ML20247R523
| ML20247R523 | |
| Person / Time | |
|---|---|
| Issue date: | 09/06/1989 |
| From: | Taylor J NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| References | |
| FRN-54FR38863, RULE-PR-11, RULE-PR-25, RULE-PR-95 PR-890906, NUDOCS 8909290275 | |
| Download: ML20247R523 (14) | |
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_r NUCLEAR REGULATORY COMMISSION 10 CFR Parts 11, 25 and 95 RIN 3150 - AD28 Credit Checks - Expanded Personnel Security Investigative Coverage AGENCY: Nuclear Regulatory Comission.
ACTION: Proposed rule.
SUMMARY
- The belear Regulatory Comission proposes to amend its regulations to (1) expand the investigative scope for licensee "R" special nuclear material access authorization and "L" security clearance applicants by adding a credit check; and (2) revise the corresponding fee schedules to recover the additional cost of each credit check. This amendment is necessary to achieve a higher degree of assurance that licensee "R" and "L" applicants are reliable, trustworthy, and do not have any significant financial problems which may cause them to be sus-ceptible to pressures, blackmail, or coercion to act contrary to the national interest.
DATE: Coment period expires Coments received after
' this date will be considered if it is practical to do so, but the Comis-sion is able to assure consideration only for coments received on or before this date.
ADDRESSES: Mail written coments to: Secretary, U. S. Nuclear Regulatory )$/O Commission, Washington, DC 20555, ATTENTION: Docketing and Servi e f bli.sLA o r, t h*
Branch.
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Deliver Coments to:
11555 Rockville Pike, Rockville, Maryland,
- between 7:30' a.m. and 4:15 p.m. Federal workdays.
Copies of the regulatory analysis and comments received may be examined at:. Room LL6, 2120 L Street, NW. (Lower Level), Washington, DC.
FOR FURTHER INFORMATION CONTACT: Beth Bradshaw, Personnel Security Branch, Division of Security, Office of Administration, U. S. Nuclear-Regulatory Comission, Washington, DC 20555, telephone:
(301) 492-4120.
SUPPLEMENTARY INFORMATION: On April 12, 1989, the Executive Director for Operatioes (EDO) approved the immediate addition of a credit check to the scope of the initial investigation coverage required for an NRC "L" security clearance for NRC employees, contractors, and other non-licensee personnel. The EDO al-approved the initiation.of rulemaking to implement the same investigative scope change for "R" and "L" licensee applicants.
The current investigative coverage for "R" and "L" applicants normally consists of a National Agency Check (NAC), conducted by the Office of PersonnelManagement(OPM). While a NAC provides important coverage of an individual's background (e.g., FBI criminal history fingerprint and name checks; record checks with OPM, the Department of Defense (D0D) and otherapplicableagencies),itdoesnotprovideinformationconcerningan individual's financial situation. NRC proposes, therefore, to expand the present investigative scope for an "R" special nuclear material access authorization and "L" security clearance by adding a credit check.
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l The addition of the credit check is necessary to achieve a higher degree l
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of assurance that "R" and "L" licensee applicants are reliable, trust-l worth,y, and do not have any significt.nt financial problems which may cause them to be susceptible to pressures, blackmail, or coercion to act 1
contrary to the national interest. In October 1987, OPM added several' significant financial questions to its SF-86, " Questionnaire For Sensi-tive Positions," which the NRC currently uses as a basis for its per-sonnel security investigations, OPM added these questions in order to identify security related concerns and possible exploitable weaknesses in a person's background.
In view of recent espionage for money cases, it is important to identify those individuals who have serious financial difficulties and are, therefore, more susceptible to committing espionage or similar' activities against the United States.
Furthermore, NRC has found, based on actual case experience, that an individual's financial difficulties may be an indicator or result of other more serious problems such as drug abuse, alcohol abuse, or dishonesty.
In addition to providing greater assurance of an "R" and "L" licensee applicant's eligibility, the credit check will achieve greater compara-bility between NRC's requirenants and those of the Department of Energy and other agencies which require the credit check for their "L" and Secret clearances. The proposed requirement will be more consistent with
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the investigative coverage proposed in the Nuclear Management and Re-sources Council (NUMARC) guidelines for licensee personnel with unescorted access to protected and vital areas of nuclear power plants.
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v The applicable fee schedules will b'e revised to reflect the additional cost associated with.the conduct of the credit check.-
Specifically, thei fee for an NRC "R" special nuclear material access e" theorization or "L" ' security clearance will increase from $1t S' to $25.00..
Environmental Impact: Categorical Exclusion The NRC has determined that this proposed regulation is the type of action described as a categorical exclusion in 10 CFR 51.22 (c) (1).
Therefore,~ neither an environmental impact statement nor an environ-mental assessment has been prepared for this proposed rule.
Paperwork Reduction Act Statement This proposed rule does not contain a new or amended information i
collection requirement subject to the Paperwork Reduction Act of 1980 (44U.S.C.3501et. seq.) Existing requirements were approved by the Office of Management and Budget, approval numbers 3150-0046, 3150-0047, and 3150-0062.
Regulatory Analysis The Comission has prepared a regulatory analysis on this proposec l
regulation. The analysis examines the costs and benefits of the alter-natives considered by the Comission. The analysis is available for I
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inspection in the NRC Public Document Room, Room LL6, 2120 L Street, NW.(LowerLevel), Washington,DC. Single copies of the tralysis may-e be obtained from Beth Bradshaw, Division of Security, Office of Adminis-1 tration, U. S. Nuclear Regulatory Commission, Washington, DC 20555, telephone:
(301)492-4120.
Regulatory Flexibility Certification Based upon the information available at this stage of the rulemaking-q proceeding and in accordance with the Regulatory Flexibility Act, 5 U.S.C.
605(b), the Connission certifies that, if promulgated, this rule will not have a significant economic impact on a substantial number of small entities. This rulemaking activity applies only to those licensees and others who need to use, process, store, transport, or deliver to a carrier for transport formula quantities of special nuclear material (as defined in10CFRPart73)orgenerate, receive, safeguard,andstoreNational Security Information or Restricted Data (as defined in 10 CFR Part 25).
Approximately 31 NRC licensee and other license related interests would be affected under the provisions of 10 CFR Parts 11 and/or 25. However, 20 of these licensee or other interests have only a limited number of I
active clearances, e.g., one or two each, relating to safeguards
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activities. Because these licensees are not classified as small entities as defined t,y the KRC's size standards (December 9, 1985; 50 FR 50241),
the Commission finds that this rule will not have a significant economic irpact upon a substantial number of small entities.
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H Backfit Analysis The NRC has determined that the backfit rule,10 CFR 50.109, does not apply to this proposed rule, and therefore, that a backfit analysis is not required for this proposed rule, because these amendments do not involve any provisions which would impose backfits as defined in 10CFR50.109(a)(1).
List of Subjects 10 CFR Part 11 Hazardous materials - transportation, Investigations, Nuclear materials, Reporting and recordkeeping requirements, Security measures, Special nuclear material.
10 CFR Part 25 Classified inform uinn, Investigations, Penalty, Reporting and recordkeeping requirensnts, Security measures.
10 CFR Part 95 Classified information, Penalty, Reporting and recordkeeping require-ments, Security measures.
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For the reasons set out in the preamble and under the authority.of the Atomic Energy Act of 1954, as amended, the Energy. Reorganization Act of 1974, as amended,.and 5 U.S.C. 553, the NRC is proposing to
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adopt-the following amendments to 10 CFP. Parts 11, 25, and 95.
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.PART 11 - CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL 11.
The authority citation fer Part 11 continues to read as follows:
AUTHORITY: Sec.'161, 68 Stat. 948, as amendeti (42 U.S.C. 2201); sec. 201,88 Stat.1242,asamended(42U.S.C.5841).
Section'11.15(e) also issued under sec. 501, 85 Stat. 290 (31 U.S.C.
483a).
2.
In i 11.7 paragraph (d) is revised to read as follows:
1 11.7 Definitions.
(d) "NRC
'R' special nuclear material access authorization" means
-are administrative determination based upon a national agency check and credit investigation that an individual in the course of employmes.t is eligibletoworkatajobfallingwithinthecriterionof911.11(a)(2).
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In i 11.15 paragraphs (e)(1) and (f) are revised to read as follows:
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4 5 11.15 Appifcation for special nuclear material access authorization.
(e)(1)Eachapplicationforspecialnuclearmaterialaccessauthori--
zation, 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.
NRC-U requiring full field investigation ------------------ $2,127
- 11. NRC-Urequiringfull'fieldinvestigation(expeditedprocessing)
$2,645 iii. NRC-U based on certification of comparable full field background I
investigation ---------------- O 1
iv. NRC-U or R renewal ----------- 25 I
v.
NRC-R ------------------------ 25 2
vi. NRC-R based on certification of comparable investigation ----- 0 1 If the NRC determines, based on its review of available data, that a full field investigation is necessary, a fee of $2,127 will be assessed prior to the conduct of the investigation.
2 If the NRC determines, based on its review of available data, that a national agency check and credit investigation is necessary, a fee of $25.00 will be assessed prior to the conduct of the investi-gation; however, if a full field investigation is deemed necessary i
by the NRC based on its review of available data, a fee of $2,127 will be assessed prior to the conduct of the investigation.
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(f)(1) Any Federal empipyee, employee of a contractor of a Federal agency, licensee, or other pt i visiting an affected facility for the purpose of conducting official business, who possesses an active NRC or DOE-Q ace.ss authorization or an equivalent Federal security clearance granted by another Federal agency (" Top Secret") based on a comparable full. field background investigation rey be permitted in accordance with 911.11 the same level of unescorted access that an hRC-U special nuclear material access authorization would afford.
(2) Any Federal employee, employee of a contractor of a Federal agency, licensee, or other person visiting an affected facility for the purpose of conducting official business, who possesses an active NRC or DOE-L access authorization or an equivalent security clearance granted by another Federal agency (" Secret") based on a background investf n' ion
- c. national agency check and credit investigation may be permitted ir accordance with 9 11.11 the same level of unescorted access that an NRC-R special nuclear material access authorization would afford. An NRC or DOE-L access authorization or an equivalent security clearance
(" Secret"), based on a background investigation or national agenqy check, which was granted or being processed by another Federal agency 1
prior to [date final rule is published in the Federal Register) is acceptable to meet this requirement.
4.
Section 11.16 is revised to read as follows:
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f 11.16 Cancellation of request for special nuclear material access authorization.
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5-When a. request. for an individual's access authorization is with-drawn or cancelled - the licensee shall notify the Chief, Personnel-Security Branch, NRC Division of Security issnediately, by telephone, so that the full field investigation:or national agency check and credit investigation may be discontinued. The caller shall provide the full name and date of birth of the individual, the date of request, and the type of access authorization originally requested ("U" or "R").
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The licensee shall promptly submit written confirmation of the telephone-
. notification to the Personnel Security Branch, NRC Division of Security.
A portion of the fee frr the "U" special nuclear material access authori-zation may be refunded depending upon the status of the full field investigation at the time of withdrawal or cancellation.
PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL 5.
The authority citation for Part 25 continues to read as follows:
AUTHORITY: Secs.145,161, 68 Stat. 942, 948, as ainended (42 U.S.C.
I 216'5,2201);sec.201,88 Stat.1242,asamended(42U.S.C.5841);E.0.
10865,asamended,3CFR1959-1963 COMP.,p.398(50U.S.C.401, note);
E.0.12356, 47 FR 14fi74, April 6,1982.
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AppendixAalsoissuedunder95 Stat.1051(31U.S.C.9071).
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For the purposes of sec. 223, 68 Stat. 958 as amended (42 U.S.C.
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2273), il 25.13, 23.17(a), 25.33(b) and (c) are issued under sec.1611, 68 Stat.949,asamended(42U.S.C.2201(1));andil25.13and25.33(b) are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
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e 6.
In i 25.5 the definition of "L" is revised to read as follows:
i 25.5 Definitions.
"L" access authorization means an access authorization granted by the Consission which is norally based on a national agency check and credit (NAC&C) iny'estigation or national agency check, inquiries and credit (NACIC) investigation conducted by the Office of Fersonnel Management.
7.
Section 25.25 is revised to read as follows:
6 25.25 Cancellation of requests for access authorization.
When a request for an individual's access authorization is with-drawn or cancelled, the requester shall notify the NRC Division of Security imediately, by telephone, so that the full field investi-gation or national agency check and credit investigation may be discontinued. The caller shall supply the full name and date of birth of the individual, the date of request, and the type of access authori-zation originally requested ("Q" or "L*).
The telephone notification l
must be promptly confirmed in writing.
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8.
Appendix A is revised to read as follows:
Appendix A - Fees for NRC Access Authorization Category Fee I
Initial "L" Access Authorization............................ $25 1
Reinstatement of "L" ' Access Authorization................... $25 1
Extension or Transfer of "L" Access Authorization........... $25 Initial. "Q" Acces s Authorization............................. $2,127 Initial"Q"AccessAuthorization(expeditedprocessing).......$2,645 2
Reinstatement of "Q" Access Authorization....................$2,127 Reinstatement of "Q" Access Authorization 2
(expeditedprocessing)...................................$2,645 2
Extension or Transfer of "Q"................................ $2,127 2
Exter,sion or Transfer of "Q" (expedited processing)......... $2.645 I If the NRC determines, based on its review of available data, that a full field investigation is necessary, a fee of $2,127 will be assessed prior to the conduct of the investigation.
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Full fee will only be charged if investigation is required.
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PART 95 - SECURITY FACILITY APPROVAL AND SAFEGUARDING:
0F NATIONAL SECURITY INFORMATION AND RESTRICTED DATA 9.'The authority citation for Part 95 continues to read as follows:
AUTHORITY:' Secs. 145, 161, 88 Stat. 942, 948, as amended'(42 U.S.C.
2165,2201);sec.201,88 Stat.1242,asamended(42U.S.C.'5841);E.O.
10665, as amended. 3 CFR 1959-1963 COMP., p. 398 (50 U.S.C. 401,: note):
E.O. 12356, 47 FR 14874, April 6, 1982.
For the purposes of sec. 223, 68 Stat. 958,-as amended (42 U.S.C.
2273);il95,13,95.15(a),95.25,95.27,95.29(b),95.31,95.33,95.35, 95.37, 95.39, 95.41, 95.43, 95.45, 95.47, 95.51, 95.53, and 95.57 are also issued under sec., 1611, 68 Stat. 949, as amended (42 U.S.C. 2201(1)).
10.
In i 95.5 the definition of "L" is revised to read as follows:
5 95.5 Definitions.
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"L" access authorization means an access authorization granted by 1
the Comission which is normally based on a national agency check and credit investigation (NAC&C) or national agency check, inquiries and credit (NACIC) investigation conducted by the Office of Personnel Manage nent.
4 Dated at Rockville, Maryland this 6h day of
, 1989 for the Nuclear Regulatory Comission.
h - Wf ~_-
J s M. Taydr, Acting Executive Director for Operations.
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