ML20236V963
| ML20236V963 | |
| Person / Time | |
|---|---|
| Issue date: | 07/31/1998 |
| From: | Shelton B NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM) |
| To: | |
| References | |
| OMB-3150-0050, OMB-3150-50, NUDOCS 9808040313 | |
| Download: ML20236V963 (12) | |
Text
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PAPERWORK REDUCTION ACT SUBMISSION 3
Pinse reas the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional docurnentation to: Office of Information and Regulatory Affairs Office of Management and Budget. Docket Library, Room 10102,72517th Street NW, Washington, DC 20503.
2 OMB control number
- 1. Agercy/ Subagency onginating request 3150-0050 b None U.S. Nuclear llegulatory Commission a
Type of information collection (checA one) 4 Type of review requested (check one)
- 3. New collection gf a Regular c Delegated b Revision of a currently approved collection b Emergency. Approval requested by (date)
- c. Extension of a currently approved collection 5 Will this information collection have a a Yes significant economic impact on a
~
d Reinstatement. without change, of a previously approved substantial number of small entities?
f b No collection for which approval has expired
- e. Reinstatement, with change of a previously approved a Three years from approval date collection for which approval has expired Requested f Existing collection in use without an OMB control nurnber h b Other (Specify) 9/30/2001
- 7. Title NRC Form 237, Request for Access Authorization G. Agency form number (s) (if applicable)
NRC Form 237 9 Kzywords Classified Information, Security Measures
- 10. Abstract The NRC is amending its regulations to conform to new national requirements for the protection of and access to classified information. In doing"so, the use of NRC Form 237 will decrease because the requirement fcr a reinvestigation submittal for an "L access authorization will be changed from once every five years to once every ten years.
- 11. Affected pub llC (Mark pnmary wth *P* and nH others tnat eDpiy win *x3
- 12. Obhgation to respond iMark pnmary win 'P"and EM others Inal 8 Poly wth "xi
- 3. Individuals or households
- d. Farms a Voluntary
~
Y b Business or other for-profit e FederalCorarnment b_ Required to obtain or retain benefits
- c. Not-for-profit institutions
- f. State. Local or Tnbal Governments c. Mandatory
~
- 13. Annual reporting and recordkeeping hour burden
- 14. Annual reporting and recordkeeping cost burden on rnovsanos ordonors,
. 22 a Total annualized capital /startup costs 0
a, Number of respondents 80
- b. Total annual costs (O&M)
- b. Total annual responses
- c. Total annualized cost requested 0
- 1. Percentage of these responses collected electronically 0.0
- d. Current OMB inventory c Total annual hours requested 16 e Difference O
- d. Current OMB inventory 16
- f. Explanation of difference e Difference O
- 1. Program change
- f. Explanation of difference
- 2. Adjustment
- 1. Program change M
- 2. Adjustment
- 15. Purpose of information collection 16 F requency of recordkeeping or reporting (check all tNr apply) f (Mark pnmary wtth *P* and allothers thet apply wath *X*)
a Recordkeepang
- b. Third party d!sclosure
$w
- e. Application for benefits
- e. Program planning or management 3f
- c. Reporting j
D
- b. Program evaluation f Research sf 1. On occasion
~
- 2. Weekly 3 Monthly Q
- c. General purpose statistics T g Regulatory or compliance
- 4. Quarterly
- 5. Semi-annually 6 Annually
'}
- 7. Biennially
- 8. Other (describe)
'ig 18 Agency contact (person who can best answer questrons regaraing the
- d. Audit
- 17. Statistical methods Content ofInts submtsston)
Does this information collection employ statistical methods?
- g Duane G. Kidd k
Name.
]Yes 'i-No n
301-415-7403
'. ' J U Phone.
OMB 83-1
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s g j.3 }
N.? Mi cy y-f
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- 19. C rtific. tion f;r P perw;rk R:: duction Act Submi=l:n3 1
On behalf of this Federal agency, I certify that the collection ofinformation encompassed by this request coniplie 5 CFR I320.9.
The text of 5 CFR 1320.9, and the related prosisions of 5 CFR 1320.8 (b)(3), appear at the end of the NOTE: instructions. The certification is to be made unh reference to those reguhuoryprovisions as setforth in the instructions.
The following is a summary of the topics, regarding the proposed collection ofinformation, that the certiGcatio (a) It is necessarv for the proper performance of agency functions; tb) It avoids unnecessary duplication; (c) It reduces burden on small entities; (d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents; (e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices; (f) It indicates the retention periods for recordkeeping requirements:
(g) It infomis respondents of the infortnation called for under 5 CFR 1320.8 (b)(3):
(i)
Why the information is being collected; (it)
'ise ofinformation; (iii) Burden estimate; (iv) Nature of response (voluntary, required for a benefit, or mandatory );
(v) Nature of extent of con 0dentiality; and (si) Need to display currently valid OMB control number; (h) It was developed by an office that has planned and allocated resources for the efficient and effective manage-(i) lii$e!"NIEibd bMi N#M'hdgngin ItEEd i
N (j) It makes appropriate use ofinformation technology.
If you are unable to certify compliance with any of these provisions, identify the item below and explain th item 18 of the Supporting Statement.
Date Sqnature of Authonzed Agency Off crat Date Sgnat -
ni r O icr er desgn -
a r;nda Jo. She on. NRC Clea ce Of0cer. Office of the Chief Information Officer
/
10/95 oms 83-1 t'-
i
s PAPERWORK REDUCTION ACT SUBMISSION
{
Please reaqf the instructions before completing this form. For additional forms or as i t our ggsncy's Paperwork Clearance Officer. Send two copies o s s ance in completing this form, contact Management and Budget, Docket Library, Room o be reviewed. the 10102,72517th Street NW Washington DC 20503 a rs, Office of
- 1. Agency / Subagency onginating request
)
U.S. Nuclear Regulatory Commission
- 2. OMB control numoer 3150-0047 J
a Type ofinformation collection (check one) 3 b.None
- a. New collectron Type of review requested (Check one) 4 gf a Regutar g
b Rev!sion of a currently approved collection f
- c. Delegated
- c. Extension of a currently approved collection b Emergency - Approva! requested by (date) 5 Will this information collection have a
- d. Reinstatement, without change, of a previously approved significant economic impact on a a Yes collection for which approval has expired substantial number of small ent:ttes?
< e Reinstatement, with change of a previously approved J. b No collection for which approval has expired 6 Requested a Three years from approval date
- f. Existing collection in use without an OMB control number ewamn daw
- 7. Tutte a Other (Specify)- 3/31/2001 Security Facility Approval and Safeguarding of National Security,10 CFR 95
- 8. Agency form number (s) (if apphcaD/e)
None 9 Keywords Classified Information Reporting and Recordkeeping
- 10. Abstract NRC is amending its regulations to conform to new national requirements for the p classibed information. In doing so, new regulatory requirements are being pro c ess to to submit security facility annroval requests, report information on FOCI status of facilities year updates to the facihty StPP.
es o submit five
- 11. Attected public rMars pnman win v nanotws tnatappiy wen r) a 12 Obugatson to respond turn onmam we yat an tners tsar acery w>rn m
- a. Individuals or households
- d. Farms o
T a Voluntary b Business or other for-profit
- e. Federal Govemment
- c. Not-for-proftt institutions b Required to obtain or retain benefits
- f. State. Local or Tncal Govemment P
- c. Mandatory 1 3. Annual reporting and recordkeeping hour burden a Number of respondents 33
- 14. Annual reporting and recordkeeping cost burden rmtrusamysorcoua.s-a Total annuahzed capital /startup costs
- b. Totalannualresponses 202 0
- 1. Percentage of these responses b Total annual costs (O&M) collected electronically 0.0
- c. Total annualized cost requested 0
- e. Difference 416 H
- e. Difference f Explanation of difference O
- f. Explanation of difference grarn Mange
- 1. Prugram change
- 2. Adjustment
- 2. Adjustment
- 15. Purpose of information collection (Mark permary with "P"and all others that apply with 7")
- 16. Frequency of recordkeeping or reporting (Check #1thatappy)
/
- a. Recordkeeping b Third-party disclosure
- a. Application for benefits e Program planning or r anagement sf
- c. Reporting
- b. Program evaluation f Research
~
sf
- c. General purpose statistics T g Regulatory or compliance
- 1. On occasion
- 2. Weekly
- 3. Monthly
- d. Audit 4 Quarterly
- 5. Semi annually
- 6. Annually
- 17. Statistical methods
- 7. Biennially 8 Other(desenbe)
Does this information collection employ statistical methods?
- 18. Agency contact (person who can best answer questions regaroong the Name.
]No Duane G. Kidd Yes Phone:
301-415-7403 OMB 83-l Th'S to'm ne desgned ustg informs 10/95
i
)
19.C:rtificrti:n far Paperw:rk Raduction Act Subminalons 7
On behalf of this Federal agency, I certify that the collection ofinformation encompassed by this request complies with 5 CFR 1320.9.
NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8 (b)(3), appear at the end of the instructions. The certification is to be made with reference to those regidatory provisions as setforth in the instructions.
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions; (b) It avoids unnecessary duplication; (c) It reduces burden on small entities; (d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents; (e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices; (f) It indicates the retention periods for recordkeeping requirements; (g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3):
(i)
Why the information is being collected; (ii) Use of information; (iii) Burden estimate; (iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature of extent of confidentiality; and (vi) Need to display currently valid OMB control number; (h) It was developed by an office that has planned and allocated resources for the efficient and effective manage-i f the instructions);
(i) liffses*SYtEI8e9Ed'e"[0E"effffatfshfafSb*y nNb"8MoANn"' 19 d
(j) It makes appropriate use ofinformation technology.
If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in item 18 of the Supporting Statement.
f Date Sgnature of Authonzed Agency Offcal Date Sgnatu or can r desgn f$
fh hetton. NRC Clear ce Officer. Office of the Chief Information Officer OMB 83-1
/
10/95
l OMB SUPPORTING STATEMENT FOR 10 CFR PARTS 10,11,25 AND 95 Conformance to National Policies for Access to and Protection of Classified Information (3150-0047 and 0050)
Revision Request Description of the information Collection The reporting requirements of 10 CFR Parts 10,11, and 25 affect approximately 20 licensees and other organizations and the reporting requirements of 10 CFR Pa t 95 affect approximately 10 licensees, certificate holders and other organizations (e.g., fuel cycle facilities, licensee contractors). The proposed rule would only amend the reporting requirements of 10 CFR Part 95 and those associated with the NRC Form 237 that are no longer in conformance with current national security policies because of the issuance of the National Industrial Security Program Operating Manual and the two Executive Orders 12958, " Classified National Security Information," and 12968, " Access to Classified Information" that deal with requirements for access to and protection of classified information or special nuclear material. The changes to 10 CFR Parts 10,11 and 25 do not result in reporting or recordkeeping burden changes. The changes to 10 CFR Part 95 and the NRC Form 237 requirements include:
a new requirement for a facility clearance for those licensees or others who require access to classified information at a facility other than their own; additional information on the scooe and reporting requirements for the Foreign Ownership, Control, or Influence (FOCl) program; a requirement to resubmit an updated Security Practice Procedures Plsn every five years; a requirement for a visitor control program; a change to the period between reinvestigations for "L" and ' R" access authorizations from five years to ten years; and greater specificity as to when particular reports are required.
A.
JUSTIFICATION 1.
Need for and Practical Utility of the Collection of Information.
10 CFR Part 25 contains requirements for the submittal of NRC Form 237 for submittal of personnel security access authorization and access authorization renewal requests and Part 95 contains reporting and recordkeeping requirements, including requirements for, plans and procedures for the protection of classified information, ADP and telecommunications security plans and sr curity reporting and notification procedures for compliance and response i
L__s____________._____
purposes. In all cases, the requirements are necessary to help ensure that granting access to classified information or special nuclear material will not en-danger the U. S. common defense and national security. Essentially, all of the reporting and recordkeeping requirements are necessary for one or more of the reasons listed below.
a.
To obtain the essential data from individuals necessary to determine their eligibility or continuing eligibility for an NRC access authorization for access to classified information or special nuclear material. 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 determination.
d.
To obtain essential descriptive data concerning the content and planned operation of the licensee's or other organization's information security program which is necessary for NRC to determine the adequacy of planned methods and procedures for safeguarding classified information and material while in use, transmission or storage.
e.
To obtain essential data describing the licensee's or other organization's planned program for ensuring employee indoctrination and continued awareness of their security responsibilities so as to prevent unauthorized disclosure of classified information or material and to ensure the licensee's or other organization's compliance with E.O.12958 and 12968.
f.
To obtain essential data to permit NRC review and appraisal of the licensee's, certificate holder's or other organization's classification procedures and compliance with regulatory requirements for classification and procedures concerning release of classified information to International Atomic Energy Agency (IAEA) representatives.
g.
To obtain essential data to permit NRC review and appraisal of the licensee's, certificate holder's or other organization's degree of foreign ownership, control or influence to prevent unauthorized international transfer of classified information or material.
i The modified information collection requirements of 10 CFR Part 95 and for the NRC Form 237 are identified and explained below. A number of paragraphs in the proposed rule were changed to address reorganizational changes within the NRC or changes in the marking requirements for classified information These changes in all paragraphs of
Part 10 all paragraphs of Part 11 except for 11.15(c), all paragraphs of Part 25, except for 25.21(c), and all paragraphs of Part 95, except for 95.15,95.17,95.19 and 95.34 do not change the reporting requirements or burdens, therefore, these paragraphs are not addressed in the following text.
Sections 11.15(c)(1) thru (5) have been revised to reflect the change from the requirement for a reinvestigation submittal for an "R" access authorization from once every five years to once every ten years which will result in a small decrease in the burden under the clearance number 3150-0050, NRC Form 237.
Sections 25.21(c)(1) and (2) 3 have been revised to reflect the change from the requirement for a reinvestigation submittal for an "L" access authorization from once every five years to once every ten years which will result in a small decrease in the burden under the clearance number 3150-0050, NRC Form 237.
Sections 95.15(a) has been revised to require that any facility which has personnel who require access to classified information, even though they do not have the need to possess the information at their facility, must request a facility clearance approval from NRC. Previously only facilities which had a need to possess classified information at their facility were required to obtain a facility clearance. This change is required by Chapter 2, Section 1 of the NISPOM. This change results in a small increase to the reporting requirements of Part 95.
Section 95.17(a)(1) establishes a new requirement for facilities to report any changes that may affect the FOCI status of the facility. This requirement is necessary to ensure that there has been no changes to the FOCl status of the facility without the NRC's knowledge and development of proper remediation measures. This is a requiremer.t of Chapter 1, Section 3 of the NISPOM. This change results in a smallincrease to the reporting requirements of Part 95.
l Section 95.19(c) establishes a new requirement for facilities to submit a new Security Practice Procedure Plan (SPPP) every five years. Previously an original plan was submitted and changes were submitted as needed. This procedure became cumbersome, difficult to maintain, and led to internal discrepancies in the SPPP's. A complete resubmission every five years will ensure that the SPPP will be an accurate reflection of current procedures in use for the protection of classified information at the facilities. This change results in a small increase to the reporting requirements of Part 95.
Section 95.34(b)(i) establishes a new requirement for facilities to submit information on foreign visitors to the facility 60 days prior to the visit. This requirement is necessary to ensure that the Government is aware of what foreign personnel are accessing the facility and to determine if they represent a concern to the security of the information processed by the facility. This change results in a small increase to the reporting requirements of Part 95.
Section 95.34(b)(ii) establishes a new requirement for facilities to maintain information on visits to the facility by foreign personnel for five years. This requirement is necessary to ensure that the Government is aware of what foreign personnel are accessing the facility and determine if the patterns represent a threat to the security of the information
processed by the facility. The requirement also permits investigations after the fact if a question arises. This change results in a small increase to the recordkeeping requirements of Part 95.
l 2.
Aaency Use of Information.
For facilities at which NRC is the CSA, the reports, security plans and other security information are submitted to the Division of Facilities and Security. The i
information is used to help determine whether a licensee or other organization is eligible to use, process, store, transmit or handle NRC classified information. The information is also used for periodic reviews and inspections to ensure appropriate regulations are continuously followed. If the information collection was not conducted, these determinations could not be made and the licensees or other organizations would not be permitted to maintain this classified information which is pertinent to their activities.
3.
Reduction of Burden Throuah information Technoloav. There is no significant impact upon the information collection requirement through the application of information technology. No responses are submitted electronically.
4.
Effort to identify Duplication and to use Similar Information. There is no duplication with any other Federal agency reporting requirements since the nature of the information being requested is unique to NRC's activity at the facility. The Information Requirements Control Automated System (IRCAS) was searched for duplication and none was found.
5.
Effort to Reduce Small Business Burden. None of the facilities affected qualify as small business enterprises or entities.
6.
Consequences to Federal Procram or Policy Activities if the Collection is Not Conducted or is Conducted Less Freauent!v. Required reports and information
)
are collected and evaluated on a continuing basis as events occur and requirements dictate. Applications for new security facility approvals or personnel security access authorizations may be submitted at any time. If not submitted, approval to possess and store NRC classified information will not be processed Other information collection requirements, such as the five year updates to the Security Practice and Procedure Plan, ensure that once placed at the facility, that information continues to receive the required protection. Less frequent collection of this information may impact negatively on NRC's responsibility to ensure proper protection and may endanger the U. S. common defense and national security. If not conducted at all, it would not be possible to comply with National Security policies requiring a finding by the government that the facility's possession of classified information does not endanger the U. S. common defense and national security.
7.
Circumstances Which Justify Variation from OMB Guidelines. There are no variations from the OMB guidelines.
8.
Consultations Outside the NRC. NRC is publishing the proposed rule in the Federal Reaister for a 60-day comment period and is specifically requesting
public comment on the information collection aspects of the proposed rulemaking.
9.
Pavment or Gift to Respondents. Not Applicable 10.
Confidentiality of information. Personal 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 on each form.
11.
Justification for Sensitive Questions. Sensitive information collected under this program has been authorized under OMB Clearance No. 3150-0050,"NRC FORM 237 - Request for Access Authorization."
12.
Estimated Burden and Burden Hour Cost. See Attachment A for a breakdown of burden and cost estimates by section.
13.
Estimate of Other Additional Costs. There are no additional costs.
14.
Estimated Annualized Cost to the Federal Government. The estimated cost to the l
Federal Government in administering the program and procedures contained in I
these requirements is:
Annual cost - professional effort
$12,705 105 hrs. X $121/hr.)
=
Annual cost - record holding requirement for ongoing program
$105
.5) cubic ft. X $209/ cubic ft.
=
$12,810 Total annual cost
=
Increase in cost to NRC is based on processing of additional new facility clearances for non-possessing facilities and the processing of new five year
)
resubmissions of Security Practice Procedure Plans. There is an insignificant j
reduction due to a small decrease of approximately 12 NRC Forms 277 per year for classified visits (12 forms x 15 minutes per form = 3 hrs).
15.
Reasons for Chance in Burden. The burden hour estimates for the NRC Form 237 has decreased by an insignificant amount due a small decrease in the number of the forms required to be submitted per year. The burden hour estimates for Part 95 have increased based on the new requirements for non-possessing facilities to submit Security Facility approval requests (96.15), the new requirement to report information having a bearing on the FOCl status of the facility (95.17), and the new requirement to submit five year updates to the facility SPPP.
16.
Publication for Statistical Use. There is no application of statistics on the information collected. There is no publication of the information.
I l
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17.
Reason for Not Displayino the Exoiration Da_te. The requirement will be contained in a regulation. Amending the Code of Federal Regulations to disp'ay information that, in an annual publication, could become obsolete would be unduly burdensome and too difficult to keep current.
18.
Exceptions to the Certification Statement. There are no exceptions.
B.
COLLECTIONS OF INFORMATION EMPLOYING ' STATISTICAL METHODS: Not Applicable.
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