ML20217C107
| ML20217C107 | |
| Person / Time | |
|---|---|
| Issue date: | 09/29/1997 |
| From: | Levin A NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM) |
| To: | |
| References | |
| NUDOCS 9710010190 | |
| Download: ML20217C107 (16) | |
Text
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[7590-01 P]
U.S. NUCLEAR REGULATORY COMMISSION Agency Information Collection Activities: Proposed Collection; Comment request.
1 AGENCY:
U.S. Nuclear Regulatory Commission (NRC)
ACTION:
Notice of pending NRC action to submit an information collection request to OMB and solicitation of public comment.
SUMMARY
The NRC is preparing a submittal to OMB for review of continued approval of information collections under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35)._
information pertaining to the requirements to be submitted:
1.
The title of the information collection: 10 CFR Part 25 - Access Authorization for Licensee Personnel.
2.
Current OMB approval number; 3150-0046.-
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3.
How often the collection is required: On occasion X ([Mi 4.
Who is required or asked to report: NRC regulated facilities and
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e-other organizations requiring access to NRC classified information.
5.
Yhe number of annual respondents: 20 6.
The number of hours needed annually to complete the requirement or request: 257 hours0.00297 days <br />0.0714 hours <br />4.249339e-4 weeks <br />9.77885e-5 months <br /> (197 hours0.00228 days <br />0.0547 hours <br />3.257275e-4 weeks <br />7.49585e-5 months <br /> Reporting and 60 f ours Recordkeeping) or 3.8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> / response.
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Abstract: NRC regulated facilities and other organizations are required to provide information and maintain records to ensure that an adequate level of protection is provided NRC classified information and material.
Submit by (insert date 60 days after publication in the Federal Realstert comments that address the following questions:
1.
Is the proposed collection of information necessary for the NRC to properly perform its functions? Does the information have practical utility?
2.
Is the burden estimate accurate?
3.
Is there a way to enhance the quality, utility and clarity of the information to be collected?
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How can the burden of the information collection be minimized, including the use of automated collection techniques or other forms of information technology?
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A copy of the draft supporting statement may be viewed free of charge at the NRC Public l
Document Room,2120 L Street NW (lower level), Washington, DC. OMB clearance 4
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packages are available at the NRC worldwide web site (http://www.nrc. gov) under the j
FedWorld collection link on the home page tool bar. The document will be available on the 1
NRC home page site for 60 days after the signature date of this notice.
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Comments and questions about the information collection requirements may be directed to the NRC Clearance Officer, Brenda Jo. Shelton, U.S. Nuclear Regulatory Commission, T-6 F33, Washington, DC 20555-0001, or by telephone at (301) 415-7233, or by Intemet electronic mail at BJS1@NRC. GOV.
Dated at Rockville, Maryland, this[
ay of k For the Nuclear Regulatory Commission bs.Y $
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Amold E. L'eviri, ActinfDesignated Senior Official for information Resources Management
...e OMB SUPPORTING STATEMENT FOR 10 CFR PART 25 Access Authorization for Licensee Personnel (3150-0046)
Revision to Extension Request Description of the Information Collection Part 25 establishes procedures for granting, reinstating, extending, transferring, and terminating access authorizatipns of licensee personnel, licensee contractors or agents, and other persons (e.g., individuals involved in adjudicatory procedures as set forth in 10 CFR Part 2, subpart 1) who may require access to classified information. There is a total of 20 licensees and other organizations in the reporting and recordkeeping requirements of this information collection. Each licensee or organization employing individuals approved for personnel security access authorization under this part, shall maintain records pertaining to the personnel access authorization, a termination, cancellation or reinstatement or a request for exemption from Part 25. These records are subject to review and inspection by Cognizant Security Agency (CSA) representatives during security reviews. Reports such as, notification of access authorization requests, NRC Form 237, and classified visits are submitted "upon occasion" as prescribed in Part 25. Since the last clearance, the burden has increased from 203 hours0.00235 days <br />0.0564 hours <br />3.356481e-4 weeks <br />7.72415e-5 months <br /> /460 responses to 257 hours0.00297 days <br />0.0714 hours <br />4.249339e-4 weeks <br />9.77885e-5 months <br /> /522 responses due to the 10 CFR Part 25 and 95 rule, " Access Authorization for Licensee Personnel and Security Facility Approval and Safeguarding of National Security information and Restricted Data," codified April 11,1997 (60 FR 17683) and due to the Division of Facilities and Security staff recalculation of the burden since its implementation. The rule was implemented to ensure conformance with the National Industrial Security Program Operating Manua,, and Executive Orders 12958, " Classified National Security Information," and 12968, Access to Classified Information," that deals with requirements for access to and protection of classified information.
A.
JUSTIFICATION 1.
Need for and Practical Utility of the Collection of Information.
10 CFR Part 25 contains numerous reporting, recordkeeping and application requirements, including requirements for submittal of personnel security access authorization and access authorization renewal requests, security recordkeeping requirements and security reporting and notification procedures relative to access authorizations, in all cases, the requirements are necessary to help ensure that granting individuals, covered by this Part, access to classified information will not endanger the U. S. common defense and national security. Essentially, all of the reporting, recordkeeping and application requirements are necessary for one or more of the reasons listed below.
a.
To obtain the essential data from individuals necessary to determine y
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2 their eligibility or continuing eligibility for an NRC access authonzation for access to classified information. These information requirements are derived from pertinent statutes and Executive Orders which authorize background investigations on an individual's character, associations and
- loyalty, b.
To obtain essential data describing normal operating procedures pertinent to personnel security and visitor control activities to ensure that regulatory requirements are being met by licensees and other organizations.
c.
To obtain essential data which serves as the basis for determining continued eligibility of an individual for an NRC access authorization when occurrences or developments arise which may affect the initial det'ermination.
The information collection requirements of 10 CFR Part 25 are identified and explained below:
25.11 gxemotion Reauests. The information and justification required by this section are used to determine whether an exemption can be granted. The submittal is necessary from any person (as defined in the Part) who requires access to classified information, seeking exemption from the requirements of s
Part 25. Documentation related to the request, notification and processing of an exemption shall be maintained for three years beyond the period covered by the exemption.
25.17(b) Access Authorization Reauest. The access autho-ization request must be submitted to the facility's Cognizant Security Agency (CSA). If the NRC is the CSA, the procedures in $25.17(c) and (d) will be followed. If the NRC is not the CSA, the request will be submitted to the CSA in accordance with procedures established by the CSA. The NRC will be notified of the request by a letter that includes the name, social security number and level of access authorization. If NRC is not the CSA, the burden is insignificant because the licensee must only furnish NRC with a copy of what is sent to the CSA.
lhis information is used to verify the identity of the employee for whom access s
2 authorization is requested and ensures that the licensee or other organization endorses the request.
25.17(c) NRC Access Authorization Reauest Form. The request must include a completed persor:nel security packet (see $25.17(d)) and NRC Form 237 (OMB Clearance No. 3150-0050) signed by a licensee, licensee contractor official, or other authorized person.
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3 The information and signature required by this section are used to venfy the identity of the employee for whom access authorizatiot,is requested and ensures (through the sigt.ature of a licensee, licensee contractor or other organization official) that the licensee or other organization official endorses the request.
25.17(d)(1) Personnel Security fAccess Authorization) Eac.ke.t Each personnel security packet submitted must include a Questionnaire for National Security Positions (SF-86, Parts 1 and 2); two standard fingerprint cards (FD-258);
Security Acknowledgment (NRC Form 176); and other related forms where specified in accompanying instructions. Only an NRC Form 176 is required from any person possessing an active access authorization, or who is being processed for an access authorization, by another Federal agency.
The infomiation required by this section prov! des the pertinent data necessary to conduct an initial or update investigation to determine the respondent's trustworthiness and his/her eligibility for access to National Security Information or Restricted Data. The information submitted on the SF 86, Parts 1 and 2 (OMB Clearance No. 3206-0007 [ DOE)) is reviewed by the Division of Facilities and Security staff and forwarded to the appropriate investigating agency. In those cases where the respondent already has a security clearance granted by another Federal agency, attemative sources (other agency records) may be used to obtain this information.
25.19 Processina Aeolications Each application for access authorization or access authorization renewal must be submitted to the CSA, if the NRC is the CSA, the application and its accompanying fee must be submitted to the NRC Division of Facilities and Security. This information collection is covered in Section 25.17(a),
25.21(b) Reportina Personnel Security Data. The CSA must be promptly notified of developments that bear on continued eligibility for access authorization throughout the period for which the authorization is active (e.g.,
persons who many subsequent to the completion of a personnel security packet must report this change by submitting a completed NRC Form 354,
" Data Report on Spouse" (OMB Clearance No. 3150-0026) or equivalent CSA form).
The reports and information required by this section ensure that personnel security records are kept up-to-date and that any developments or circumstances which may have an impact on an individual's continued access authorization eligibility are properly and accurately evaluated. This evaluation enables NRC to carry out the regulatory intent to safeguard NRC classified information.
25.21(c)(1)&(2) Renewal Apolications. An application for renewal must be submitted at least 120 days before the expiration of the five year period. It must include a statement by the licensee or other person that the individual
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continues to require access to classified National Security Information or Restricted Data and also include a personnel security packet as described in l
925.17(d). Renewal applications and the required paperwork are not required for individuals who have a current and active access authorization from another Federal agency and who are subject to a reinvestigation procram by that agency that is determined by the NRC to meet the NRC's requirements.
Any individual who is subject to the reinvestigation program requirements of another Federal agency who does not submit reinvestigation forms to that agency within seven years of the previous submission shall submit a renewal application to the NRC using the forms prescribed in $25.17(d) before the expiration of the seven year period. If the NRC is not the CSA, reinvestigation program procedurer, and requirements will be set by the CSA.
25.23 Notificati6n of Access Authorization Acoroval. Upon receipt of the notificatiori of original grant of access authorization, the licensee or organization shall obtain an executed " Classified Information Nondisclosure Agreement (SF,312) from the affected individual. An employee issued an initial access authorization shall execute an SF-312 before being granted access to classified information. The licensee or other organization shall forward the executed SF 312 to the CSA for retention. If the employee refuses to execute the SF 312, the licensee or other organization shall deny the employee access to classified information and submit a report to the CSA.
The SF 312 must be signed and dated by the employee and witnessed. The employee's and witness' signatures must bear the same date. The individual shall also be given a security orientation briefin0 in accordance with $95.33 of this chapter. Based on past experience, no individual has refused to execute the SF-312. Therefore, no burden is expected for this report. Records of access authorization grant and renewal notification must be maintained by the licensee or other organization for three years after the access authorization has been terminated by the CSA.
The reports and information required by this section ensure that only individuals who have agreed to oroperly protect classified information have access to such information. The maintenance of access authorization grant and renewalletters permits review and confim1ation during prescribed NRC surveys that only properly authorized employees have had access to classified information. This recordkeeping requirement ensures these records are available for review by NRC inspectors and that they can be compared against records held by the NRC Division of Facilities and Security. The records under this section must be kept for three years following the access authorization termination date.
25.25 Access Authorization Cancellations. When a request for an individual s access authorization or renewal of access authorization is withdrawn or cancelled, the requestor shall notify the CSA immediately by telephone so that the full field investi0ation, National Agency Check with Credit investigation, or other personnel security action may be discontinued. The requestor shall identify the full name and date of birth of the individual, the date of request,
5 and the type of access authorization or access authorization renewal regeested. The requestor shall confirm ecch telephone notification promptly in writing.
The information required by this section is necessary each time a licensee or other organization wishes to withdraw or cancel an access authorization or access authorization renewal they have requested. The information is used by NRC to terminate its processing of the individual and to notify the investigating agency that the investigation may also be cancelled. This action saves the U.
S. Govemment specific processing costs and curtails unnecessary investigations and invasions of privacy.
25.27(a) & (b) Roopenino Cancelled Reauests, in conjunction with a new request for access authorization (NRC Form 237 or CSA equivalent) for individuals'whose cases were previously cancelled, new fingerprint cards (FD-257) in duplicate and a new Security Acknowledgment (NRC Form 176), or CSA equivalents, must be fumished to the CSA along with the request.
Additionally, if 90 days or more have elspsed since the date of the last Questionnaire for National Security Positions (SF-86), or CSA equivalent, the individual must complete a personnel security packet (see $25.17(d)). The CSA, based on investigative or other needs, may require a complete personnel security packet in other cases as well.
This information is used by NRC to reopen and complete the access authorization processing and to determine the respondent's trustworthiness and eligibility for an access authorization.
25.29(a) & (b) Access Authorization Reinstatement. An access authorization can be reinstated provided that no more than 24 months has lapsed since the date of termination of the clearance; there has been no break in employment with the employer since the date of termination of the clearance; there is no known adverse information; the most recent investigation does not exceed 5 years (Top Secret, Q) or 10 years (Secret, L); and the most recent investigation meets or exceeds the scope of the investigation required for the level of access authorization that is to be reinstated or granted. An access authorization can be reinstated at the same, or lower, level by submission of a CSA-designated form to the CSA. The employee may not have access to classified information until receipt of written confirmation of reinstatement and an up-to-date personnel security packet is fumished with the request for reinstatement of an access authorization. A new Security Acknowledgment will be obtained in all cases. Where personnel security packets are not required, a request for reinstatement must state the level of access authorization to be reinstated and the full name and date of birth of the individual.
The purpose of this requirement is to provide that informat;on which may be necessary (depending upon when the access authorization was terminated) to reinstate or reactivate the access authorization.
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6 25.31(c) Extension or Transfer of the Individual's Access Authorization.
Requests for extension or transfer of access authorization must state the full name of the person, his date of birth and level of access authorization. The Director, Division of Facilities and Security may require a new personnel security packet to be completed by the applicant.
These procedures and requirements provide the necessary information to properly identify and process an individual for an extension or transfer of their access authorization.
25.33(b) & (c) Reportina Access Authorization Terminations. (b) A representative of the licensee or other organization that employs the individual whose access authorization will be terminated shallimmediately notify the CSA when the circurtistances noted in paragraph (a)(1) or (a)(2) of this section exist; shallinform the individual that his access authorization is being terminated, and the reason; and shall be considered for reinstatement of access authorization if he resumes work requiring it. (c) When an access authorization is to be terminated, a representative of the licensee or other organization shall conduct a secunty termination briefing of the individual involved, explain the Security Termination Statement (NRC Fom) 136 or CSA approved form)(OMB Clearance No. 3150-0049) and have the individual complete the form. The representative shall forward the original copy of the Security Termination Statement to the CSA.
These procedures are required to ensure that an individual's access authorization is properly terminated whenever his/her need for access has expired or the individual has been found ineligible for a continuing access authorization.
25.35(a) Classified Visits. The number of classified visits must be he d to a minimum. The licensee, certificate holder, or other facility shall detelmitie that the visit is necessary and that the purpose of the visit cannot be ach!eved without access to, or disclosure of, classified information. All classified visits require advance notification to, and approval of, the organization to be visited.
In urgent cases, visit information may be fumished by telephone and confirmed in writing. Notifications of visits shall consist of a Visit Authorization Letter (VAL) prepared in accordance with 25.35(c).
25.35(d) Classified Visits - Chanaes. Classified visits may be arranged for a 12 month period. The requesting facility shall notify all places honoring these visit arrangements of any change in the individual's status that will cause the visit request to be cancelled before its normal termination date.
These procedures ensure that only properly authorized individuals who require access to classified matter as a part of their official duties will have such access during visits to other facilities and agencies. They also require the requesting facility to notify places receiving long term visit requests of any changes in the individual's status as they occur.
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7 Except as noted for $25.17 (d), there is no duplication with any other Federal agency reporting requirements for all of the above. For each of the reporting requirements, the respondent is not required to submit more than two copies of any response.
2.
Aaency Use of Information. Personal history information which is submitted by applicants for access authorizations or access authorization renewalis reviewed, evaluated by Division of Facilities and Security personnel and provided to OPM which conducts background investigations. The NRC reviews the data from these investigations and makes determinations regarding the eligibility of applicants for access or continued access to classified information.
Classified visit information is also processed and verified by Division of Facilities and Security personnel. If the information rollection was not conducted, individuals would not be permitted accesy to NRC classified information or be permitted to make visits involving NRC classified information.
3.
Reduction of Burden throuah Information Techrioloav. There is no significant impact upon the information collection requirement through the application of information technology. Only a small portion of other agency information [e.g.,
925.17(d) and $25.21(c)(2)) is available through information technology means. Most of the information is obtained directly from the individual affected and is received by NRC in hard copy form.
4.
Effort to identify Duplication and Use Similar Information. These requirements and procedures have been used by the Department of Energy to collect similar information. Similar requirements and procedures are used by other govemment agencies. Whenever possible, NRC uses these altemative sources
- of information. However, personal history information is time perishable and may need to be supplemented and updated.
5.
Effort to Reduce Smsli Business Burden. None of the licensees affected qualify as small business enterprises or entities.
6.
Conscauences to Federal Proaram or Policy Activities if the Collection is Not Conducted or is Conducted Less Freauentiv. If the information is collected less frequently, the assurance that only appropriately cleared individuals have access to NRC classified information is reduced, which may endanger the U. S. common defense and national security. Classified information may be compromised if fumished to individuals without an access authorization or an out-of-date access authorization.
7.
Circumstances Which Justify Variation from OMB Guidelines. There is no variation from OMB Guidelines in this collection of information.
8.
Consultations Outside the NRC. An opportunity to comment on the 10 CFR Part 25 information collection requirements has been provided in the Federal Reaister Notice published for this clearance extension.
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9.
Payment or Gift to Respondents. Not applicable.
10.
Confidentiality of the Information. The information collected is used to determine an applicant's eligibility for access authorization or continuation of access authorization. The information 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 provided with or on each form.
11.
Justification for Sensitive Questions. Sensitive information collected includes questions on the SF 86 about such matters as firings from a job, criminal history record, and use of illegal drugs (authorized under OMB No. 3206-0007) and is used as the basis for an investigation; the social security number on the NRC Form 237 (authc.ized under OMB No. 3150-0050) is used to ensure accuracy of thebe records; and the name, date and place of birth of the individual's spouse and the spouse's immediate relatives on the NRC Form 354 (authorized under OMB No. 3150-0026) is used as a basis for an investigation.
12.
Estimated Burden and Burden Hour Cost. The burden estimates for 10 CFR Part 25 information collection requirements are based on submittals to NRC in past years. The cost to the licensees is calculated at a rate of $125 per hour for professional staff for preparation of the reports prepared in response to the 10 CFR Part 25 information collection requirements. This rate is based on NRC's fully recoverable fee rate and includes both salaries and overhead.
The total annual burden for complying with the information collection requirements in Part 25 is estimated to be about 257 hours0.00297 days <br />0.0714 hours <br />4.249339e-4 weeks <br />9.77885e-5 months <br />.
13.
Estimate of Other Additional Costs. Not applicable.
14.
Estimated Annualized Cost to the Federal Govemment. The professional effort associated with these requirements includes reviewing the 3F-86's and other personnel security forms required for access authorization processing; evaluating reports of developments which may affect continued eligibility for access authorization; and renewing, reinstating or transferring access authorizations. The estimated cost to the Federal Govemment for professional effort is based on current and past experience under 10 CFR Part 25, 228 hrs. X $125/hr.
$28,500
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The c!erical effort associated with these requirements includes requesting background investigations required for access authorizations; processing name changes; processing visit requests and cancelling and terminating access
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authorization requests. The estimated cost to the Federal Govemment for l
clerical effort is based on current and past experience under 10 CFR Part 25.
9 300 hrs. X $45/hr.
$13,500
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The annual cost for the record holding requirement is:
1 cubic ft. X $209/ cubic ft.
$209
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Total annual cost
$42,209
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These costs are fully recovered thmugh fee assessments to NRC licensees pursuant to 10 CFR Parts 170 and/or 171.
i o.
Reasons for Chanaes in Burden or Cost.
The burde'n and responses were increased in this clearance period becauTe of the implementation of the Final Rule 10 CFR Part 25 and 95," Access Authorization for. Licensee Personnel and Security Facility Approval and Safeguarding of National Security information and Restricted Data," that added several sections and revised others. Since the rule's implementation, the NRC staff has determined that the burden changes in $$ 25.29,25.35(a) and (d) were miscalculated in the last clearance. Therefore, the burden and responses for these sections have been increased accordingly. The burden / responses have increased from 203 hours0.00235 days <br />0.0564 hours <br />3.356481e-4 weeks <br />7.72415e-5 months <br /> /460 responses to 257 hours0.00297 days <br />0.0714 hours <br />4.249339e-4 weeks <br />9.77885e-5 months <br /> /522 responses.
16.
Publication for Statistical Use. There is no statistical use or publication of information collected.
17.
Reason for Not Displavina the Exolration Date. The requirement will be contained in a regulation. Amending the Code of Federal Regulations to display information that, in an annual publication, could become obsolete would be unduly burdensome and too difficult to keep current.
18.
Exceptions to the Certification Stateme_ni. Not applicable.
B.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS Not applicable.
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ATTACHMENT A l
10 CFR PART 25 BURDEN ESTIMATE l
l Hours Total Cost l
No. cf Annua!
Total per Gurden to Section Requirement Rspndats Rsponses Rsponses Response Hours Rspdnt (S)
Reportina 25.11 Exemption Request 1
1 1
- 8 1.8 225 25.17(b)
Access Authorization Request Burden included in NRC Form 237. cleared under OMB number 3150-0050.
25.17(c)
NRC As:coss Authorization Request Form cleared under OMB number 3 450-0050.
NRC Form 237 25.17(d)(1)
Personnel Security Packet Form cleared under OMB number 3206-0007.
SF-86 25.19 Processing Applications Covered under Section 25.17(b) 25.21(b)
Reporting Personnel Security Form cleared under OMB number 3150-0026.
Data - NRC Form 354 25.21(c)(1)&(2)
NRC Access Authorization Request Form cleared under OMB number 3150-0050.
NRC Form 237 25.23 Notification of grant of 20 15 300
.1 30 3750 access authorization SF-312 25.25 Access Authorization 12 10 12G 5
30 3750 Cancellation l
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' Hours
. Total Cost No. of -
Annual Total per Burden to.
Section Requirement
' Rspndnts Rsponses Rsponses Response Hours Rspdnt ($)
25.27(a)&(b)-
Reopening Cancelled Requests 6
4 24 2
48.
6000 25.29 Access Authorization 6
5 30 2
60 7500 Reinstatement 25.31(c)
Extension er Transfer of Access -
= 12 -
1
. 12 1.5 18 2250 Authorization 25.33(b)&(c)
Reporting Access Authorization Foim cleared under OMB number 3150-0049.
Terminations - NRC Form 136 25.35(a)
Classified Visits 5
~4 20
.25 5 -.
625 25.35(d)
Classified Visits - Changes 5
3
-15
.25 3.75 469 522 196.55 24,569
- Totals
v-ATTACHMENT A-10 CFR PART 25 BURDEt4 ESTIMATE:
No. of
~ Annual -
Total-Cost to Rcrdkprs hours Rcrdkpng Respondnt-per Hours Section Requirement / Record Retention Rcrdkpr.
Recordkeepina 25.11 Exemption Request (3 yrs) 2
.2
.4 50
~ 25.23
.4otification of Access Authorization 20 3
60 7500 Approval (3 yrs) 60.4 7550 Totals Total Reporting and Recoroxeeping Bc1en Hours =256.95 Total Cost to Respondent =$32,119
_