrission, provided that a ccmplete application has been submitted for H ac_Elsi_ng_for_that emplcyee in accordance with !__1_1_._15,(b) and (ii) any individual in possession of an NR_C-_L_or R acces,s authorization or eouivalent active Federal security clearance but not in receip_t of_ the NRC-U, special nuclear material access authorization _, provided that a complete applic_a_ti_cn ,h_a,s_ be_en_ s_ubmitted fcyrccessing for that errplcyee in accoroance with ? 11.1E(b). 7. Section 11.13(b) is amended to read as follows: Licensees who after 365 days following Comission approval of the amended security plan submitted in accordance with 911.11(a), transport or deliver to a carrier for transport special nuclear material subject to the physical protection requirements of El 73.20, 73.26, 73.27 of this chapter shall confinn and record prior to shipment the name and special nuclear material access authorization number of all individuals identified in paragraph (a) of this,section assigned to the shipment. [An-eneep44en] Exceptions to the requirement to confirm and record the SSNM access authorization number [4s] are provided for M any employed individual [ employed-en-the-effest4ve-date of-these-amendments-and] not in receipt of an NRC-U spe~cial nuclear material access authorization provided that a complete application [was] has been submitted for processing for that employee in accordance with 5 [1h13fa)] n 11.15(band [the-app 44ea44en-nst-been-d4sappreved](ii)anyindividualin Ess,es_s_io_n _cf a_n_ NRC_-L or R access _ auth,orization or _ equivalent active _ federal security clearance _ but_ not in receipt of _th_e N_RC-U special nuclear mate _rjal access authorization, provided that a complete applicaticn has been submitted forprocessinafor_thatempheeinaccordancewith11.15(b). 8. Section 11.15(a) is renumbered as 11.15(a)(1). l ~. 9. AnewSection11.15(a)(2)isaddedtoreadasfollows: Licensees who wish to secure NRC-U or NRC-R special nuclear material access 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 a security acknowledgement (Form 176), and a Request for Access Au_t_horization (NRC Form 237). __The NR_C will process such reouests by verifying t_he data on an NRC c_leared individual,, or contacting the federal agency which granted the clearance and requesting _ certification of the security clearance and determine _the investigative basis and level of such clearance. Licensees may direc_t_1y__recuest_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 individual2 specifying the investigative basis and level of such clearance.

10. Section 11.15(b) is amended and renumbered to read as follows:

511.15(b) Applications for special nuclear material access authorization for individuals other th_an those qualify _i_ng ur. der t_he prov_isic_n_s of 11.15(a)(2) above, shall be made on forms supplied by the Ccmmission including: (1) Personnel Security Questionnaire (PS0) (NRC Form 1, Parts I and II) [cempleted-by-the-4pd4v4dwal];

(2) National Agency Check-Data _ _for Nonsensitive or Noncritical-Position (SF-85A)-for R cases only: (3) Twocompletedstandardfingerprintcards(FD-258)[w4th-the 4ndividua41s-f4ngerprints-(fingerprints-may-be-taken-by-a-4eea4-pe44ee aveher4ty),]; (4) Security acknowledgement [ferm] (NRC Form 176); (5) Authority to Release Information (NRC Form 259); (6) [Gther] 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 11cen.see's security plan.

11. Section 11.15(c) is renumbered 11.15(c)(1) and amended to read as follows:

Except as provided in 5 11.15_(c_)(21_b_elow,,NRC__U,and R special nuclear material access authorization shall expire five years following the date of issue. If continued NRC-U and R special nuclear material access authorizaticr. - _.

i i i i 1s required, an application for renewal shall be submitted at least 120 days prior to expiration date. Failure to make a timely application will result in expiration of special nuclear material access authorization. Special nuclear material access authorization for which a timely application for renewal has been made may be continued beyond the expiration date pending final action on the application. An application for renewal will [eeps4st-ef] include: A. A statement by the licensee that at the time of application for renewal the individual's assigned or assumed jcb requires an NRC-U special nuclear material access authorization, justified by appropriate reference to the licensee's security plan. B. Personnel Security Questionnaire (NRC Form 1, Parts I and'II), [een4eted-by-the-applieap*]. I l l C. National Agency Check-Data for Nonsensitive _cr Ncncriti_ca_1__ sensitive position (SF-85A). D. Two completed standard fingerprint carcs [w4th-the-4pd4v4ewa41s (4pgerpr4nts] (FD Form 258). E. Authority to release information (NRC Form 259). F. Other relatea forms where specified in accompanying NRC instructions (NRC Fcrm 25,4). l 1

... =.-- = -. An appli_ cation for renewal of NRC-R special nuclear material access authorization need only include a statement by the licensee that at the time of application for renewal the individual's assigned or assumed job requires an NRC-R special nuclear material ac_ cess authorization, justified by appropriate reference to the licensee's security pla.

12. A new Section 11.15(c)(2) is added to read as follows:

I An excepti_on to the NRC-U spe_cial nuclear materia _1_ _acce_ss authorization expiration date and the time for submission of NRC U special nuclear material access aut_horization renewal _ applications, is provided for those individuals l who have a current a_nd _ active DOE Q access authorization and who ar_e subject to DOE Selective Reinvestigation _ Program requirements. For the_se individuals, the time for submission of NRC U__special nuclear material access authori_zation renewal applications may co1_ncide wi_th_the ti_me for submission of Part I of a DOE Personnel Security Questionnaire to DOE pursuant to D_0E _Selec_tive _ Reinvestigation Program _requir_ements. The__lic_ ens _ee may submit to NRC, con-current with its submission _to_ DOE _, an originally si_gned and dated copy _o_f Part_ I of the indivi_dua_l's 00E Personnel _ Security Questionnaire together with Part II of an NRC Per_sonnel Security Ques _tionnaire and the forms and informa-l tion requi_ red _ by_ paragraphs _ _(c_)_(1)(A), (C), (D)dE), and (F) above, as the supporting documentation for an_NRC-U special nuclear _ material __acces_s_a_uthori_- zatic_n renewal _ application., Any_ NRC _U special nucle _a_r_ material access author-ization issued in response tc a renewal appl _i_ca_ tion submitted pur_suant_to this_paragrap,hicl(,2)_s_ hall _not,, expire until the date set,by_ _00E for the next a 2 reinvestigation of the individual,yursuant to DOE's Selective Reinvesticaticn -

Program (generally every five years). At that time (and at the time of each subsequent reinvestigation of the individual), the licensee may again submit, concurrent with its submission to DOE, an originally signed and dated copy of Part I of the individual's DOE Personnel Security Questionnaire together with Part II of an NRC Personnel Security Questionnafre and the forms and informa- _ tion required by paragraph (c)(1)(A), (C), (D), (E), and (F) above, as the supporting documentation for the renewal application. Failure to file such a renewal application concurrent with the time for submissjon of an individual's' Part I of a DOE Personnel Security Questionnaire to DOE pur_suant to DOE Selective Reinvestigation Program requirements will_ result in _the; expiration of the individual's NRC special nuclear material access authorization. NRC-U special nuclear pat _erial access authorizations for whj_ch_ a timely appli_ cation for renewal has been made may be continued beyond the expiration data pending final action on the application.

13. Section 11.15(e) is amended to read as follows:

Each application for special nuclear material access authorization, renewal or change in level must be accompanied by the licensee's remittance payable to the U.S. Nuclear Regulatory Commission according to the following schedule:... -.

(1) New-epp44ea44en,"W" $4,350 (2) New app 44sa44en, !R" (3) Renewa4 "WE-eF-- ER" &E (4) Ghange-of-leve4"RE-to2Wu-ffu44 fee-sharged-only-4f-an-4nvest49e%4em 4s-required 4,559 (5) Genvect-e*4st4mg-NRG-er-90E "Q 1 ersq(x}s-to-W -4,560 (6) Genvert-e*4 sting-NRG-er-9GE 26" erShfX)-te-W 4,559 ~ (7) GenveF4-e*4st4pg-NRG=eF-99EQ2, 1 8QfX)2, 2k",-er EhfX}:-to-R -15 l l 1Fv44-fee-sharged-only-4f-an-4nvest4gatien-46-required,-4,e.,-last 4pves44gatten-45-meFe=than-f4ve-years-eld-eF-d60s-not-meet-peGessary l 4nvest4ga44ve-sespe. (1) NRC U requiring full field investigation $1,580 (2) N_RC__U based on certification of comparable full field backgrouno investigation O_1 [ (3) NRC R renewal [ (4) NRC R (5) -NRC R based on certification of ccmpara_b_le 2 investigat1(p 0 I If full field investigation is deemed necessary, a fee of $1580 will be ass _e_ssed. ( 2 1f National Agency Check irvestigation is deemed necessa a fee of Fe~n7cessary, a fr.e cf 513FM_ llf a tut 1 Tre'1TTirvestigat3Fn $15.C0 will be assessed; however _be as_se_sse C ~~~ l l 1 - - _ - -

i I Material access authorization fees will be published in [Desember] July of each year and will be applicable to each access authorization request-received during the following calendar year. Applications from individuals having current Federal access authorizations may be processed expeditiously at [less] no cost, since the Comission may accept the certification of access authorizations and investigative data [(wh4sh-4s-less-than-five-years-eld)] from other Federal Government agencies which grant personnel access authorization.

14. Section 11.15(f) is amended by replacing the existing paragraph to read as follows:

( [Nuelear-Regulatory-Genn4ss4en-fNRG)-er-9epartment-of-Energy-(99E)Q"-er Ek -assess-auther4aation-granted-te-an-NRG-er-99E-employee-or-a-9epartmen4-94 Defense-4969) 2; Fop-Secret"-(based-en-a-full-f 4 eld-4nvestigatten)-er USesFet" slearance-granted-se-a-909-employees-w444-perm 4t-this-employee 3-en-eff4s464 business 3-4ke-same-leve4-ef-unesterted-46Eess-to-speE444-pWE4 ear-mater 4a4 l with4n-mateF4al-4EEess-areas 1-eF-With4n-W4tal-areas 3=eF-preteEted-areas-the* en-hRG 2W2-er "R2-aeeess-authur4aat4en -respestivelys-wswid-afferd-48 t s aEEerdanee-W4th-{-ligl4,} Any federal employee or employee of_ _a cont _ractor of a Federal _ agency y_is,it_ing an__ affected__ facility for_ t_he,purpos_e of c_onducting ctf1cial business ard who possesses an active NRC or DOE Q access authorizaticn cr_ _an equivalent u federal securitLc, lea,rar.ce gr,an,te,d.,by, ano_th_e_r Federa,1_ajen,cy,(" Top Secret")

based on a c_omp_ arable full field background investiga_t_i_on may be permitted the same level of unescorted access that an NRC-U special nuclear material acc_e_ss _ authorization would afford in accordance with 11.11. Any federal employee or employee of a contractor of a Federal agency visiting an affected facility _ for l the purpose of conducting official business and 'who possesses an active NRC or i DOE L access authorization or an equivalent security clearance grante_d_ by another Feder_al_ agency (" Secret") based on a background investigation or national ' agency check may be permitted the same level of unescorted access that l an NRC R special nuclear mater _1al _ access authorization would afford in accordance with 11.11. l Dated at Bethesda, Maryland, this day of , 1985. t For the Nuclear Regulatcry Comission. William J. Dircks, Executive Director for Operations. l l l l l

19455 TASK

SUMMARY

SHEET. Purpose of Submission X New Task Revised Task Date: 1/9/84 Task

Title:

Revision of 10 CFR Part 11. " Criteria and Procedures for Determining Eligibility for Access to or PPSAS#: 521314 Control Over Special Nuclear Material" Revise 10 CFR Part 11 to eliminate duplicative and burdensome Task

Description:

administrative requirements on licensees while maintaining the objectives of the NRC special nuclear material access authori-zation program. Project Manager: R. R. Rentschler, MMSS/SGFF, X74761 1 (Name/ Office Symbol / Phone) Product (s): Revised Regulation

Othtr Organization Inputs Required

None ! Concurrences Required: EDO, HMSS Director, SG Director, SGFF Branch Chief, ADM Director, SEC Director, ELD Schedule: l Milestone i Date Develop Final Draft of Proposed Rule Dec, 1984 Forward Proposed Rule Package to NMSS Dir. Jan. 1985 Forward Proposed Rule Package to RES Jan. 1985 Forward Final Rule Package to Staff Offices Mar. 1985 Forward Final Rule Package to NMSS Dir. Apr. 1985 Forward Final Rule Package to EDO May 1985 Publish Final Rule June 1985 Resource Implications: (Provide for duration of Task by FY) Required Resources: FY85: 0.30 SY, $K; FY8 : SY, $K; FY8 : SY, $K Budgeted Resources: FY85: SY $K; FY8[: . SY, SK; FY8[: SY, SK Source (s) of Unbudgeted Resources (If Necessary): Reprogram.30 SYs from Milestone 524161 (Part 50.90 Amendments - NPR) to Milestone 521314 Impact (s) of Reprogramming (If Necessary): As a result of this resource requirement, 6 of the 11 cases scheduled for h[ completion under milestone 524161 will not be completed. Coordination: h, [Md/6 ). ken FC ojg/gg-SG V HM PSB Approval: 22CW O' h ah Division Director i NMSS Director Date: Date: [f30/ )

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' REGULATORY ANALYSIS 'O.- L' ' A. .L EC-s.,. - Criteria and Procedures'forTetemining 4- ~ Eligibility for Access-to or Control.0ver Special Nuclear Material 7.. .L e t !. u. ......~.,,.g.,,..+.(10 CFR Part 11)c... ,g

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D. s.-- m ..y s, Statement of Problem V'.. j ~ s. w,. z.y _. .g. 2 c .s.. g m._,._.u. -:m ~. 4.y Paragraph 10 CFR 11.11 requires each licensee who uses, processes, stores, transports or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in 10 CFR Part 73) to identify all jobs under his control in which an individual could steal or divert special nuclear material, oE'comit sabotage which could endanger the public by exposure to . radiation. This paragraph further requires that persons who occupy the identified job positions be granted the appropriate level of NRC special nuclear material access authorization for initial or continued employment in such positions ("NRC-U" authorization for persons whose jobs permit them to have direct access to or control over the special nuclear material; and "NRC-R" authorization for those who do not have direct access to or control over the special nuclear material, but do have a requirement for unescorted access to l protected areas wherein such material is located). Paragraph 10 CFR 11.15 require's the initial and renewal applications for NRC special nuclear material access authorization for the affected licensee l l employees to be submitted on forms supplied by the Co=aission. This paragraph l authorizes affected licensees to grant unescorted access to special nuclear material or to protected areas during official business visits to employees of the Comission, the Department of Energy (DOE) and the Department ENCLOSURE C 9

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.t ~ ' 5';fL? Q i-L ' sit.; ~,; 4,X,5 5 &L.. .y :: % ~ .~ c '54n'%+;[k.Qi& h$ + *: -<. h'EC...u - A - h.v n + i 4:i-g ,.u.- ~. of Defense (D00), when such employees-have personnel access authorizations or clearances which are based on investigations which are equivalent to the investigations required for licensee employees. However, there are-no prov.is. ions for fonnall,[gianting NRC special nuclear material accesAS authorizations to persons such as licensee employees who have similar personnel access authorizations or clearances and are in, or applying for, positions at an NRC licensed facility which require the same access on a continuing basis. At the time that 10 CFR Part 11 was promulgated (1980), more than a dozen i nuclear fuel facilities were affected. The rationale for requiring all applications.,to be made on NRC forms was to provide a uniform system which was i tailored to the needs of most licensees. A central investigative data file L would have been established at the Com'ission Headquarters for all special m nuclear material access authorizations granted by the Commission. Since that time the number ofi licensed fuel facilities having formula quantities of special nuclear material has been reduced significantly. All of the remaining facilities have requirements, to varying degrees, for NRC and/or DOE personnel l access authorizations. Thelevelsoftheseauthorizationsarethesame("Q" and "L"); and they are based on the same type of investigations (full, field Background Investigation and National Agency Check, respectively). s Accordingly, investigative data on file with either of these two agencies would be acceptable for 9 ranting the enmparable level of access to special nuclear material (i.e., "Q" to "NRC-U" and "L" to "NRC-R"). The granting of access to special nuclear material to employees of other Federal agencies (e.g., the Departrrent of Defense) which have comparable current investigative data on file 2-

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..c r.g+ g+5sg31@wq..y :94mp..a;mu;.....m,y w + . NRC.fonns. i pev a s a gy,..u --i w.a.o The changed' circumstinie's'in which'the number of individuals needing NRC . special. nuclear material ac$&:.;Ti..G G. cess authorizations are also already subjec < 24T? a ..- n. 9 e.,gy.y, s...; m. y. .w. ,.u.. clearance requirements make~it more reasonable to utilize as much of the H' existing DOE program as possible without diminishment of the NRC program. Accordingly, it is now appropriate to modify the regulations to allow: (a) Co,nversion of HRC and DOE personnel access authorizations to equivalent levels of HRC special nuclear material access authori-( zations (i.e., "Q" to "NRC-U" and "L" to "NRC-R", respectively), when the investigations on which such personnel access authorizations were i based are equivalent to those required for the level of access to special nuclear material for which applications are being made. (b) Acceptance of forms accompanying the application for SNM access authorization which are issued by other Federal agencies, when such forms contain all of the,information required on the prescribed HRC forms. (c) Acceptance by the Cormission, of certification from other Federal agencies, of investigative data when personnel cleared by such agencies are making application for NRC special nuclear material 1.

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'; ur =U.. s?; 3 - J.m..4r \\ L i. .Mi&~ r~Q ~!LJQ 'i ?.;- ~ Q.s;&V.e -g.:,& % q >:.s- - y y - gg: ;;_ ; x n r:. ~t+ ~ access authorization and the investigative data on file are t equivalent to that required for the level of special nuclear material. = access authorization for which applications are being made. - ~. . ~... ~.~;;. . g.r.... .x (d) Incorporation of minor administrative changes which have occurred since publication of the original rule in 1980 (e.g._; date for annual revision of fees schedule has been changed from December to July; and changing the fee for a full field investigation from $1550.00 to $1580.00). An amenpment to effect the foregoing changes to the rule would achieve all of the objectives of the Commission special nuclear material access authoriza-tion program; and at the same time, not require licensees to duplicate efforts and expenditures for equivalent investigations and application data which have already been accomplished to satisfy requirements of other Federal agencies. The significance of taking no acticn to resolve this problem would be to require unnecessary and unreasonable expenditures and personnel time loss on the part of licensees and their employees to acquire information which is already available from other Federal sources. s Objecive The cbjective of this rulemaking action is to provide an effective program for the Commission to grant special nuclear material access authorizations 4

_. ".g 'q.; . g-;z xc... g g 4 Q K s g e. 4 @ 4 A g. g. L ff. L p 4 W c: g.p x,.. g :we pg.::.2 .g, + n 'b.ht.*# 4., rid; f;$fgQWpkg-VAL;Ad?):.MO,. hi b?Mb; _ i. J.; 4 f-6:;.g:Sc.& SJ C.f.qp .. A. w : s %.:. u. 3. g _ g l i, Q h y yy. g q'%.: :::::,9 m K.;g3: =99;..~-s++_y.phR*.q without imposing unnecessary' administrative burdens on licensees. This can be l-u'. achieved by effecting the foregoisg changes to the existing rule which will allow the Commission to " grandfatherecertain cleared licensee employees into ..-L MQc.% %: :n. :.y s m. ,..;+ v. .the program an,m-to accep,,t ~appli,.ca. tion f. orms and investigative data provided by +.i d m.-

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m ~other Federal agencies.')This will allow adoption of the DOE Selective C -. c .ReinvestigationProgramforrenewalsofthoseindividualsl possessing .,~ ...,y.. .~;n . ; ;n.r, we.2.:y....... x .r. .n. ~ c em.. ; x. c -.. ~,- appropriate DOE clearances. ' * - ~ Alternatives Two alternatives were considered, in detail: 1) Retain the current rule unchanged. 2) Amend the current rule'to achieve the stated objective. Consecuencel i The costs and/or benefits of this rulemiking action are summarized as follows: i 1) For each applicant for an NRC "U" special nuclear material access authorization who has had a full field background investigation conducted to satisfy personnel clearance requirements of another Federal agency, the amended rule will allow the employing licensee to submit an application without fee, as opposed to the $1580.00 fee, which is currently required for the full field investigation. For some licensees this may be as many as one third of the total number. . - - - - ~

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.m, a~. . :e = 2) There will be no additional cost or adverse impact on NRC' operations other than the normal staff time expended and the cost of. publishing . 3-1. the amendment notices in the Federal Register. The staff time required for drafting, coordinating and preparing the notice for final publication has, for the most part, already been expended. Only a small amount of future effort, on the part of the staff, is anticipated. The cost per page for publication in the Federal Register is approximately $400. This notice should take less space than two full pages. Thus, the cost for publishing both a final rule nctice will be less than $800. l l _ Conclusion Alternative 2 (" Amend the current rule to achieve the stated objective") should be implemented. The monetary cost to the Commission is minimal, as compared to the adverse impact of imposing on fuel facility licensees unneces-sary and duplicative requirements of the existing rule (i.e., less than the cost of one full field background investigation to amend the rule). ( L.

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^ r,. . 3., gi... .a.g. .:.. e .h.. .h, APPROVED FOR PUBLICATION , n i s,.-."...:; '. '.~ -- p e-n....,. .si:. .5l1&y,. v. v:~Ts&. :. );y 75.? ifn 'a. final rule pdN'she'd March.19',1982$(47 FR 11816),' the'Condission ((;l T T delegated to the EDO (10 CFR 1.40(c) and (d) the authority to develop and 7 ~ fpromulgate rules as defined in the APA (5 U.S.C. 551(4) sub.iect to the dlimitations in NRC Manual Chapter 0103, Organization and Functions, Office of ,ithe Executive Director,for Operations, paragraphs 0213, 038,.039, and.0310. .g, ...:a. . a.u.:: .i. g.% ~ ._ y. 4...a,7 ; .M

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7he'enciesed rule entitled, " Revised Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material" amends 10 CFR Part 11 to allow utilization of current active Federal clearances based upon equivalent investigations for the purpose of granting the NRC special nuclear raterial access authorizations.

The proposed rule does not constitute a significant question of policy, nor does it arand regulations contained in 10 CFR Parts 0, 2, 7, 8, 9, Subpart C or 110. I therefore find that this rule is within the scope of my rulemaking authority and am proceeding to issue it. M Date William J. Dircks Executive Director for Operations i ENCLOSURE D ~ - O

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SUPPORTING STATEMENT FOR REVISION OF 10 CFR 11 CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ' ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL (OMCCLEARANCENO. 3150-0052) 1. Justification A final rule was published on November 21, 1980, establishing an access authorization program for individuals who have unescorted access to or control over special nuclear material as well as for individuals who do not have access or control over materials but do have unescorted access to .s protected areas. This personnel security program required the use of only NRC forms and the conduct of investigations based upon the information supplied on such foms for all individuals, irrespective of the fact that an individual might already possess a current Federal personnel security clearance based upon a comparable investigation. The revision to the rule would allow conversion of existing personnel security clearances without reinvestigation and with reduced administrative burden. The revision would also allow for the use, for NRC purposes, of much of the documentation for the DOE program for "Q" level personnel clearance renewals. The special nuclear material access authorization program retains the two levels of access authorization comparable to the "Q" and "L" personnel clearances in use by NRC and 00E. Conversion of the two levels of ') personnel clearances to the access authorization program would be allowed only if the existing investigation is comparable to the level required under 10 CFR Part 11. ) i

.._ I 1.1 10 CFR 11.15(a) licensees wishing to convert a security clearance granted by another Federal agency for an individual to a comparable NRC special nuclear material access authorization need to submit only a " Security Acknowledgement" (Form 176) and a " Request for Access Authorization" (NRC Form 237). This avoids completion and submission of a Personnel Security Questionnaire (NRC Form 1, Parts I and II); National Agency Check - Data for Nonsensitive or Noncritical-Position (SF_85A), for R cases only; and two standard fingerprint cards (FD-258); and other related fonns. 1.2 For an individual requiring the U access authorization and possessing an equivalent DOE clearance, a licensee may use a copy of the DOE i Personnel Security Questionnaire (Form 1) for that individual in lieu of original NRC forms and may renew at the interval for the. DOE renewals of the comparable level of clearance. 4 2. Description 10 CFR 11 applies to existing fuel facility licensees and two transportation licensees engaged in handling special nuclear material of high strategic significance. Applications for incumbent individuals or new hires possessing personnel clearances from other Federal agencies avoid duplicating administrative and investigative effort already performed in support of the programs for those agencies. Approximately 900 and 2300 individuals, respectively will be able to avoid submitting full applications and submit instead only two of the application forms for the two levels of NRC access authorization. In addition, licensees will be able to use copies of the Personnel Security Questionnaire submitted with the DOE renewal program for individuals with DOE "Q" clearances. This avoids duplicating the infonnation for NRC "U" access authorizations. 3. Estimate of Reduction of Licensee Compliance Burden See chart (reduction of burden is based upon staff experience). 4. Estimate of Reduction in Cost to the Federal Government 11.15(a) Reduction in processing of NRC Form 1 Part I applications for NRC-U 900 forms x 9 min./ form x $60/hr. $ 8,100 11.15(a) Reduction in processing of NRC Form 1 Part I applications for NRC-R 2300 forms x 9 min./ form x $60/hr. $ 2,070 I-TOTAL $10,170 l l l l l

~ j'9 ESTIMATED REDUCTION OF LICENSEE BURDEN Subpart Reduction in hours Cost Avoidance Investigative 11.15(a) Number Converting ~ of Licensee Preparation ($60/hr) Avoidance ($1580) To NRC-U i 900 1 54,000 1,422,000 11.15(a) Number Converting Reduction in hours Cost Avoidance Investigative To NRC-R of Licensee Preparation ($60/hr.) Avoidance ($15) i 2300 1 78,000 34,500 11.15(c) Number Applying Reduction in hours Cost Avoidance Investigative for NRC-U through of Licensee Preparation ($60/hr.) Avoidance ($1580) DOE Renewal Program per year 180 1 11,400 NONE TOTAL 1,599,900 l

9 e O e e aus> G O 4 GD NMSS TASK LEADER EVALUATION e l I e O i i 8 em

2 t EVALUATION OF RULEMAKING l TITLE: AMENDMENT OF 10 CFR PART 11, REVISED Cf.ITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL 1. The issue to be addressed. This rulemaking amends the language of the sections of 10 CFR Part 11 which specify the requirements for applications and renewals.of Material Access Authorizations. It eliminates the requirement for use of only NRC Forms so as l to allow acceptance of documentation on individuals who possess current personnel clearances based upon equivalent investigations. It allows certification of DOE and, to a smaller degree, 000 documentation. 2. The necessity and urgency of addressing this issue. l Adoption of the amandments would eliminate unnecessary and duplicative expenditures of administrative and investigative effort and cost in carrying out the Material Access Authorization Program.

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3. Alternatives to rulemaking. Staff has explored the possibility of eliminating the unnecessary duplication in documentation by granting an exemption from the regulation. The Office of the Executive Legal Director has advised that such action would cause. certain legal problems in case of appeals. l 4. How the issue will be addressed through rulemaking. The rulemaking will explicitly authorize the use of DOE documentation for those individuals possessing current personnel clearances based upon equivalent investigations. It will also allow use of the DOE system of renewals. l 5. Effect which the rulemaking has on the public, industry, and NRC. i This rulemaking eliminates initial and renewal applications for the category of licensee or licensee-contractor employees who possess personnel clearances based upon equivalent investigations made by other agencies. There is no effect upon the public by this administrative change to regulation. Industry will be relieved of certain duplicative requirements and expenses. The NRC will be relieved of certain administrative requirements which are replaced by less demanding requirements. 8 .--,--n. --n-n

t l 6. NRC resources and scheduling needed for the rulemaking. Approximately one half staff-year will'be expended from now until a f,nal i rule is prepared. The schedule for completing the amendment is six months. AGENCY CONTACT: Russel R. Rentschler Office of Nuclear Material Safety and Safeguards Washington, D.C. 20555 301 427-4761 5 e s

O = D e RES TASK LEADER EVALUATION AND RECOMMENDATION l l l l t I l l

RES STAFF REVIEW

SUMMARY

SHEET 1) Review of the completeness of the Rulemaking Review Package. The NRC Regulatory Agenda entry has been updated to reflect-the most a. current status of the rule. b. The rulemaking package as it is currently proposed for publication in the Federal Register is complete. c. The office director's recommendations to the ED0 concerning whether and how to continue with the rulemaking were included. The results of the sponsoring office review (Evaluation of Rulemaking) d. was complete. A copy of the Commission paper, regulatory analysis, and underlying e. documents relied upon by the sponsoring office in conducting its office review were complete and included in the analysis. f. No summary sheets, forms, or other documentation were requested by OEDO or "others" to assist in their review of the rulemaking therefore, no such items were included in the review package. 2) Results of Review by the RES Task Leader a. The Evaluation of the Rulemaking clearly addressed the issues of the intended rulemaking. The revision to the rule would allow conversion ~ l of existing current Federal personnel security clearances that were I based upon a comparable investigation to NRC clearances. t b. The necessity and urgency of the rulemaking are reasonable as presented in the package. i

2 c. The alternative to rulemaking discussed in the Evaluation of Rulemaking is sound. d. The issues addressed through the rulemaking which are 1) amending the language of the sections of 10 CFR Part 11 which specify the requirements for applications and renewals of Material Access Authorizations, 2) elimination of the requirement for use of only NRC Forms so as to allow acceptance of documentation on individuals who possess current personnel clearances from other federal agencies based upon equivalent investigations, and 3) allowance of certification of ~ DOE and D00 documentation, are sound. l An evaluation of the impact to the public, industry, and the NRC by e. the proposed rule was performed and seems reasonable. f. The NRC Resources needed for this rulemaking and the scheduling were analyzed and judged to be reasonable. 3) General Coments and Recommendations a. The need for this rulemaking which would eliminate unnecessary and duplicative expenditures of administrative and investigative effort and cost in carrying out the Material Access Authorization Program has been established. b. It is recommended that the rulemaking should proceed. l l l .-}}

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