ML20206F269

Request for OMB Review & Supporting Statement Re 10CFR95, Security Facility Approval & Safeguarding of Natl Security Info & Restricted Data. Estimated Respondent Burden Is 450 H

ML20206F269
Person / Time
Issue date:	11/07/1988
From:	Mcdonald W NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM)
To:
References
NUDOCS 8811210071
Download: ML20206F269 (10)

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.. Request for 0MBh,e,hsw

""d '*"" e s important Read instructions before completicg form. Do not use the same SF 83 Send three copies of this foem, the matenal to be reviewed, and for to request botn an Em<utive Order 12291 rev'ew and approval under paperwork-three copies of t;,e supportirg statement. to:

the Paparwork Reducten Act Answer all quotions in Part 1. If this reevest is for review under E.O.

Office of Information and Regulatory Aff airs 12291. complete Part il and s'gn the 'egulatory certification. If this Office of Management and Budget request is for apgroval under the Pape work Reduction Act and 5 CFR Attention: Docket Library Room 3201 1320. s'up Part 11. complete Part fit ary> s*gn the paperwork certification.

Washington. OC 20503 PART 1.-Complete This Part for All Requests.

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1. D;oartmert/ agency and Bwieaw/ office or gmteg request

2. Agency coo, 3

1 5

0 U. S. Nuclear Regulatory Comission

3. Name M pesc.n who ce tot a,sar qwstons reguc<ng this reqxst u ephone nwrnte~

Cynthia G. Harbaugh

!<301 1492-4128

4. Istya of informatio9 L odlect@n or rugmatiirg 1

10 CFR 95s Security Facility Approval and Safeguarding of National Security Information and Restricted Data y

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1 or,ntormatson cceectae or tuMcite Un<ted States Code. Pubhc Law, or Esecutne Orov) f

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s. Legal suthortt 42 usc 2165. 2201 E. O.12356t AtQmic Eneroy_ Act_of 195.4

6. Affected pubhc (c?ecs all hJtappo) s O reevsiasenc.eso,empio,us 1 0.norveuais o< nousenoies 3 0 rums 6 0 Non pro.: inst,tutons v

2 O state o<iocaigovernerents a 0 sus +es,es o,oine< for o<o,t 7 O smart musmesses e< o zan,aatens e

PAQT ll.-Complete This Part Only if the Request is for OMB Review Under Executive Order 12291 l

7. Reg.! ate lcentif et Nureber (RIN) l

~ _ _ _ -, of. Ncr4 assgned 0 Won of submusse (check or~e en each ca*rW Type of verten reevested ClassMication

$tage of development i O stantard i O v.,o, i O proceseoo erate 2 O penors a O creerry,,

i 2 O Nonmaio, 2 O reai or mee< rn te i.. tn ere, proces.a r a O rew ce ceereri fa..cout prce seccoi.ai 4 O statwtory o< fuo c at deaoune

9. Cf A secton affectet.

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10. Oces tNs regvat on conti n reprt.rg av recceoupm3 rewremets tnat rewee CMS approvat unce tne Paperwort eeducten Act C Yes O tb j

and S CFR 1J2CF i t. if a,n,,* ru4..s tr,e a,esustWmNct F s'yM attMhedi

. t O res 2 O No 3 0 Yes 4 O No F Nof d'd oH8 ene tre a af s' C:rtification fof Regulatory Submisdons j

M s bm.tteg tNs f ecast for cM8 rev4a. tre a,,,tnor sed reguistory co, tact and the pres'am offcai cert f that tne regeren ents of L 0.12291 and any appucwe i

p>.cy dmt ves ne,e teen corept e4 =n 09

$ sneto of preeram onui t

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$ Cf a 1329a 4 L o 2N91

e PAR 1 lli.-Coenplete This Part Only if the Request is fwr Approval of a Col'ection of Information Under the Paperwork Reduction Act and 5 CFR 1320.

13. Autrut-ox nbe needs. uws and effseted puw.c in so words or ieu "Sacurity elassified records" Licensees and other organizations (e.g., fuel cycle facilities, licensee contractors) are required to provide information to ensure that an adequate level of protection is provided

' for NRC classified information and material, c

' 24. Type of informate conection (check only me)

InformetJen eenetWene not conteened k ruiee t O Rorsier svimes.on 2 O tme sency subm.sion(certircef.n ettsche<>

Andermetion coeseWome senteined h ru6os 33 tetary regsteten (no thenge proposed) 6 r+nal or intenm feat w;thout pnor NPRM

7. Ente date of espected or actual Federal 4 O PMee of proposed rulemaking (NPRM)

A O Regular submrsse Rorster pu% cation at this stage of rulemehet 5 0 r.nsl. NP8tM wee precouvy pu%shed e O tmersency subm4sion (cettercaron attache <>

(maata.dar r*>:

15. Type of renew requested (check only one)

O e.e.coiiection 4 O Rein.ta, ment of pre.outir.pproved cosiectiori for.h.ch.pp,e..

• • d 2 O Rewan of a currents aepre ed coaection s O tmstes co iecton in ute.e.ut en owe cartroi numtar e

33 tatensson of the ospiraten date of a currertfy approved coltscton weov_t eay char se in the substence or in the method of colnecten

16. Agerney report form numterts)(anclude sfsadent/op6 mal form number (s))

2L Purpose of 6nformate col' action (chect es many as apply) 1 O Appucaten for benefits 2 O Precem e,eiuston

17. AnnuW reporteg or disclosure burd'"

3 O GeneW purpose sutatscs 4 @ Regulatoryorcornphance

! Nwmber of respondents.

4 2 Namter of responus per rxpondent s O Program planningor management bb 6 O Research 3 ?ctal annual responses pne I bmes Ice 2) 6.8 7 O Aud4 4 Hours per response.

450 s 1cto noun rn 3 tmvs ne n r

2J. Frequercy of recerseeping or repurting( heck as inst appry)

13. Annualruareeepart Durden I4 1 @ Recordkeepeg

& Numberof recordkeeMrs..

33.5 neporant

• 8 Annual hour: per recordheepr.

469 2 @ onoccas.on 3 ?otai rwordkeepeg houts pee J temes 6ee 2) 4 Recordkeeping retention pened 3.5 y*$

3 0 wnuy

+

19.Totalannualburden

• 4 O Monthly 9

5 O quarterty I Cewested @ne l? $ p/vs hre 18 3).

854 5 0 serntennwny 2 in cunent oM8 6nw. tory

• 65 7 O Annutty 3 0sf1cence @ne lless hee 2)

Esplanatten of eMerence 8 0 8.ennsany 4 Agram charge 9 0 otret(descr>ee>

+ 65 s Adn,stmeet.

2o. Cetreet (m.:e t rxe9t) oM 8 coetrol numter or comerent nuenber 2 e. Respondents' obFgstron to eornpty (cheh the stroegest ob!,gsten that appMs) 3150-0047 1 O vossaury it. Mmeited e p r. ton este 2 O newed u obu,n or retain e tenef 4 1/31/92 3 @ Mandcorr

25. Are t>e respoederts pnmanly educat,onal agences or est. tutees et is the pnenary purpose of the coltecten rested to Federal edxat

26. ooes the agenef use sampi.rg to sent responderts or does the agency exommend or presenbe the use of.amp

.. O ves O N.

y by tespondents

17. Regwtory owthority for the eformaton cos* ton 10__ cvR Pat.t 95

or rR

or.other (specs ):

reper.ea certmcetion la swtett.rt th.s reqvest for CMS approvW. t.he agency head, the seeer official or en authonfed representat+e i

rn,x, Act, sut: stew stanuds e, d<xtees. nd eny etnc epv<.we imte pan.cy d.rntnn ha.e e,nn coms.ed.e i

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.tne William. Mc nalds Director Office of Administratio & Resources Management 11/

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Oi8 SUPPORTING STATEMENT FOR 10 CFR 95 Security Facility Approval and Safeguarding of National Security Infonnation and Restricted Data Description of Information Collection The resorting requirements of 10 CFR Fart 95 affect approximately 14 licensees and otier organizations (e.g, fu d cycle facilities, licensee contractors).

The licensees or other organizations make the reports available at their place of business or send the reports to NRC at its Headquarters or Regional Offices.

Reports or applications are only required as occasioned by the occurrence of sp' cific events such as the request for a security facility approval, an exemption request, a cancellation or termination of security facility approval, or a report of possible loss or compromise of classified information. Other requirements for recordkeeping are necessary for checking the licensees' and other organizations' procedures for maintaining acceptable security education, facility and classification / declassification programs. The limited amount of personal information submitted in connection with security facility approval requests, classification / declassification actions and other areas within these requirements is handled and protected in accordance with NRC directives and the provisions of the Privacy Act of 1974. Other infonnation submitted to NRC in response to the application, recordkeeping and reporting requirements is available for public inspection in accordance with 10 CFR Part 9.

A.

JUSTIFICATION 1.

,%ed far Collection of Information.

10 CFR Part 95 contains numerous Lporting, recornaeping and application requirements, including re-quirements for submittal of information ADP and teleconsunications security plaM, security recordkeeping requirements for compliance purposes and seurity reporting and notification procedures for com-11ance and response purposes.

In all cases, the requirements are necessary to help ensure that an adequato level of protection is provided for infonnation determined to be classified by the NRC Clas-sification Guide for Safeguards Information (Appendix A to Part 95).

Essentially, all of the reporting, recordkeeping and application requirements are necessary for one of the reasons Ifsted below:

a.

To obtain essential descr1 >tive data concerning the content and planned operation of tie licensee's or other ogranization's infomation security program which is necessary for NRC to determine the adequacy of planned methods and procedures for safeguarding classified infonnation and material while in use, transmission or storage.

b.

To obtain essential data describing the licensee's or other organization's planned program for ensuring employee indoctrina-tion and continued awareness of their security responsibilities

so as to prevent unauthorized disclosure af classified infoma-tion or material and to en.ure the licensee's or other organization's compliarce with E.0.12356.

c.

To obtain essential da ta to pemit NRC review and appraisal of tne licensee's or oth:r organization's classification procedures and compliance with rr gulatory requirements for classification; procedures concerning release of classified infomation to International Atoiic Energy Agency (IAEA) representatives; and application of the Classification Guide for Safeguards 7

Information (Appendix A to Part 95).

The currently effective information collection requirements of 10 l

CFR Part 95 are identified and explained below:

(

95.11 Exemotion Reevests. The information and justification required by this section are used to determine whether an exemption L

car; be granted. The submittal is necessary ' rom any licensee who pos esses nonself-protecting fomula quantities of strategic special nuclear material ($$M) but which feels it ought to be exempted from i

years beyond rariod covered by the exemption) g requirement (thre the requirements of Part 95. The recordkeepinpermits accessary review of exemption material and approval documentation during anadal NRC surveys.

95.15(a)&(b) Security Facility Approval Re<uest. A facility which needs to use, process, store, transmit or han<1e classified informa-i tion under Part 95 must request approval from NRC. The request for approval and accompanying security plan provide artinent data which enables the NRC Division of Security to assess tie licensee's or other organization's eligibility for such approval. Licensees and j

other organizations are inspected to ensure their compliance with the l

procedures outlipid in this security plan and the requirements e

contained withir,the Part.

95.18(a)&(b) Chances to Security Practices and Procedures.

l This section r4 quires the reporting of proposed major changes to a security plan prior to inlementat<on and requires the reporting of minor changes prt.mptly after the change has been adopted by the licensee.

l 95.21 Cancellation o' 'acility Approval Reevest. The information

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requireTb this saction is necessary each time a licensee or other organizatit,n wishas to withdraw or cancel a security facility approval request. This information will be used by the NRC Division i

of Security a: a basis for discontinuing further processing of the application and if no access to classified infomation or material 1

l 1s needed, would indicate that pending personnel security access j

authorization requests should also be cancelled, i

i 95.25(a)(3) Security Container Check Recordt. This information i

I and a three year recordkeeping requirement he' p ensure that recuired j

physical checks of security containers are made and that recorts i

of these checks are available for review during periodic NRC j

j inspections.

Ch4 $UPPORTING STATEE NT 10 CFR 95 I

)

95.25(c)(1) Lock Combinations (Personnel Authorized). This information and recordkeesing requirement permit MRC review of 1

these records to ensure tiat combinations to containers used to store classified information are given only to proptrly cleared and autho,ized individuals.

95.25(d) Records of Combinations.

This information and record-keeping requirement help ensure that written lock combfcations are proper y classified and safeguarded in accordance with previsions of E.O.12356 and its Implementing Directives.

l 95.25(g) Custodian / Monitor and Combination Change Records.

(1)This posting requiremert ensures that the proper individuals can be noti-i fled in the event of an infraction or other event requiring their attention. The posting requirement also permits a method for NRC to verify that custodians and alternates possess the proper level of access authorization.

(2) The combination change record permits NRC to verify that combination changes have occurred as prescribed by E.O. 12356 and its Implementing Directives.

(3) The monitor sheet records and its retention ensure that each security container is locked and checked so as to prevent unauthorized disclosures of classified information, particularly after normal working hours.

95.25(h) Unattended Security Container Found Open. This informa-tion collection and recordkeeping requirement assures (1) that the licensee or other organization complies with the Information S*curity Oversight Office (1500) directive to report the loss or possible compromise of classified information, and (2) that the NRC may i

evaluate such occurrences and corrective actions which have been taken. The recordkeeping requirement permits inspection by NRC of records relating to these occurrences.

95.25(i) Key and Lock Accountability Records. This recordkeeping requirement pemits the MRC inspection and review of lock and key accountability records to determine that proper key and leck 1

l issuance procedures are maintained and that only individuals with the appropriate level of access authorization are issued keys and Ncks to security areas.

95.33 Security Education. This recordkeeping requirement pemits verification through MAC inspection that individuals granted access authorizations are appropriately indoctrinated as to their individual security responsibilities and duties relative to the protection of classified information.

45.36(d)

IAEA Visit Records. This recordkeeping requirement and its inspectability through MRC surveys ensures that licensees maintain the proper procedures and controls over the release of classified information to IAEA representatives in accordance with the disclosure authorization granted by the NRC Division of Security.

95.37(c)495.45(b) Marking Requ_irements. These marking and labeling requirements, which require an authorized classifier to i

place the appropriate classification markings on the document and i

OMS SUPPORTING STATEMENT 10 CFR 95

sign his/her name, will be used whenever an NPC licensee or contractor authorized classifier originates a classified document or the classification of an existing document is.to be changed (e.g.,

declassified or downgraded). These requireuents provide assurance j

that:

(1) only those officials delegated classification authority are classifying documents (2) documents are not downgraded or de-classified without proper authority, and (3) there is accountability for future classification, downgrading and declassification actions.

95.37(1)

Improper 1 Classified or Unmarked Classified Documents.

I his is a requi as procedure for document custodians to assure that any questions regarding proper classification are referred to the originator and that appropriate steps to safeguard the document are I

taken. The recordkeeping requirement permits verification through NRC surveys of actions taken when unauthorized disclosures may have occurred.

95.41 Lecountability for Secret Matter.

This procedure and record-keepit.s requirement ensure that classified documents and material are controlled in accordance with E.0. 12356 and its implementing Directives. The retention period pemits review and verification by MRC of disposition through periodic NRC surveys.

95.45(a) Changes in Classification.

These procedures ensure that documents which may warrant downgrading or declassification are reviewed by the NRC DivisMn of Security or are referred to the Department of Energy, as may be appropriate.

95.47 Destruction of Classified Matter. The record retention requirement prescribed by this section permits inspection by NRC of destruction and disposition records and helps to ensure the proper safeguarding of classified information and material.

95.53(a)&(b) Security Facility Approva Teminated. These procedures and notifica ;1ons ensure that security facility approval is terminated, cuspended or revoked when no longer needed or when continuation would endanger the consoon defense and security. The certificate of nonpossession provides assurance that all classified information and material has been returned to NRC or destroyed in accordance with NRC security requirements.

95.57(a)(b?&(c) Security / Classification Reports. The procedures in (a) and (b) are necessary to ensure that possible losses, compro-mises, violations of law and disclosures of classified information are investigated and assessed promptly. The monthly report required by (c) received via NRC Form 790, "Classification Record " (c hared under3150-0052) permits NRC to evalu6te the classification /declassi-fication program under Part 95 and enables the NRC Division of Security to report these actions to the Information Security Oversight l

Office (1500).

2.

DA enc Use of Information.

The reports, security plans and other security information are submitted to the Division of Security.

The information is used to help determine whether a licensee or i

l other organization is eligible to use, process, store, transmit or i

ON. SUPPORTING STATEMENT 10 CFR 95 1

--,.---.._m.__

handle NRC classified info, nation. The information is also used for periodic reviews and inspections to ensure appropriate regulations are continuously followed.

If the information collection was not cor. ducted these deteminations could not be made and tlie licensees or other organizations would not be pemitted to maintain this classified information whi-h is pertinent to their activities.

3.

Reduction of Burden Through Information Technolog. There are no Information technology applicaUons which wouT.apact (e.g., reduce) the burden of these irformation collection requirements.

4.

Effort to Identify Duplication. These information collection requirements do not duplicate information the affected licensee or organization must submit for other purposes since the nature of the information being reques,ted is unique to NRC's activity at the facility.

5.

Effort to bse Similar Informat'on. There is no other infonnation

~

already available which can be used to obtata NRC security facility approval and for safeguarding NRC's National Security Inforuation and Restricted Deta.

6.

Ef fort to Reduce Small Business Burden. N%e of the if censees aTficted qualify as small business enterprises or entities.

[

7.

Consequences of Less Frequent Collection. Required reports and infor-mation are collected and enluated on a centinuing basis as events occur. Applications for new security facility approvals may be submitted at any time.

If not submitted, approval to store NRC classified infomation will not be processed. Other infomation collectien requirements ensure that once placed at the facility, that infor34 tion continues to receive the required protection. Less fre-quent :ollection of this information may impact negatively on NRC's responsibility to enstre proper protection and may endanger the U. S.

l t.onnon defensive and national security.

P 8.

Circumstances Which Justify Variatica from OM8 Nidelines. There is no variatten from OMB Guidelines in this collecti in of information.

9.

Consultation Outside the NRC. No official outside consultations were held regariing the information collection requirements, however, when originally conceived, these requirements were subject to public coseent. Any changes to information collection requirements will also be subject ti public consent. NRC's reqdirements and procedures ire similar to tf,se of other government agencies 1,wolved with pro-grams requiri'!g ne protection of National Security Inforntion.

10. Confidentiality of Information. The information collected is used for G) granting 11censee4 and others security facility approval; and (2) ensuring the proper protection classification and accc'Jntability of NRC classified information. The limited amount of personal informa-tion is protected from public disclosure under the Privacy Act of 1974 and is handled in accordance with routine uses specified in the Privacy Act Statement on each Tom.

OM8 SilPPORTING STATEMENT 10 CFR 95

11. Justi'* cation for Sen31tive Qufstions.

No sensitive information is requested under thest regulations.

r deral Government, she estimated annual 12.

Estimated Annual Cost to the e

cost is the Federal Governmen't in administering the program and procedures contained in these requirements is:

Annual Cost - professional effort

$93,180 (1,553 hrs. A $60/hr.)

=

Ant.ual Cost - clerical effort

$5,480 (274 hrs.x$20/hr.)

=

Annval Cost - record holding requirement for ongoing program

$157 (3/4 cubic ft. X $209/ cubic ft.)

=

$98,817 Total Annual Cost

=

The annual cost to the respondents is reflected on Attachment A.

The cost of $60.00/hr. was ue 1

13. Estimate of Burden. Please see Attachrent A for a breakdown of burden estimates by Section.

14.

Reasons for Change in Burden.

Burden estimates have changed, in part to reflect the addition of two new licensees which are su*fect to the requirements of 10 CFR Part 95; and in part due to cor,.tatio.,

I inaccuracies in the prior submission.

15.

Publication for Statistical Use. There is no thplication of sIatistics in the information collected. There'is no publication of this information.

l 4

0F3 SUPPORTIh3 STATEMEN1 10 CFR 95

• a ATTACl91ENT A

~

10 CFR 95 BURDEN ESTIMATE Total No. of Annual Total Hours per Burden. Cost to Section Requirement Rspndnts Responses Responses

Response

Hours Rspednt Reporting 95.11 Exemption Request 1

1 1

1.8 1.8 100' 95.15(a) & (b)/

Security Facility Approval Requests 2

1 2

35.0 70.0 4.200 95.49 95.18(a) & (b)

Channes to Security Practices and 14 2

28 4.0 112.0 6.720 Procedures 95.21 Cancellation of Facility Approval 1

1 1

1.0 1.0 60 Requests 95.25(h)

Unattended Security Container Found 7

2 14 15.0 210.0 12,600 0xn 2.0 10.0 600-95.45(4)

Changes in Classification 5

1 c

95.53(a) & (b)

Security Facility Approval 1

1 1

3.0 3.0 180 Teminated 95.57(a) & (b)

Security Classification Reports 14 1

14 3.0 42.0 2,520 95.57(c)

Security Classification Report Fom cleared under OMB control number 3150-0052.

Completica of MRC Fom 790 4

Totals 449.8 $26,908

l

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ATTACl#ENT A j

10 CFR 95 BURDEN ESTIMATE j

Annual Total No. of Hours per Rcrdkpng Cost to Section Requirement / Record Retention Rcrdkprs Rcrdkprs Hours Respondent Recordkeeping 95.11 Exemption Request (3 yrs) 1

.2

.2 12 '

95.25(a)(3)

Security Container Check Review (3 yr) 14 2.0 28.0 1,600 95.25(c)(1)

Lock Cos6fnations (Personnel Auth.)

14 1.0 14.0 840 (life of list or container usage) 95.25(d)

Records of Combination 14 1.0 14.0 840 95.25(g)

Custodian / Monitor & Combination Records 14 0.5 7.0 420 95.25(h)

Unattended Security Container Found Open (3 yrr) 7

.2 1.4 841 95.25(1)

Key and Lock Accountability Records (3 yrs) 14 2.0 28.0 1.600 l 95.33 Security Education (3 yrs) 14 20.0 280.0 16,800(

95.36(d)

IAEA Visit Records (5 yrs) 2 5.0 10.0 600; 95.37(c)/95.45(b)

Marking Requirements 14

.25 3.5 210l 95.37(1)

Improperly Classified or Unmarked 6

1.0 6.0 360l Classified Documents (3 yrs) 95.41 Accountability for Secret Matter (3 yrs) 14

.5 7.0 420 95.47 Destruction o' Classified Matter (3 yrs) 14 5.0 70.0 4.200l 469.1

$28,146l Totals 1

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