ML20148E433
| ML20148E433 | |
| Person / Time | |
|---|---|
| Issue date: | 04/08/1997 |
| From: | Rathbun D NRC OFFICE OF CONGRESSIONAL AFFAIRS (OCA) |
| To: | Inhofe J, Schaefer D HOUSE OF REP., ENERGY & COMMERCE, SENATE, ENVIRONMENT & PUBLIC WORKS |
| References | |
| FRN-61FR40555, FRN-62FR17683, RULE-PR-25, RULE-PR-50, RULE-PR-54, RULE-PR-95 CCS, NUDOCS 9706030097 | |
| Download: ML20148E433 (4) | |
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,-. \ UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 30e06 4001 4***** April 8, 1997
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The Honorable James M. 'chofe, Chairman I
Subcomml; tee on Clean Air, Wetlands, Private
- Property and Nuclear Safety ,
a Committee on Envronment and Public Works l United States Senate j Washington, DC 20510
Dear Mr. Chairman:
l The NRC has sent to the Office of the Federal Register for publication the enclosed amendment i
- to the Commission's rules in 10 CFR Parts 25,50,54 and 95. The amendment conforms NRC j regulations for the protection of classified information at licensee, certificate holder and other j facildies to current national security policies as reflected in the National industrial Security Program Operating Manual and Executive Orders 12958 and 12968.
The Commission is issuing the final rule with an effective date 30 days after publication in the Federal Register. l Sincerely,
,= 75 Dennis K. Rathbun, Director Office of Congressional Affairs Enciosure:
As stated m: Senator Bob Graham t
i ToA'E8"UEYoa 111115111111)l111111R
meg k" UNITED STATES
- NUCLEAR REGULATORY COMMISSION I wAsHmorow, p.c. sumam A*****/ April 8, 1997 The Honorable Dan Schaefer, Chairman Subcommittee on Energy and Power Committee on Commerce United States House of Representatives Washington, DC 20515
Dear Mr. Chairman:
The NRC has sent to the Office of the Federal Register for publication the enclosed amendment to the Commission's rules in 10 CFR Parts 25,50,54 and 95. The amendment conforms NRC regulations for the protection of classified information at licensee, certificate holder and other facilities to current national security policies as reflected in the National Industrial Security Program Operating Manual and Executive Orders 12958 and 12968.
The Commission is issuing the final rule e <ith an effective date 30 days after publication in the Federal Register.
Sincerely, M
Dennis K. Rathbun, Director
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Office of Congressional Affairs '
Enclosure:
As stated cc: Sepresentative Ralph Hall i
y, r p k UNITED STATES g ]
j NUCLEAR REGULATORY COMMISSION WASHINeToM D.C. EsseH001
%,.....f April 8, 1997 The Honorable Al Gore Presiderd of the United States Senate Washington, DC 20510 Dear Mr. President-Pursuant to Subtitle E of the Small Business Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. 801, the Nuclear Regulatory Commission (NRC) is submitting a Anal rule that will amend the Commission's rules in 10 CFR Parts 25,50, 54 and 95 to conform NRC regulations for the protection of classified information at licensee, certificate holder and other facilities to current national secunty policies as reRected in the Natenal industrial Security Program Operatira Manual and Executive Orders 12958 and 12968.
We have determined that this rule is not a " major rule" as defined in 5 U.S.C. 804(2). We have con 6rmed this determinaten with the Office of Management and Budget.
Eresed is a copy of the final rule, which is being transmitted to the Federal Register for pukation. The Regulatory Flexibility Certification is included in the final rule. Also enclosed is a copy of the Reguistory Analysis for this final rule that contains the NRC's cost-benefit determinations. This final rule is scheduled to become effective 30 days after publication in the Federal Register.
Sincerely, Dennis K. Rathbun, Director Office of Congmssional Affairs
Enclosures:
Final Rule Regulatory Analysis 1
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< NUCLEAR REGULATORY COMMISSON 8 waseaworon, o.c. seses.am
- April 8,1997 The Honorable Newt Gingrich Speaker of the United States House of Representatives Washington, DC 20515 osar Mr. Speaker:
Pursuant to Subtitle E of the Small Business Regulatory Enforcement Faimess Act of 1996, 5 U.S.C. 801, the Nuclear Regulatory Commission (NRC) is submittin0 a final rule that will amend the Commission's rules in 10 CFR Parts 25, 50, 54 and 95 to conform NRC regulations for the protection of classified information at licensee, certifcate holder and other facilitees to current national security policies as reflected in the National industrial Security Program Operating Manual and Executive Orders 12958 and 12968.
We have determined that this rule is not a " major rule" as defined in 5 U.S.C. 804(2). We have confirmed this determination with the Office of Management and Budget.
Enclosed is a copy of the final rule, which is being transmitted to the Federal Register for put2 cation. The Regulatory Flexibility Certifcation is included in the final rule. Also enclosed is a copy of the Regulatory Analysis for this final rule that contains the NRC's cost-benefit determinations. This final rule is scheduled to become effective 30 days after publication in the Federal Register, Sincerely, 0
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Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosures:
Final Rule Regulato:y Analysis I
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UNITED STATES 8
{ NUCLEAR REGULATORY COMMISSM)N gAseHMSTog, D.C. asseHem April 8,1997 Mr. Robert P. Murphy General Counsel General Accounting Office Room 7175 441 G St., NW. .
Washington, DC 20548
Dear Mr. Murphy:
Pursuard to Sutditie E of the Small Business Regulatory Enforcement Faimess Act of 1996, 5 U.S.C. 801, the Nuclear Regulatory Commission (NRC) is sub,T,;O,ii a final rule that will amend the Comemasion's rules in 10 CFR Parts 25, 50,54 and 95 to conform NRC regulaticns for the protection of classified information at licensee, certificate holder and other facilities to current national security policies as reflected in the Nationsi industrial Security Program Operating Manual and Executive Orders 12958 and 12968.
We have determined that this rule is not a " major rule" as defined in 5 U.S.C. 804(2). We have confi/med this determination with the Office of Management and Budget.
Enclosed is a copy of the final rule, which is being transmitted to the Federal Register for publication. The Regulatory Flexibility Certification is included in the final rule. Also enclosed is a copy of the Regulatory Analysis for this final rule that contains the NRC's cost-benefd determinations. This final rule is scheduled to become effective 30 days after publicaten in the Federal Register.
Sincerely, h
Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosures:
FinalRule i Regulatory Analysis i l
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REGULATORY ANALYSIS i
- 1. Statement of Problem i
On October 31, 1994, the Deputy Secretary of Defense, acting as the i Executive Agent for the National Industrial Security Program (NISP), ;
approved the NISP Operating Manual (NISPOM) establishing government-wide l requirements for the protection of classified National Security l Infomation and Restricted Data at industrial facilities, including NRC contractors, and, to the extent feasible within regulatory requirements, NRC licensees and certificate holders. On April 17, 1995 and August 2, 1995, the President signed Executive Orders 12958, " Classified National Security Information," and 12968, " Access to Classified Information," !
respectively which revised requirements for handling, protecting and i accessing classified information. The requirements of these new national security policy documents are applicable to licensees, certificate holders, and others regulated by the NRC. The effect of the new Executive Orders an( the NISPOM is that 10 CFR Part 25, " Access Authorization for Licensee Personnel," 10 CFR Part 50, " Domestic Licensing of Production and Utilization Facilities," 10 CFR Part 54, " Requirements for Renewal of Operating Licenses for Nuclear Power Plants," and 10 CFR Part 95,
" Security Facility Approval and Safeguarding of National Security Information and Restricted Data," are no. longer consistent with national security policies and directives.
- 2. Ob.iective 1
The objective of this regulatory initiative is to conform the NRC's l regulations for the protection of classified information at licensee, certificate holder and other NRC regulated facilities possessing or having employees with access to classified information, with national policies for the protection of such information.
- 3. Alternatives There is no reasonable alternative to the revision of these regulations that would achieve the desired result.
- 4. Conseauences There are approximately 10 affected entities licensed or otherwise regulated by the NRC. Each licensee, certificate holder or other entity who requires access to National Security Information or Restricted Data to conduct official business related to an NRC regulated activity must have a facility clearance under the provisions of Part 95 and individuals, other than USEC personnel who are cleared by DOE, who have access to classified
( information must have a access authorization granted to them under Part 25 or, under 550.37 or 154.17(g), "...The Commission shall have determined that permitting such person to have access to Restricted Data will not endanger the common defense and security."
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These entities will be required to comply with the requirements of 10 CFR Parts 25, 50, 54 and 95, which will involve costs to these entities. The costs, however, should be no higher than under the current regulations and are likely to be lower since a number of requirements have been reduced (e.g., lesser requirements for accountability of secret information, reduction of requirements for GSA approved security containers and reduction of administrative requirements for classified visits). These changes will not have an impact on other NRC programs or requirements at these facilities. .
- 5. Decision Rationale The only available method of imposing these requirements on selected licensees and others is to revise 10 CFR Parts 25, 50, 54 and 95. Other avenues would lack the requisite formality and legality necessary to require all affected NRC licensees to adhere to the changes in requirements for the protection of classified information. '
- 6. Implementation
& i The Division of Security intends to publish the final rule amending 10 CFR Parts 25, 50, 54 and 95 by March 31, 1997.
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NUCLEAR REGULATORY COMMISSION ,
10 CFR PARTS 25,.50, 54 AND 95 RIN 3150 AF37 i
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Access to And Protection of Classified Information _'
AGENCY: Nuclear Regulatory Commission. !
l L ACTION: Final rule. .
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SUMMARY
- The Nuclear Regulatory Commission (NRC) is amending its regulations
! to. conform the requirements for the protection of and access to classified ;
information to new national security policy documents. This final rule is ;
i 'l necessary to ensure that classified information in the possession of NRC I licensees and others under the NRC's regulatory requirements is protected in ;
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-'accordance with current national policies. !
EFFECTIVE DATE: (30 days f rom date of publication in the Federal Register)'
Duane G. Kidd, Division of Security, Office FOR FURTHER INFORMATION CONTACT: ,
- of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555- l l 0001, telephone (301) 415-7403 Email DGK@NRC, GOV. l l r
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SUPPLEMENTARY INFORMATION:
1. Background
On August 5,1996 (61 FR 40555), the NRC published a proposed rule in the Federal Register to amend 10 CFR. Parts 25 and 95 pertaining to the protection L of Restricted Data and classified National Security Information at licensee, certificate holder and other facilities. The proposed amendments were .
. intended to conform NRC regulations to new national requirements for the
, protection of and access to classified National Security Information that L
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were revised by the issuance of the National Indus' trial Security Program l l
Operating Manual (NISP0M), Executive Order (E.0.) 12958, " Classified National l
Security Information," dated April 17, 1995, and E.0. 12968, " Access to i Classified Informat-ion," dated August 2, 1995 . The requirements of 10 CFR Parts 25 and 95, and the sections of Phrts 50 and 54 that contain requirements for access to Restricted Data, were substantially based on E.O. 12356, dated i April 6, 1982, which was superseded by E.O. 12958 and supplemented by the NISPOM.
The final rule amends the provisions of 10 CFR Parts 25, 50, 54, and 1 1
95 that deal with requirements for access to and protection of classified ;
l information that have been changed or added by the NISPOM or the Executive Orders with the exception of those requirements related to personnel security clearance for access to Secret Restricted Data. l The proposed rule would have permitted, in SS25.15 and 95.35, access to most Secret Restricted Data, other than that defined as Critical Secret Restricted Data in the N!SPOM and its supplement, with an "L" clearance based on a National Agency Check with lnquiries and Credit Check (NAC]C). The Department of Energy (DOE) objected to this change in their formal comments on i the proposed rule. DOE believes that, pending completion of the Joint DOE /DoD Nuclear Weapons Access Authorization Review Group determination of what constitutes the most sensitive Restricted Data, the subsequent review ci all classification guidance to determine if the guidance contains this type of l
information, and the upgrading of this information to Top Secret. all personnel with access to Secret Restricted Data must have a "0" clearance l based on a Single Scope Background Investigation (SSB]). Given DOE's special statutory authorities in establishing controls for Restricted Data, their i views deserve special consideration. However, because this requirement may 2
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I exceed the requirements of applicable National Policy (i.e., the NISPOM), and l i
result .in additional costs to licensees and certificate holders, the NRC has :
i decided to withdraw the changes to $S25.15 and 95.35 in this final rulemaking L and to republish them separately for additional public comment. This will provide interested parties an equal opportunity to address the issues and l- provide supporting rationale for their recommendations and comments, t
Other aspects of the proposed rule were generally acceptable to all commenters. Those changes included revised and added definitions such as Cognizant Security Agency, Classified National Security Information, Classified Information, Facility Security Clearance, Foreign Ownership, l Control, or influence as well as numerous amendments to reflect the f act that l the NRC may permit another Cognizant Security Agency (DOE, DoD, or CIA) to assume some or all of the security oversight functions at an NRC facility under the requirements of 10 CFR Parts 25 and/or 95 when that agency also has a significant security interest at the facility (SS25.13, 25.17., 25.19, 25.21, 25.23, 25.25, 25.27, 25.29, 25.33, 95.~17, 95.18, 95.19, 95.25, 05.27, 95.29, 1 1
95.31, 95.33, 95.37, 95.39, 95.43, 95.47, 95.49, 95.51, 95.53, 95.57 and j
95.59). The final rule addresses the intent of E.0.12829 .
" National Industrial Security Program, to reduch wasteful and inef ficient duplicative i
oversight of private facilities which have classified interests from more than one government agency.
The final rule also adopts new requirements in areas where the .
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' Executive Orders or the NISPOM, mandate specific requirements not included in i L t'he previous versions of the rules. These new requirements include:
-I Requiring that key management personnel have access authorizations as i well as those employees with access to classified information (SS95.17 and ,
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. l Permitting reinstatement of an access authorization up to 24 months after termination instead of the previous 6 months (S25.29): l l Permitting facility security officers to issue visit authorization letters directly rather than processing authorization r'equests through the NRC l l
Division of Security (S25.35):
Requiring a finding that a facility is not under foreign ownership, control or influence (S995.15 and 95.17):
Requiring facility security officers to have specific training related to their position (595.33): !
Permitting the use of reinforced steel filing cabinets with lockbars and key locks for classified information (provided appropriate supplemental protection is in place during non-working hours) (595.25):
Changing the security classification markings to conform to E.O.12958 (595.37);
l Reducing the accountability requirements for Secret documents (S95.41):
Defining procedures for challenging classification decisions that one believes to be in error (S95.37);
Allowing for additional methods of transmitting classified information (595.39):
Changing 10 CFR Parts 50 and 54 to refer to current procedures in 10 CFR
- Parts 25 and/or 95 for access to classified information (5550.37 and 54.17)
and L Imposing fewer limitations on a facility's authority to reproduce classified information when operationally necessary (S95.43).
II. Comments on the Proposed Rule The Commission received two letters commenting on the proposed rule, one 4
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j from Georgia Power Company and one from the DOE. Copies of the letters are available for public inspection and copying for a fee at the Commission's Public Document Room, located at 2120 L Street, NW. (Lower Level), Washington, l
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DC. Both comments support the rulemaking, but provide recommendations for I clarifications and improvements. The Georgia Power Company recommends that the NRC:
1 (1) Provide a procedure for the designation of the Cognizant Security l
Agency (CSA) for a facility: )
(2) Address the Commission's role in ensuring compliance with the rules of other CSA's:
(3) Reconcile Restricted Data requirements in 10 CFR Parts 50 and 54 of )
the Commission's regulations with the proposed changes to 10 CFR Parts 25 and 95: and.
(4) Define when a facility clearance from the Commissior, is required.
The DOE recommends that the NRC:
(1) Use either " access authorization" throughout the rule or indicate that " personnel security clearance" is a synonym for
- access authorization;"
(2) Eliminate the use of the term " Critical Secret Restricted Data" and l
l require all Secret Restricted Data to be protected at the level required by the February 1995 NISPOM Supplement; (3) Clarify the definition of " access authorization" in $25.5:
i (4) Clarify the requirements for review of the SF-86 in S25.17(e):
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(5) Clarify the scope of information to be protected in S95.3:
(6) Change the term " survey" to " review" in S95.17(a)(2);
(7) Clarify the level of access authorization required for senior management in S95.18; (8) Raise the level of protection for Secret Restricted Data in S95.25 5
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to the requirements of the NISP0M Supplement; (9) Eliminate the requirements in $95.25(c)(2)(v) to change security container combinations once every 12 months which exceeds the NISPOM requirements; (10) Require that documents indicating " multiple sources" as the basis for classification have those sources identified on the record copy of the ,
l document; and, (11) Require that " person" not be referred to as able to possess a facility clearance in $95.57.
Comments From Georgia Power:
Comment: The commenter stated that "...the proposed rule does not explain which of these agencies is the appropriate CSA in a given situation or i
! for a given facility, or who makes that determination. Conceivably, more than one of the agencies could be the CSA." Georgia Power recommended that the final rule include a more precise definition of CSA or a procedure for designating a CSA in a given situation.
l Response: The definition of a CSA in 10 CFR Parts 25 and 95 has been changed to reflect that the CSA is the agency that exercises primary authority l
for the protection of the classified information at the facility and is the l
l agency with which the facility interacts in these matters. The NRC agreement with the DoD and DOE implementing the National Industrial Security Program clearly indicates that one agency, the one with the greater security interest as determined between the agencies, would serve as the CSA and would be the agent of the other for matters relating to the protection of classified information. The f acility would normally deal directly with the CSA on all issues related to the protection of classified information at that facility
, and the CSA would inform the other agency of issues related to its security 6
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'Commenti With respect to the issue of the Commission's role of ensurir.g l
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compliance'with the' rules of other CSAs, the commenter's concern was "...how
' the Commission will be notified regarding access authorizations' requested from i another agency. Does an NRC licensee have an obligation to notify the l
! Commission if it applies ~to another CSA for an access authorization?" l j
Response: Section 25.17 has been revised to require a facility, with a i l
CSA other than NRC, to advise the NRC when it submits an individual for an !
l access authorization for access to NRC classified information. The NRC does 1 i
not need to be notified when the facility submits 6ccess authorization requests for access to classified information of the other agency, in keeping with the comment that- the process should be simple, the change merely requires l
l a' letter of request for access to NRC classified information. The NRC must be i
involved.when access to NRC classified information is requested since 'the NRC L
must make.the need to-know determination. The NRC will handle any necessary l
coordination between itself and the CSA.
Comment: The commenter noted an apparent conflict between SS50.37 and 1
54.17(g) and other Commission regulations, i Response: The NRC has revised those paragraphs to resolve the conflict l
'The NRC has clarified that' compliance with 10 CFR Parts 25 and/or 95 satisfies
! the requirements of S$50.37 and 5< 17(g) as they relate to the protection of l l
classified information. !
Comment: The commenter 'odicated that $95.15 was unclear on whether a 1
'f acility clearance was required unour certain circumstances f or licensee ;
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! activities at other'focilities. Specifically, the commenter stated. "As i
- revised by the proposed rule. it is unclear whether 10 CFR 95.15 requires an 7
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NRC licensee to obtain a facility clearance f rom the Commission in order for employees of that licensee to 'use' or ' handle' classified information which is located at a completely different f acility, including facilities subject to the oversight of another agency. For example, does 10 CFR 95.15 require a f acility clearance f rom the Commission in order for employees of an NRC licensed f acility to use or handle classified information which is maintained at a DOE facility? Conversely, does 10 CFR 95.15 require the NRC to clear the non NRC licensed facility? Although it does not appear to be the Commission's intent to require a f acility clearance in either situation, an af firmative statement in this regard would assist in the implementation of the ruls."
Response: Section 95.i5 has been modified to clarify that an NRC facility clearance is only required for the use or possession of NRC classified information at the facility. A licensee or other facility whose personnel are cleared by another agency for access to that agency's information at another facility, does not require a facility clearance under
$95.15. nor would NRC clear the other f acility. However, it should be clear that if a licensee or other facility has a facility clearance for NRC j 1
classified information and they wish another facility (e.g., one of their contractors), to have access to the NRC classified information at their (the contractor's) facility, that contractor would require an NRC facility clearance.
Comments from DOE: l Comment: DOE had two comments relating to " access authorization" l
(1) While " access authorization" was the commonly used term..."The l l
introduction to the proposed rule references ' personnel security clearance' i
and some of the language in the text contains variations. such as ' personnel )
access authorization *, A common term should be used throughout. or the fact 8 i l
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that a personnel security clearance is a synonym for access authorization 1
established."
(2) "The definition for 'cccess authorization' is confusing, stating that it means an individual is eligible for " security clearance for access to classified information."
( Response: The term " personnel security clearance" in the Supplementary section of the final rule, which is an explanatory section rather than a portion of the rule, has been changed to " access authorization." The other changes have not been adopted since this is a recommendation for l' 'ditorial change and, in each case where the terms are used the meaning is clear. The definition of " access authorization" has been used within the NRC industrial security ' program since the early 1980's, including at sites with joint DOE security interests, and within the NRC internal program since the inception of the agency, without confusion. The only change to the definition in this rule is to include certificate holders within its scope.
Comment: The commenter noted that the proposed rule contains the term
" Critical Restricted Data." They state that this term has not been adopted by l
any agency and that the level of protection for Secret Restricted Data was not adequate. Specifically the commenter stated, "The draft regulation uses the term ' Critical Secret Restricted Data.' This term has not be (sic) implemented by any agency. A review group was formed to review this issue and has decided not t.o use this term. Instead, information will be appropriately upgraded to Top Secret. it is strongly recommended that NRC not use the term i
" Critical Secret Restricted Data" in this regulation. Instead we suggest that all Secret Restricted Data continue to be protected at the NISp0M supplement level until the critical information has been upgraded to Top Secret." The commenter further states *The storage requirements for Secret contained in 9
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'this(sic)' sections are not consistent with the storage requirements for Secret
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l Restricted Data in the'NISPOM supplement." )
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l Response: Because of. DOE's statutory responsibilities for the protection -;.
of Restricted Data, the potential economic impact on licensees and certificate l
holders and possible discrepancies with the requirements of. the NISPOM, NRC is i I
withdrawing the changes to SS25.15 and 95.35 which deal' with the level of j clearance / type of background investigation recisired for access to Secret Restricted Data and will republish those changes separately for public comment. Additionally, although' the term " Critical Secret Restricted : Data" is l defined in and the security requirements for it are specified in Chapter 9, i
! " Restricted Data," of the NISPOM Supplement, dated February 1995, the l:
j' Supplement also indicates that a Joint DOE /DoD Nuclear Weapons Access l
l Authorization Group is reviewing this issue and that there are ongoing efforts by .the DOE. and DoD to revise the requirements reflected iro the Supplement. l i
Because that group has decided not to use the term " Critical Restricted Data " l 1
it has been removed from.695.31(b) and a description of the information it was l intended to protect has been substituted. However, because the level of j
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physical protection required for Secret Restricted Data in the ' proposed rule
-is essentially the same as the requirements of the current, long standing Part 95, and those requirements appear to meet the requirements of the NISP0M. it is difficult for the .NRC to justify increasing its physical security requirements for all Secret Restricted Data, at increased financial and ;
administrative burden-to licensees and certificate holders at this time.
- However, if new policies for Restricted Data are approved and issued the NRC.
l at that time, will consider revising its regulations to reflect the new i policies.
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Comment: The commenter questioned whether $25.17(e) requires a f
y licensee / contractor to review Part 2 of the SF-86..
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I Response: It is not the intent of-this section that personnel at a l
, s licensee, certificate holder, or other facility review Part 2 of the SF-86, j nor has it been NRC practice that'this occur. The NRC's instructions for- l l )
completing the SF-86 explicitly state that Part. 2 of the SF-86 is to be placed !
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in a sealed envelope by the individual completing the form and that the l envelope is to be forwarded to the NRC unopened. Section 25.17(d)(1)(i) has j been clarified to ensure that these requirements are clear.
Comment: The commenter is concerned that $95 3 does not include
! Formerly Restricted Data.
Response: While Formerly Restricted Data (FRD), information related j primarily to the military use of atomic weapons, is rare in the NRC program, l'
the-NRC agrees that its regulations should clearly address all . forms of -
classified.Information. Section 95.3 has been revised accordingly.
l Comment: The commenter is concerned that'the term
- security survey" is used in 10 CFR Part' .95. instead of the NISPOM term " security review."
i 1 Response: The term " survey" in SS95.17(a')(2) and 95.59 has been changed L to " review."
Comment: The commenter is concerned that $95.18 is not sufficiently ;
I clear about the level of access authorizations required for senior management, j l Specifically, the commenter states, "$enior management cannot be cleared to l-the " level of the f acility" by NRC, as NRC can only grant "0" and "L" access I
authorizations, and facilities are classified as Secret Top Secret, etc.
i Perhaps -senior management could be cleared to a level commensurate with that :
i of the facility clearance."
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Response: Section 95.18 has been revised to reflect that senior i management will be cl' eared to a level commensurate with that of the facility clearance.
Comment: The commenter is concerned that the requirement to change .
l security container combinations once every 12 months exceeds the requirements !
'ofIthe NISPOM.
l Response: Section 95,25(c)(2)(v) has been deleted, eliminating this ,
requirement.. ;
t Comment: The commenter is concerned that documents classified from !
l multiple sources will not have an adequate record of what those sources were. ;
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Specifically, the commenter states, "Suggest a sentence be added to indicate ;
I thatlon a document marked ' multiple sources' that the multiple sources must be- l identified in the records copy of the. document." f Response: The suggested revision is already containeo in 595.37(c)(1)(iv),
l Comment: The commenter is concerned about the use of the term "per son" ,
l in association with a facility clearance and that the definition of facility ;
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clearance should be more detailed. l Response:;11isclearfromthedefinitions'andthecontextthatany po'skessor of a f acility clearance 'is obligated to immediately report certain ;
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-types of information. The definition " facility (security) clearance" is a verbatim extract from the NISPOM and the definition of " person" used in Part ,
l-95 is similarly defined throughout 10 CFR and has been used for many years !
! without : confusion as to its meaning. ;
j 1)). The Final Rule i.
!- With the exception of the items addressed under " Comments on the
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Proposed Rule" and a slight change to the definition of " Visit Authorization j l Letter" in 525.5, the final rule is the same as the proposed rule. The specific ch'anges from the' proposed rule are--
The proposed revisions to.SS25.15 and 95.35 have been withdrawn; The definition of "CSA" in 10 CFR Parts 25 and 95 has been revised to j L. reflect that the CSA is the agency' which exercises primary authority for the j l protection of the classified information at the facility and is the agency 1 with which the facility interacts in these matters; l l
The definition of " Visit Authorization Letter" in S25.5 has been revised
[
to ' clarify that such a letter is only required for inf ormation specifically r
related to the licensei certificate, or other NRC program at the facility; f l
Section 25.17 has been amended to require a facility,,with a CSA.Other :
I
! than NRC, to advise the-NRC when it submits on individual for an access i authorization for access to NRC classified infornation, but not when the l
L facility submits access authorization requests for access to the classified s
information of the.other agency; i Section 95.31(b) has been revised to delete the term " Critical Secret l.
Restricted Data" and replace it with a generic description of the type of data j it was intended to protect;
! Section 25.17(d)(l')(i) has been modified to clarify that facility security personnel are not to review Part 2 of the SF 86; i
Sections 50.37 and 54.17(g) have been amended to clarify that Compliance with 10 CFR Parts 25 and/or 95 satisfies the requirements of 10 CFR Parts 50
.and 54; Section 95.3 has been modified to include Formerly Restricted Data within its scope; Section 95.15 has been modified to clarify that an NRC facility l
! 13 l
l
i clearance is only required for the use or possession of NRC classified information at the facility; l
Sections' 95.17(a)(2) and 95.59 have been revised to change " survey" to
" review";
Section 95.1B has been revised to reflect that senior management will be cleared to a level commensurate with the f acility clearance rather than "to the level of" the f acility clearance; and, ,
! Section 95.25 has been revised to eliminate the requirement for changing security container combinations once every twelve months.
Small Business Regulatory Enforcement Fairness Act in accordance with the Small Business Regulatory Enf orcement Fairness
'Act of 1996. the NRC has determined that this action is not a major rule and has verified this determination with the Office c, Information and Regulatory Affairs of OMB.
1 Environmental Impact: Categorical Exclusion l l
The NRC has determined that this final rule is the type of action i
described in categorical exclusion 10 CFR 51.22(c)(2). Therefore. neither an i
environmental impact statement nor an environmental assessment has been prepared for this final rule.
s 14 j I
i l
l Paperwork Reduction Act Statement This final rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.). )
l These requirements were approved by the Office of Management and Budget, 1
approval numbers 3150-0046, 3150-0047, and 3150-0050. . ,
1 The public reporting burden for this collection of information is I estimated to average .5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br /> per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the l
data needed, and completing and reviewing the collection of information. ;
i l
Send comments on any aspect of this collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T-6 F33), U.S. Nuclear Regulatory Commission, Washington, DC 20555 0001, or by Internet electronic mail at BJSl@NRC. GOV; and to the Desk l Of ficer, Office of Information and Regulatory Af f airs, NE08-10202, (3150-0046
-0047 and -00501, Office of Management and Budget, Washington, DC 20503.
Public Protection Notification The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
Regulatory Analysis .
The Commission has prepared a regulatory analysis f or this final regul ati on. The analysis examines the costs and benefits of the alternatives considered by the Commission. Interested persons may examine a copy of the regul atory analysis at the NRC Public Document Room, 2120 L Street, NW.
15
[
l
_. _ _ _ . ~ . _ _ .
l .
l
- i
)
l !
i (Lower Level), Washington, DC. Single copies of the analysis may be obtained from Duane G. Kidd, Division of Security, Of fice of Administration, U. S.
j Nuclear Regulatory Commission, Washington, DC 20555 0001, telephone (301) 415- l t
7403. i Regulatory Flexibility Certification j t i
! As required by the Regulatory Flexibility Act of 1980 (5 U.S.C. 605(b)),
1 the Commission certifies that this rule does not have a significant economic l impact upon a substantiel number of small entities. The NRC carefully considered the effect on small entities in developing this final rule on the protection of classified information and has determined that none of the I
f acilities affected by this rule would qualify as a small entity under the
[
NRC's size standards (10 CFR 2.810).
l l
Backfit Analysis l
l The NRC has determined that the backfit rule,10 CFR 50.109, applies to l
l this rulemaking initiative because it f alls within the criteria of 10 CFR Part 50.109(a)(1), but that a backfit analysis is not required because this rulemaking qualifies for exemption under 10 CFR 50.109(a)(4)(iii) that reads "That the regulatory action involves . . . redefining what level of protection l to the . .
. common defense and security should be regarded as adequate."
i l
l l
List of Subjects l 10 CFR Part 25 i
t Classified information, Criminal penalties. Investigations, Reporting i I
and recordkeeping requirements. Security measures.
- 16 l
10 CFR Part 50 Antitrust, Classified information, Criminal penalties Fire protection, ;
Intergovernmental relations, Nuclear power plants and reactors, Radiation protection, Reactor siting criteria, Reporting and recordkeeping requirements 10 CFR Part 54 l Administrative practice and procedure, Aging management review, Backfitting, Classified information, Criminal penalties, Nuclear power plants and reactors, Reporting and recordkeeping requirements l
l
! 30 CFR Part 95 l
l Classified information, Criminal penalties. Reporting and recordkeeping requirements, Security measures, i
l For the reasons set out in the preamble and under the authority of the l
l Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, l
! as amended, and 5 U.S.C. 552 and 553, the NRC is adopting the f ollowing amendments to 10 CFR Parts 25, 50, 54 and 95.
l ,
l l
l PART 25 -- ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL
- 1. The authority citation for Part 25 is revised to read as follows:
AUTHORITY: Sets. 145, 161, 68 Stat. 942, 948, as amended (42 U.S.C.
2165, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5641); E.0.
- l. 10865, as amended. 3 CFR 1959 - 1963 COMP., p. 398 (50 U.S.C. 401, note):
E.O. 12829, 3 CFR, 1993 Comp., p. 570: E.0, 12958, 3 CFR, 1995 Comp., p.333:
E.0. 12968, 3 CFR, 1995 Comp., p.396.
17 i
t
-. - . - - _ - - - . - - - . - . . . ~ ~ .
l~
+
1 .
l Appendix A also issued under 96 Stat. 1051 (31'U.S.C. 9701). :
i i -
b
- 2. Section 25.1 -is revised to read as followsi .
! 6 25.1 Purcose.
l The regulations in this part establish precedures for granting, '
reinstating, extending, transferring, and tceminating access authorizati;ns l 1
of licensee personnel, licensee, contractors or agents, and other persons (e.g.. ' individuals involved in adjudicatory procedures as set f orth in 10 CFR Part 2, subpart 1) who may require access to classified information. ,
l
- 3. .Section 25.3 is revised to read as follows:
6 25.3 Scoce.
- . The regulations
- in this part. apply to licensees and others who may
~
require access to classified information related to a license or an application for a license.
- 4. Section 25.5 is amended by revising the definitions Access aut horirat ion and Need-to know and by adding the definitions of Certificate h ol d e r , Clatrified information, Classified National Security information, Cnenizant Sacuritv Acency, and Visit a ut hori zat i on letters in alphabetical order to read as follows: I 6 25:5' Definitions.
Arcett authnrization means an administrative determination that an indivicual (including a consultant) who is employed by or an applicant for I
employment with the NRC, hRC . contractors, agents, licensees and certificate l holders, or other person designated by the Executive Director for i
18 l
- n --ng ~
4-- -y y
__.m...._ , _ _ _ . . . _ . . _ _ __ _ _.. _ _ _ .-. _ _ _ _ _ _ . . _ . _ _ ,
/* ..
l i
L Operations, is eligible for a security clearance for access to classified '
l- . 5 L
.information.
t Certi fi cat e- hol der means'a facility operating under the provisions of Parts 71 or 76 of this chapter.
Classified information means either classified National Security information. Restricted Data, or Forrrierly Restricted Data or any one of l l them. It is the generic term for information requiring protection in the interest of National.Secur;ity whether classified under an Executive Order or-the Atomic l Energy'Act.
Classified National Security Information means information that has l 3 been determined pursuant.to.E.O. 12958 or any predecessor order to require '
l.
protection against unauthorized disclosure and that is so designated. ,
- 1
-Coonizant Security Aaency (CSA) means agencies of the Executive. Branch !
I I
l 'that have been authorized by E.O.12829 to establish an industrial security !
l .
l program for the purpose of safeguarding classified information under the
- jurisdiction of those agencies when disclosed or released to U.S. industry.
These agencies.are the Department of Defense, the Department of Energy, the Central intelligence Agency, and' the Nuclear Regulatory Commission. A facility has a single CSA which exercises primary authority for the protection of classified information at the facility. The CSA for the j facility provides security representation for other government agencies with I
security interests at the facility. The Secretary of Defense has been designated as Executive Agent for the National Industri.al Security Program.
Need-to-know means a determination made by an authorize.d holder of classified information that a prospective recipient requires access to 19 ,
+ , , . . --
1 .
specific classified information to perform or assist in a lawful and authorized governmental function under the cognizance of the Commission.
Visit authorization letters (VAL) means a letter, generated by a licensee, certificate holder or other organization under the requirements of 10 CFR Parts 25 and/or 95, verifying the need-to know and access authorization of an individual from that organization who needs to visit another authorized f acility for the purpose of exchanging or acquiring classified information related to the license.
- 5. In S 25.8 paragraphs (a) and (b) are revised to read as follows:
9 25.8 information collection reauirements: OMB accroval.
(a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management-and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or sponsor and a person is not requiredf to respond to a collection of information unless it displays a currently valid OMB control number.. OMB has approved the information collection requirements contained in this part under control number 3150.-
0046.
(b) The approved information collection requirements contained in this part appear in SS 25.11. 25.17, 25.21, 25.23, 25.25, 25.27, 25.29, 25.31, 25.33, ar.d 25.35.-
( 6. In 525.13. paragraph (a) is revised to read as follows:
l' L
}
20
S ?5.13 Maintenance of records.
(a) Each licensee or organization employing individuals approved for personnel security access authorization under this part, shall maintain records as prescribed within the part. These records are subject to review and inspection by CSA representatives during security reviews.
- 7. Section 25.17 is revised to read as f ollows:
S 25.17 Accroval for processino aoolicants for access authorization.
(a) Access authorizations must be requested for licensee employees or other persons (e.g., 10 CFR Part 2, subpart 1) who need access to classified information in connection with activities under 10 CFR parts 50. 52, 54, 70.
72, or 76.
(b) The request must be submitted to the facility CSA. If the NRC is the CSA, the procedures in $25.17(c) and (d) will be f ollowed, 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.
(c) The request must include a completed personnel security packet (see $ 25.17(d)) and request form (NRC Form 237) signed by a licensee, licensee contractor official, or other authorized person.
(d)(1) Each personnel security packet submitted must include the following completed forms:
(i) Questionnaire for National Security Positions (SF 86, Parts 1
- and 2) (Part 2 is to be completed by the applicant and placed in a sealed envelope which is to be forwarded to NRC unopened. No licensee, licensee 21 l
contractor official, or other person at a facility is permitted to review Part 2 information);
(ii) Two standard fingerprint cards (FD - 258);
(iii) Security Acknowledgment (NRC Form 176); and (iv) Other related forms where specified in accompanying instructions (NRC Form 254).
(2) Only a Security Acknowledgment (NRC Form 176) need be completed by any person possessing an active access authorization, or who is being processed for an access authorization, by another Federal agency. The active or pending access authorization must be at an equivalent level to that required by the NRC and be based on an adequate investigation not more than five years old.
(e) To avoid delays in processing requests for access authorizations, each security packet should be reviewed for completeness and correctness I
I (including legibility of response on the forms) before submittal.
(f) Applications for access authorization or access authorization renewal processing that are submitted to the NRC for processing must be accompanied by a check or money order, payable to the United States Nuclear Regulatory Commission, representing the current cost for the processing of each 'O and L** access authorization, or renewal request. Access authorization and access authorization renewal fees will be published each time the Office of Personnel Management notifies the NRC of a change in the rates it charges the NRC for the conduct of investigations. Any changed access authorization or access authorization renewal fees will be applicable l
to each access authorization or access authorization renewal request l
received upon or after the date of publication. Applications f rom individuals having current federal access authorizations may be processed 22 l
l l
l l
i . -
l 1
L j more expeditiously and at less cost, since the ~ Commission may accept the certification of access authorization and investigative data from other ,
i l Federal Government agencies that grant personnel access authorizations. )
i l -
- 8. Section 25.19 is revised to read as follows: l
?
6 25.19 processino acolications.
v .
Each application for access authorization or access authorization'
[
- f. renewal must-be submitted to the CSA. If the NRC is the CSA, the ;
application'and its accompanying fee mqst be submitted to the NRC Division [
l l of Security. If necessary,'the NRC Division of Security may obtain approval j l !
from the. appropriate Commission office exercising licensing or regulatory i authority before procersing the access authorization or access authorization j
- t. .
if the applicant is disapproved for processing, the NRC l renewal request, l l Division of Security shall notify the submitter in writing and return the original application (security packet) and its accompanying fee.
4 l
l'
- 9. Section 25.21 is revised to read as follows:
? 25.21' Determination of initial and continued elicibilit y for access
~
i authorization.
4 l
(a) Following receipt by the CSA of the reports of the personnel l ~ security investigations, the record will be reviewed to determine that granting an access-authorization or renewal of access authorization will not endanger-the common defense and security and is clearly consistent with the n'ational interest. If this determination is made, access authorization will j be granted or renewed, if the NRC is the CSA, questions as to initial or continued eligibility will be determined in accordance with Part 10 of i-
- i. Chapter 1. If another agency is the CSA, that agency will, under the
! l
!- 23 i I
l requirements of the NISP0M, have established procedures at the f acility to l resolve questions as to initial or continued eligibility for access authorization. These questions will be determined in accordance with established CSA procedures already in effect for the facility.
(b) 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 marry subsequent to the l
completion of a personnel security packet must report this change by submitting a completed NRC Form 354, Data Report on Spouse or equiva'ent CSA form).
(c)(1) Except as provided in paragraph (c)(2) of this section, NRC "0" and "L" access authorizations must be renewed every five years f rom the i
date of issuance. An application far renewal must be submitted at least 120 days bef ore the expiration o' the five year period, and must include:
(i) A statement b e licensee or other person that the individual continues to require access to classified National Security Information or j Restricted Data: and (ii) A personnel security packet as described in S25.17(d).
(2) Renewal applications and the required paperwork are not required for individuals who have a current and active access authorization f rom another Federal agency and who are subject to a reinvestigation program by 1
that agency that is determined by the NRC to meet the NRC's requirements.
(The DOE Reinvestigation Program has been determined to meet the NRC's requirements). For these individuals, the submission of the SF-86 by the licensee or other person to the other government agency pursuant to their l
reinvestigation requirements will satisfy the NRC renewal submission and t
l paperwork requirements, even if less than five years has passed since the i 24 l
l l
..
- j i
i date of issuance or renewal of the NRC "0" or "L" access authorization. Any !
i NRC access authorization continued in response to the provisions of this-paragraph will, thereafter, not be due for renewal until the date set by the l other government agency for the next reinvestigation of the individual pursuant to the other agency's reinvestigation program, However, the period !
of time for the initial and each subsequent NRC "0" or NRC "L" renewal- ;
application to the NRC may not exceed seven years. Any individual who is e subject to the reinvestigation program requirements of another Federal agency but, for administrative or other reasons, 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 S 25.17(d) before the expiration of the seven year period. ,
! (3) If the NRC is not the CSA, reinvestigation program procedures and ;
l requirements will be set by the CSA. ]
l i L .
- 10. Section 25.23 is revised to read as f ollows: ,
l 6 26.23 Notificat ion of orant of access authorization.
The determination to grant or renew access authorization will be i
furnished in writing to the licensee or organization that initiated the i
I request. Upon' receipt of the notification of original grant of access l
l- authorization, the licensee or organization shall obtain. as a condition for grant of access authorization and access to classified information, an executed " Classified Information Nondisclosure Agreement" (SF-312) from the affected individual. The SF 312 is an agreement between the United States and an individual who is cledred for access to classified .information. An !
! employee issued an initial access authorization shall execute a SF.312 l before being granted access to classified information. The licensee or other
! 25
I organizatibn shall forward the executed SF-312 to the CSA for retention. If I
i 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
- f. employee and witnessed. The employee's and witness' signatures must bear the same date. The individual shall also be given a' security orientation briefing in accordaace with 595.33 of this chapter. Records of access l
1.
[
authorization grant and renewal notification must be maintained by'the licensee or other organization for three years af ter the access authorization has been terminated by the CSA. This information may also be furnished to other representatives of the Commission, to licensees, contractors, or other Federal agencies. Notifications of access l
nthorization will not be given in writing to the affected individual
! 'except:
(a) In those cases in which the determination was made as a result of a Personnel Security Hearing or by Personnel Security Review Examiners; or (b) When the individual also is the official designated by the licensee or other organization to whom written NRC notifications are
' forwarded.
- 11. Section 25.25 is revised to read as follows:
S 26.25 Cancellatinn of recuest s f or access authoritation.
When a request f or an individdal's access authorization or renewal of access authorization is withdrawn or canceled, the requestor shall notify l
the 'CSA 'immediately by telephone so that the full field investigation,
- National Agency Check with Credit Investigation, or other personnel security
' action may be discontinued. The requestor shall identify the full name and i
l 26
.- . - ~ . - . . - ~ . . . . . . . - - . . - . -
- . i
- l. i date of birth of the individual, the date of request, and the type of access l l i r- e authorization or access authorization renewal requested. The requestor !
shall confirm each telephone notification promptly in writing. !
L!
i
- 12. Section 25,27 is revised to read as follows:
l 6 25.27 Recoenino of cases in which reauests for access authorizations are r
~
canceled. !
! (a) In conjunction with a new request for access authorization (NRC i
Form 237 or CSA equivalent) for individuals whose cases were previously ;
canceled, r.ew fingerprint cards (FD - 257) in duplicate and a new Security Acknowledgnelt (NRC f orm 176), or CSA equivalents, must be furnished to the .t
? f CSA.along with the request.
'(b) Additionally. if 90 days or more have elapsed since the date of t
the last Ouestionnaire for Sensitive Positions (SF - 86), or CSA equivalent, j i
the individual must complete a personnel security packet (see S25.17(d)). i The CSA, based on investigative or other needs, may require a complete i personnel security packet in other cases as well . A fee, equal to the i amount paid for an initial request, will be charged only if a new or updating investigation by the NRC is required.
- 13. Section 25.29 is revised to read as follows:
6 25.29 Reinstat ement of access authorization.
(a) An access authorization can be reinstated provided that:
(1) No more than 24 months has lapsed since the date of termination of the. clearance; (2) There has been no break in employment with the employer since the date of termination 'of the clearance; i
l 27
JhB J+umm AA ,.e3.
- . l i .
1 (3) There is no known adverse information:
(4) The most recent investigation must not exceed 5 years (Top Secret, ;
- 0) or 10 years (Secret, L); and i 4 (5) The most recent investigation must meet or exceed the scope of the ;
investigation required for the level of access authorization that is to be reinstated or granted.
(b) An access authorization can be reinstated at the same, or lower, l J
L - level .by submission. of. a CSA-designated form to the CSA. The employee may .
)
l
' not have access to classified information until receipt of written .
i confirmation of reinstatement and an up-to-date personnel security packet !
l <
l will be furnished with.the request for reinstatement of an access ;
1
! authorization. A new Security Acknowledgment will be obtained in all cases. ;
Where personnel security packets are not required,' a request f or
- l. 4
! reinstatement must state the level of access authorization to be reinstated i
( and the full name and date of birth of the individual to establish positive ;
, identification. A fee equal to the amount paid for an initial request, will be charged only.if a new or updating investigation by the NRC is required. ;
14 In S25.31, paragraphs (a) and (c) are revised to read as follows:
i
, 4 25.31 Dtensions and transfers of access authorizations. )
o-
~(a) The NRC Division of Security may, on request, extend the l authorization of an individual who possesses an access authorization in !
I connection with a particular employer or activity, to permit access to l
l classified information in connection with an assignment with another j i employer or activity.
.i * * * * *
. 28
l(c). 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 Security, may require a new l
. personnel security packet -(see 6 25.17(c)) to be completed by the applicant.
A fee, equal to the amount paid for an initial request, will be charged only f- .if.a new or updating investigation by the NRC is required.
s * * *
- l.
i
! 15. .Section 25.33 is revised to read as follows:
l l-S 25.33 Termination of access authorizations.
(a) Access authorizations will be terminated when:
i' (1) Access authorization is no longer required:
.(2) An individual is separated f rom the employment or the activity for which he obtained an access authorization for a period of 90 days or more; or (3) An individual, pursuant to 10 CFR part 10 or other CSA approved adjudicatory standards, is no longer eligible for access authorizatio'n.
~
t (b) A representative of the licensee or other organization that employs the individual whose access authorization will be terminated shall immediately notify the CSA when the circumstances noted in paragraph (a)(1) or (a)(2) of.this section exist; inform the individual that his access authorization is being terminated, and the reason; and that he will 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 security termination briefing of the individual involved, explain the Security Termination l;
. Statement (NRC form 136 or CSA approved form) and have the individual ,
l 29 I
\
- i. j J
=
complete the form. The representative shall promptly forward the original copy of the completed Security Termination Statement to CSA.
- 16. Section 25.35 is revised to read as follows:
6 25.35 Classified visits.
(a) The number of classified visits must be held to a minimum. The licensee, certificate holder, or other f acility shall determine that the
- visit is necessary and that the purpose of the visit cannot be achieved 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 furnished by telephone and confirmed in writing.
(b) Representatives of the Federal Government, when acting in theii official capacities as inspectors, investigators, or auditors, may visit a licensee, certificate holder or other's f acility without furnishing advanced notification., provided these representatives present appropriate government l
credential s upon arrival . Normally, however, Federal representatives will provide advance notification in the form of an NRC form 277, " Request for Visit or Access Approval," with the "need-to know" certified by the appropriate NRC of fice exercising licensing or regulatory authority and verification of NRC access authorization by the Division of Security.
(c) The licensee, certificate holder, or others shall include the following information in all Visit Authorization Letters (VAL) which they i
l prepare.
(1) Visitor *L name, address, and telephone number anc certification of the level of the f acility security clearance; (2) Name, date and place of birth, and citizenship of the individual 30
+
l l intending to visit:
(3) Certification of the proposed visitor's personnel clearance and any special access authorizations required for the visit:
(4) Name of person (s) to be visited:
(5) Purpose and sufficient justification for the visit to allow for a
. determination of the necessity of the visit and
'(6) Date or' period during which the VAL is to be valid.
(d) Classified visits may be arranged for a 12 month period. The requesting f acility shall notify all places honoring these visit ,
arrangements of any ch-ange in the individual's status that will cause the visit request to be canceled before its normal termination date.
(e) The responsibility for determining need-to-know in connection with 1
! a classified visit rests with the individual who will disclose classified information during the visit. The licensee, certificate holder or other facility shall establish procedures to ensure positive identification of l visitors before the disclosure of any classified information.
PART 50 -- DOMESTlc LICENSING OF PRODUCTION AND UTIL12AT10N FACIL]T]ES l
- 17. The authority citation for Part 50 is revised to read as follows:
AUTHORITY: Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 Stat.
936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 1244, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, as amended., 202, 206, 88 Stat. 1242, as amended. 1244, 1246 (42 U.S.C. 5841, 5842, 5846), E.0. 12829, 3 CFR, 1993 Comp., p. 570:
E.0. 12958, as amended, 3 CFR, 1995 Comp., p.333: E.0. 12968, 3 CFR, '.995 Comp., p. 391.
31 l
..e-. - - - - - ~ _ - . - . - . . . -. -_- ~ . - - . . . . - . -
l l .
Section 50.7 also issued under' Pub. L'.95-601, sec. 10,-92 ,
Stat. 2951.(42 U.S.C. 5851). Section 50.10-also issued under secs. 101, 185, 68 Stat. 955 as amended (42 U.S.C. 2131, 2235), sec. 102, Pub. L. 91 190, 83 i 1.
Stat. 853f(42'U.S.'C. 4332). Sections 50.13, 50.54(dd), and 50.103 also issued ur. der sec. 108, 68 Stat. 939, as acended (42 U.S.C. 2138). .
Sections ,
50.23, 50.35, 50.55, and 50.56 also issued under sec.185, 68 Stat. 955 (42 !
U.S.C-. 2235). Sections 50.33a, 50.55a and Appendix 0 also issued under sec. 102,. Pub. L.91-190, 83 Stat. 853.(42 U.S.C. 4332). Sections 50.34 and 50.54 l also issued under sec. 204, 88 Stat. 1245 (42 U.S.C. 5844). Sections 50.58, 50.91, and 50.92 also issued under Pub. L.97-415, 96 Stat. 2073 (42 U.S.C.
2239). Section 50.78 also issued under sec. 122, 68 Stat. 939 (42.0.5.C. ,
2152). Sections 50.80 - 50.81 also issued under sec.184, 68 Stat. 954, as amended (42 U.S.C. 2234). Appendix F also issued under sec.187. 68 Stat.
955 (42 U.S.C 2237).
1 l
- 18. Section 50.37 is revised to read as follows:
6 60,37 Aoreement limitina access to Classified Information As part of its application and in any event before the receipt of Restricted Data or classified National Security Information or the issuance
- of a~ license _ or construction permit. the applicant shall agree in writing j l
that it will. not permit any' individual to have access to or any f acility to possess Restricted Data or classified National Security Information until ,
. . i the individual and/or. facility has been approved for such access under the i
- i. provisions of 10 CFR Parts 25 and/or 95. The agreement of the applicant in
! this regard shall be deemed part of 'the license or construction permit, I
j whether so stated therein or not; i 32 i
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- , - - n -,- , ,---e ,..,-v v-- --x -
E I l .: ,
=
1;
, PART 54----REQUIREMENTS'FOR RENEWAL OF OPERATING LICENSES FOR NUCLEAR POWER
, PLANTS l
l
- 19. The authority citation for Part 54 is revised to read as follows:
Authority: Secs, 102, 103, 104, 161, 181, 182, 183, 186, 189, 68' Stat.
936, 937, 938, 948,-953, 954, 955, as amendad, sec. 234', 83' Stat. 1244 as
! amended (42 U.S.C. 2132,_2133, 2134, 2135', 2201, 2232, 2?33, 2236, 2239, j.
2282): secs 201, 202, 206, 88 Stat. 1242, 1244, as. amended '42 U.S.C. 5841, l
5842), E.0. 12829, 3 CFR, 1993 Comp., p. 570: E.O. 12958, as amended, 3 CFR, ;
1995 Comp..'p.333: E.O. 12968, 3 CFR, 1995 Comp., p. 391.
l In'S54.17, paragraph (g) is revised to read as follows:
20.
l 6'54.17 Filino of acolication.
(g) As part of its application, and in any event before f.he receipt of ,
l Restricted Data or classified National Security Information or the issuance i
! of a renewed license, the applicant shal: agree in writing that it will not permit any-individual to have access to or any facility to possess Restricted Data or classified National Security information until the
-individual and/or facility has been approved for such access-under the provisions of 10 CFR Parts 25 and/or 95. The agreement of the applicant in
!- this regard shall be deemed part of the renewed license, whether so stated therein or not.
.c PART 95 A SECURITY FACILITY APPROVAL AND SAFEGUARDING OF NATIONAL
!- SECURITY INFORMATION AND RESTRICTED DATA 33
, - - - .2 . . . -
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- 21. The _ authority citation for Part 95 is revised to read as follows: )
i
! AUTHORITY: Secs. 145, 161, 193, 68 Stat. 942, 948, as amended (42 U.S.C.
1 i
2165, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841): E.O. 10865, j as amended, 3 CFR 1959-1963 COMP., p. 398 (50 U.S.C. 401, note): E.O. 12829, 3
!' CFR, 1993 Comp., p. 570: E.O. 12958, as amended, 3 CFR, 1995 Comp., p. 333 .
1 E.O. 12968, 3 CFR, 1995 Comp., p.391.
- 22. Section 95.1 is revised to read as follows:
l 6 95.1 Purcose.
The regulations in this part establish procedures for obtaining security ;
- \
facility approval and for safeguarding Secret and Confidential National j l
t Security Information and Restricted Data received or developed in conjunction with activities licensed, certified or regulated by the Commission. This part does not apply to Top Secret information because Top Secret information may I not be forwarded to. licensees. certificate holders, or others within the scope i
of an NRC license or certificate.
- 23. Section 95.3 is revised to read as follows:
l S 95.3 Scoce. ;
The regulations in this part apply to licensees, certificate holders and others regulated by the Commission who may require access to classified National Security Information and/or Restricted Data and/or Formerly Restricted Data (FRD) that is used, processed, stored, reproduced, transmitted, transported, or handled in connection with a license or certificate or an application for a license or certificate.
34 l
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24 In $95.5, the definitions for Authorized classifier, National Security Information, NRC access authorization, Security facility acoroval, and Security survev are removed and the definitions Classified mail address, ,
. infraction..and Need-to-know are revised and the definitions Access f
authorization, Classified National Security information, Classified shfocina l l
address, Closed area,. Coanizant Security Aaency, Facilit y' (Security) clearance, Foreion ownershio control or influence, Restricted area, Security ;
reviews, Sucolemental Protection and Violation are added in alphabetical order l to read as follows:
S 95.5 Definitions.
l Access authorization means an administrative determination that an l
l individual (including a consultant) who is employed by or en applicant for i I
employment with the NRC, NRC contractors, agents, licensees and' certificate.
holders, or other person designated by the Executive Director f or Operations, )
f is eligible for a security clearance for access to classified information.
Classified mail address means a mail address established for each facility approved by the NRC, to which all classified information for the f acility is
! 'to be sent.
Classified National Security Information means information that has been l
L !
[
determined pursuant to E.0. 12958 or any predecessor order to require !
l protection against unauthorized disclosure and that is so designated.
[ . Classified 'shionino address means an address established for a facility, l I
approved by the NRC to which classified material that cannot be transmitted as l normal mail'is to be sent.
- 35
, ~ , -.-- -
. . . . . ._. _ _.__, . m._. _ _ . _ _ _ _ . . _ . _ . . _ _ _ . _ _ _ . . . _ _ _ _ _ _
? - ;
. i Closed area means an area that meets the requirements of the CSA, for the I purpose of safeguarding classified material that, because of its size, l 1 nature, or operational necessity, cannot be adequately protected by the normal ;
safeguards or stored during nonworking hours in approved containers.
. i Coanizant Security Acency (CSA) means agencies of the Executive Branch l that have been authorized by E.0. 12829 to establish an industrial security ;
L program for the purpose of safeguarding classified infcrmation under the l
jurisdiction of those agencies when disclosed or released to U.S. industry.
These agencies are the Department of Defense, the Department of Energy. the ,
Central Intelligence Agency, and the Nuclear Regulatory Commission. A f acility has 'a single CSA which exercises primary authority for the protection ,
I '
of classified.information at the facility. The CSA for the facility provides security representation for other government agencies with security interests j at the facility. The Secretary of Defense has been designated as Executive >
Agent for the National Industrial Secer'ty Program.
Facility (Securitv) Clearance (FCL) means an administrative determination that,. from a security viewpoint. a f acility is eligible for access to classified information of a certain category (and all lower categories).
1 Forcian ownershio. control . or influence (FOC1) nicens a foreign interest ;
g has'the power, direct-or indirect, whether or not exercised, and whether or {
not' exercisable through the ownership of a U.S. company's securities,
- by j
contractual arrangeme".s or other means, to direct or decide matters affecting .
.the management or operationc of that company in a manner which may result in I
unauthorized access oto classified information or may affect adversely the i l
i performance of classified contracts. ,
Inf raction means any knowing, willf ul, or negligent action contrary to the
- 36 i
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t I
requirements of E.0. 12958, or its implementing directives, that does not comprise a " violation," as defined in this section.
<- , , + +
Need-to-know means a determination made by an authorized holder of classified information that a prospective recipient requires access to specific classified information in order to perform or assist in a lawful and authori'zeo governmental function under the cognizance of the Commission.
Restricted area means a controlled access area established to safeguard classified material, that because of its size or nature. cannot be adequately protected during working hours by the usual safeguards, but that is capable of being stored during non-working hours in an approved repository or secured by other methods approved by the CSA.
Security reviews means aperiodic security reviews of cleared facilities conducted to ensure that safeguards employed by licensees and others are adequate for the protection of classified information.
S ucol ement al Protection means additional security procedures such as l intrusion detection systems, security guards, and access control systems.
Violation means any knowing, willful, or negligent action that could reasonably be expected to result in an unauthorized disclosure of classified inf ormation or any knowing, willful, or negligent action to classify or continue the classification of information contrary to the requirements of E.0. 12958 or its implementing directives.
I
- 25. Section 95.8 is revised to read as follows:
37 i
- - -~ . . -. . - . . . . . - ~ ~ . - - . -
r .. .
I l
$_jjL 8 information collection recuiremenf st OMB accroval. j (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and I i
l Budget.(OMB) for approval as required by the Paperwork Reduction Act.(44 l
L U.S.C. 3501 et-seq.). The NRC may not conduct or sponsor and a person is not I ~ required to respond to a collection of information unless it displays a l ,
currently valid OMB control number. OMB has approved the information !
l collection requirements contained in this part under control number 3150 0047. ;
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l ,
'(b) The approved information collection requirements contained in this l part appear in $595.11, 95.15, 95.18, 95.19, 95.21, 95.25, 95.29, 95.33, !
95.36, 95.37, 95.39, 95.41, 95.43, 95.45, 95.47, 95.53, 95.57 l l l
l ;
- 26. In S95.13, paragraph (a) is revised to read as follows:
i l
6 95.13 Maintenance of records.
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i (a)'Each licensee, certificate holder or other person granted f acility ,
l clearance under this part shall maintain records as prescribed within the. l l
part. These records are subject to review and inspection by CSA ,
i 1 representatives during security reviews.
i.
I !
- 27. In S95.15, paragraphs (a) and (b) are revised to read as follows:
, 6 i 38 !
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. _ _ _ . _ ._.__.m _____._.._.m_ _ . _ _ _ . _ . _ _ . _ . _ . , _._.- .. .. ..
l
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6 95.15 Acoroval for orocessino licensees and others for f acility cl ea ra nce . l L
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! (a) A licensee, certificate holder or other person who has a need to use, process, store, reproduce, transmit, transport, or handle NRC classified ;
information at any location in connection with Commission related activities ;
shall promptly request an NRC facility clearance. 7his specifically includes i
! situations where a licensee, certificate holder or other person needs a l
l contractor or consultant to have access fto NRC classified information. ,
i
'However it is not necessary for a licensee, certificate holder or other person to request an NRC facility clearance for access to another agency's classified information at that. agency's facilities or to store that agencys classified 1
information'at their facility, provided no NRC classified inferiation is involved and they meet the security requirements of the other agency. If NRC I
l classified information is involved the requirements of $95.17 apply.
l I
l (b) The request must include the name of the facility,. the location of the I
r facility and an identification of any facility clearance issued by an.other.
I 1
government agency, i f there is no existing facility clearance, the request j
.must include a sec~urity' Standard Practice Procedures; Plan that outlines the facility's proposed security procedures and controls for the protection of l classified information, a floor plan of the area in which the matter is to be used, processed, stored, reproduced, transmitted. transported or handled; and j Foreign Ownership, Control or ]nfluence information, i i
l I 28. Section 95.17 is revised to read as follows:
i 4
1- .
39
. .____.m - . _ _ _ _ . _ . _ _ - _ . _ _ ___ ._ _-
l~ t ,
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l
$ 95.17 'Processina facility clearance.
(a) Following the receipt of an acceptable request for facility clearance, the NRC will. either accept an existing facility clearance granted by a current !
CSA'and authorize possession of license or certificate related classified !
information or process the f acility for a facility clearance. Processing will- -
i ncl u'd e- -
I I
(1) A determination based on review and approval of a Standard ,
Practice Procedure Plan that granting of the Facility Clearance would not be inconsistent with the national interest, including a finding that the f acility is not under' foreign ownership, control, or influence to buch a-
- degree that a determination could not be made:
(2) An acceptable security review conducted by the NRC; (3) Submitting key management personnel for personnel clearances (PCLs); and (4) Appointing a U.S. citizen employee as the f acility security officer.
(b) An' interim Facility Clearance may be granted by the CSA'on a temporary basis pending completion of the full investigative requirements.
p 29. SS 95.18 and 95.19 [ Redesignated) S$95.19 and 95.20.
- i
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- 30. A new $95.18 is added to read as tol tows:
i
! 40 l:
! .~ -- , ._ _, ._ _ _ ___ _ _ _ _ . _ _ _ _ _ __
d
- l 1
i-S 95.18 Kev oersonnel .
l The senior management official and the Facility Security Officer must i always be cleared to a level commensurate with the Facility Clearance.
Other key management officials, as determined by the CSA, must be granted an ,
l l access authorization or be excluded from classified access. When formal l l
exclusion action is required, the organization's board of directors or similar executive body shall affirm the following, as appropriate.
(a) Officers, directors, partners, regents, or trustees (cesignated by name) that are excluded may not require, may not have, and can be effectively excluded from access to all-classified information disclosed to the organization. These individuals also may not occupy positions that would enable them to adversely affect the organization's policies or practices in the performance of activities involving classified information. This action will be made a matter of record by the organization's executive body. A copy of the resolution must be furnished to the CSA.
(b) Officers, directors, partners, regents, or trustees (designated by name) that are excluded may not require, may not have, and can be effectively denied access to higher-level classified information (specify which higher level (s)). These individuals may not occupy positions that would enable them to adversely affect the orgLnization's policies or practices in the protection j t
of classified information. This action will be made a matter of record by the organization's executive body. A copy of the resolution must be f urnished to the CSA.
- 31. In the newly redesignated 595.19, the introductory text of paragraphs (a) .and (b) are revised to read as follows: ,
I 41
l .' '
! s b
- . I l
6 95.19 Chances to security oractices and orocedures.
(a) Except as specified in paragraph (b) of this section, each licensee, _ ]
certificate holder or other person shall obtain prior CSA approval for any '
proposed change to the name, location, security procedures and controls, or. t floor plan of the approved f acility. A written description of the proposed change must be furnished to the CSA with copies to the Director, Division of Security, Office of Administration, NRC, Washington, DC 20555-0001 (if NRC is not.the CSA), and.the NRC Regional Administrator of the cognizant Regional Office listed in appendix A of part 73. The CSA shall promptly respond in writing to all such proposals. Some examples of substantive changes requiring prior CSA approval include--
I (b) A licensee or other person may effect a minor, non-substantive change l i
to an approved Standard Practice Procedures Plan for the safeguarding of classified information without receiving prior CSA approval, provided prompt notification of such minor change is furnished to the addressees noted in paragraph (a) of this section, and the change does not decrease the effectiveness of the Standard Practi'ce Procedures Plan. Some examples of minor, non-substantive changes to the Standard Practice Procedures Plan include --
-32. The newly recesignated $95.20 is revised to read as follows:
j-.
6 95.20 Grant. denial or termination of f acility clearance.
The Division of Security shall provide notification in writing (or orally A2 l
i t
- -, , - . , , . , - - - , , . , . , . . . , +,-c,.- - - - ,
_ . _ _ _. _ . _ _ ... __ _ ._. __.m . _ _ _ __._-__... _._...._._.._-_. . _ . - . _ ._._,_
- l l
l '?
with' written confirmation) to the licensee or other organization of the I
Commission's grant, acceptance of another agency's Facility Clearance, denial, I I
j' or termination of facility. clearance. This information must also be furnished <
\
to representatives of the NRC, NRC licensees, NRC certificate holders, NRC !
contractors, or other Fed.ral agencies having a need to-transmit classified. ]
l information to the licensee or other person.
L 33. Section 95.21 is revised to read as follows:
i-4 t
l i
S 95.21 ~ Withdrawal of reauests for facility clearance.
When a request for f acility clearance is to be withdrawn or canceled, the requester .shall notify 'the. NRC .Div'sion i of Security immediately by telephone so that processing'for this approval may be terminated' The notification must .
identify.the f ull name of the individual requesting discontinuance, his position with the f acility, and the full identification 'of the f acility. The L
requestor shall confirm the telephone notification promptly in writing.
l 34 Section 95.23 is revised to read as follows:
S 95.23 Terminatinn of facility clearance.
_a)
( Facility clearance will be terminated when-- ;
1 l (1) There is no longer a need.tc use, process, store, reproduca, transmit, transport'or handle classified matter at the f acility; or ,
- (2) The Commission makes a determination that continued facility )
' I clearance is not in the interest of national security. l l
l I 43 I
l 1 7 + + - - +-ewww.- p h- -
-. ,g w-,- --twg--- - . g.--- -m g- N
.._ . . _ _ - _ _ . . _ _ . _ _ _ -- ___.___._._._.m._.._
l (b) When facility clearance is terminated, the licensee or other person ,
'will be notified in writing of the determination and the procedures outlined ,
.\ .
{ in $95.53 apply.
l
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- . 35, In $95.25, paragraphs (a), (b), (c), (d), (g), (h), and (1) are i
- I
! revised and paragraph (j) is added to read as follows:
.i 4
1 6 95.25 Protection of classified information in storace. ,
i (a) Secret documents, while unattended or not in actual use, must be storediin - ,
(1) A safe, steel : file cabinet, or safe-type steel file ' container a
that has an automatic unit lo.c. king mechanism. All such receptacles will be !
accorded supplemental protection during non-working hours; or (2) Any steel file cabinet that has four sides and a top and bottom
~ (all permanently attached by welding, rivets or peened bolts so the contents cannot-be removed without leaving visible evidence of entry) and is secured by ;
1
- a rigid metal lock bar and an approved key operated or combination padlock.
- The keepers of the rigid metal lock bar must be secured to the cabinet by welding, rivets, or bolts, so they cannot be removed and replaced without leaving evidence of'the entry. The drawers of the container must be held
- securely,. 50 their contents cannot be removed without forcing open the drawer.
- This type cabinet will be accorded supplemental protection during non-working 1
-l
- hours.
(b) Confidential matter while unattended or not in~use must be stored in 4
the same manner as SECRET matter except that no supplemental protection 'is j required.
44 i
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-_ .,_.4 . , - , . , . _ , _.~,--r., .
l
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(c) Classified lock combinations.
(1) A minimum number of authorized' persons may know the combinations to authorized storage containers. Security containers, vaults, cabinets, and other authorized storage containers must be kept locked when not under the direct supervision of an authorized person entrusted with the contents. l l
(2) Combinations must be changed by a person authorized access to the contents of the container, or by the Facility Security Officer or his or her designee. Combinations must be changed upon-. l l
(1) The initici use of an approved container or lock for the protection ,
l of classified material: l I
(ii) The termination of employment of any person having knowledge of the '
combination, or when the clearance granted to any such person has been I 1
withdrawn, suspended, or revoked, i i
(iii) The compromise or suspected compromise of a container or its j combination, or discovery of a container lef t unlocked and unattended; or (iv) At other times when considered necessary by the Facility Security Officer or CSA.
(d) Records of combinations. If a record is made of a combination, the record must be marked with the highest classification of meterial authorized for storage in the contai,ner. Superseded combinations must be destroyed.
(g) Posted information. Containers may not bear external markings indicating the level of classified material authorized for storage. A record of the names of persons having knowledge of the combination must be posted 45
l 4 .
a i'
inside the container. ,
- (h) End of day security checks. 1 l
l ~(1) Facilities that store classified material shall establish a system of ;
i :
security checks at~ the close of each working day to ensure that all classified material and -security repositories have been appropriately secured.
l (2) Facilities operating with multiple work shifts shall perform the l 1 security checks at the end of the last working shift in which classified 1
l l material had been removed from storage. for use. The checks are not required ,
l l' during continuous 24-hcur operations. ;
(i) Unattended security container found opened. if an unattended l
l security container housing classified matter is found unlocked. the custodian
!~
l or an alternate must be notified immediately. The container must be secured by ,
protective personnel and the contents inventoried as soon as possible but not l ,
L later:than the next workday., A report reflect'ng i all actions taken must be
' submitted tc the responsible Regional Office (see appendix A. 10 CFR part 73 i i
,. for addresses) with an.information copy to the NRC Division of Security. The
(- .
lice,nsee shall retain records pertaining to these matters for three years .!
after completion of final corrective action.
l (j) Supervision of keys and padlocks. Use of key-ocerated padlocks are l- subject to the following requirements:
l (1) A key and lock custodian shall be appointed to ensure proper custody l-
! and handling of keys and locks used for protection of classified material; l (2) A key and lock control. register must be maintained to identify keys for each lock and their current location and custody; (3) Keys and locks must be audited each month:
E t l . (4) Keys must be inventoried with each change of custody;
. (5) Keys must not be removed from the premises:
'- 46
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briefing and inform employees of appropriate changes in security regulations.
This requirement may be satisfied by use of audio / video materials and by issuing written materials on a regular basis.
(g) Debriefings, Licensee and other facilities shall debrief cleared employees at the time of termination of employment (discharge, resignation, or retirement); when an employee's access authorization is terminated, suspended,
, or revoked; and upon termination of the Facility Clearance.
(h) Records reflecting an individual's initial and refresher security orientatier5 and security termination must be maintained for three years after termination of t;'e individual's access authorization.
- 40. Section 95.36 is revised to read as f ollows:
6 96.36 Access by represent atives of the International Atomic Enerov Acency or by carticicants in other international acreements.
(a) Based upon written disclosure authorization f rom the unC Division of Security that an individual is an authorized representative of the International Atomic Energy Agency (IAEA) or other international organization and that the individual is authorized to make visits or inspections in accordance with an established agreement with the United States Government, a licensee, certificate holder or other person subject to this part shall perm,it the individual (upon presentation of the credentials specified in $75.7 of this chapter and any other credentials identified in the disclosure authorization) to have access to matter which is classified National Security .
Information that is relevant to the conduct of a visit or inspection. A disclosure authorization under this section does not authorize a licensee, 52
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l Part 95 may not make original classification decisions. j
'(c) Markings required on face of documents. r l (1) - For derivative classification of classified National Security {
i :
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I Information:
(1) Derivative classifications of classified National Security j information must contain the identity of the source document.or the. f I
l classification guide. including the agency and office of origin. on the ;
I
" Derived'From" line and its classification date. If more than one source is !
! cited, the " Derived From" line should indicate " Multiple Sources."
l l (ii) Declassification instructions. When marking derivatively classified j documents, the " DECLASSIFY ON" line must carry forward the declassification l
l instructions as reflected in the original document, if multiple sources are l l used, the instructions will carry forward the longest duration. j (iii) If the source document used for derivative classification contains the declassification instruction, " Originating Agency's Determinat"on l Required" (0ADR), the new document should reflect the date of the original 1 classification of the information as contained in the source document or classification guide. An' example of the stamp might be as f ollows:
! Derived From (source)
Reason l
Declassify On: Source Marked "OADR" Date of Source:
Classifier:
(Name/Titic/ Number) I 1
(iv) The derivative classifier shall maintain the identification of each i 1
l source with the file or record copy of the derivatively classified document. I l (2) For Restricted Data documents: l i
s' 55 !
1 il
(i) Identity of the classifier. The identity of the classifier must be shown by completion of the Derivative Classifier line. The Derivative Classifier line must show the name of the person classifying the document and the basis for the classification. Dates for downgrading or declassification do not apply.
(ii) Classification designation (e.g., Secret, Confidential) and Restricted Data. NOTE: No " Declassification" instructions will be placed on documents containing Restricted Data.
(d) Placement of markings. The highest classification marking assigned to a document must be placed in a conspicuous f ashion in letters at the top and bottom of the outside of the front covers and title pages, if any, and first and last pages on which text appears, on both bound and unbound documents, and on the outside of back covers of bound documents, The balance of the pages must be marked at the top and bottom with:
(1) The overall classification marking assigned to the document:
(2) The highest classification marking required by content of the page; or (3) The marking UNCLASSIF1ED if they have no classified content.
(e) Additional markings.
(1) If the document contains any form of Restricted Data, it must bear the appropriate marking on the first page of text, on the front cover and title page, if any. For example: "This document contains Restricted Data as defined in the Atomic Energy Act of 1954 Unauthorized disclosure subject to Administrative and Criminal lanctions.*
l (2) Limitation on reproduction or dissemination. If the originator or l
l classifier determines that reproduction or further dissemination of a document should be restricted, the f ollowing additional wording may be placed on the face of the document:
56 l
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Reproduction or Further Dissemination Requires Approval of If any portion of this additional marking does not apply, it should be crossed i 1
out.
(f) Portion markings. In addition to the information required on the face of the document, each classified document is required, by marking or other means, to indicate clearly which portions are classified (e.g., paragraphs or l l
pages) and which portions are not classified. The symbols (5) for Secret, (C) l for Confidential. (U) for Unc.lassified, or (RD) for Restricted Data may be used immediately preceding or following the text to which it applies, except that the designation must follow titles or subjects. (Portion marking of paragraphs is not required for documents containing Restricted Data.) If this type of portion marking is not practicable, the document must contain a 1
l description sufficient to identify the classified information and the unclassified information.
E xampl e Pages 1 3 Secret Pages 4 19 Unclassified Pages 20-26 Secret Pages 27-32 Confidential (g) Transmittal document. If a document transmitting classified information contains no classified information or the classification level of the transmittal document is not as high as the highest classification level of 57 i
l
its enclosures, then the document must be marked at the top and bottom with a classification at least as high as its highest classified enclosure. The classification may be higher if the enclosures, when combined, warrant a higher classification than any individual enclosure. When the contents of the transmittal document warrants a lower classification than the highest classified enclosure (s) or combination of enclosures or requires no classification, a stamp or marking such as the following must also be used on the transmittal document:
UPON REMOVAL OF ATTACHMENTS THIS DOCUMENT IS:
(Classification level of transmittal document standing alone or the word
UNCLASSIFIED if the transmittal document contains no classified information.)
(h) Classification challenges. Persons in authorized possession of classified National Security Information who in good faith believe that the information's classification status (i.e. that the document), is classified at either too high a level for its content (overclassification) or too low for its content (underclassification) are expected to challenge its classification status, Persons who wish to challenge a classification status snall--
(i) Refer the document or information to the originator or to an authorized NRC classifier for review. The authorized classifier shall review the document and render a written classification decision to the holder of the information.
(ii) In the event of a question regarding classification review, the holder of the information or the authorized classifier shall consult the NRC Division of Security, Information Security Branch, for assistance, 58 l
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(iii) Persons who challenge classification decisions have the right to appeal the classification decision to the Interagency Security Classification Appeals Panel .
(iv) Persons seeking to challenge the classification of information will not be the subject of retribution.
(1) Files, folders or group of documents. Files, folders, binders, or groups of physically connected documents must be marked at least as high as the highest classified document which they contain.
(j) Drafts and working papers. Draf ts of docutaents and working papers which contain, or which are believed to contain, classified information must be marked as classified information.
(k) Classificetion guidance. Licensees, certificate holders, or other persons subject to this part shall classify and mark classified matter as National Security ]nformation or Restricted Data, as appropriate, in accordance with classification guidance provided by the NRC as part of the f acility clearance process.
- 42. Section 95.39 is revised to read as follows:
I 6 95.39 External trantmittien of documents and material.
t (a) Restrictions. Documents and material containing classified information received or originated in connection with an NRC license or certificate must be transmitted only to CSA approved security f acilities.
(b) Preparation of documents. Documents containing classified information must be prepared in accordance with the f ollowing when transmitted outside an individual installation, 59 i
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(1) The documents must be enclosed in two sealed opaque envelopes or wrappers.
(2) The inner envelope or wrapper must contain the addressee's classified mail address and the name of the intended recipient. The appropriate classification must be placed on both sides of the envelope (top and bottom) and the additional markings, as appropriate, referred to in S95.37(e) must be placed on the side bearing the address.
(3) The outer envelope or wrapper must contain the addressee's classified mail address. The outer envelope or wrapper may not contain any classification, additional marking or other notation that indicates that the enclosed document contains classified information.
(4) A receipt that contains an unclassified description of the document, the document number, if any, date of the document, classification, the date of transfer, the recipient and the person transferring the document must be enclosed within the inner envelope containing the document and be signed by the recipient and returned to the sender whenever the custody of a Secret document is transferred. This receipt process is at the option of the sender for Ccnfidential information.
l (c) Methods of transportation.
(1) Secret matter may be transported only by one of the following methods within and directly between the U.S., Puerto Rico, or a U.S. possession or 1
trust territory:
(i) U.S. Postal Service Express Mail and U.S. Postal Service Registered l
Mail. NOTE: The *Walver of Signature and Indemnity" block on the U.S. Postal
! Service Express Mail Label 11-B may not be executed and the use of external l
(street side) express m611 collection boxes is prohibited.
t (ii) A cleared " Commercial Carrier."
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r (iii) . A cleared commercial messenger service engaged in the
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intracity / local area delivery (same day delivery only) of classified material.
i (iv) : A commercial delivery company, approved by the CSA, that provides l l 1 nationwide, overnight service with computer tracing and reporting features, !
.These companies need not be security cleared.
t.
(v) Other methods'as directed, in writing, by the CSA.
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(2). Confidential matter may be transported by one of the methods set forth in paragraph (c)(1) of this section, by U.S. first class, express or certified mail. First class, express, or certified mail .may be used in transmission of )
Confidential documents to Puerto Rico or any United States territory or possession.
(d) Telecommunication of classified information. Classified-information
- may not be telecommunicated unless the telecommunication system has been i
approved by the CSA. Licensees, certificate holders or other persons who may require a secure telecomn anication ' system shall submit a telecommunication plan as part of their request for facility clearance, as outlined in $95.15, or as an amendment to their existing Standard Practice Procedures Plan for the l l
protection of classified information.
1 (e) Security of classified information in transit, Classified matter l
that, because of its nature,'cannot be transported in accordance with S95.39(c), may only be. transported in accordance with procedures approved by
- .the1CSA. Procedures for transporting classified matter are based on a satisfactory transportation plan submitted as part of the licensee's,
! certificate holder.. or other person's request f or f acility clearance or i
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_ _ . . . . . . _ . _ . _ _ . - _ . . . _ . _ . _ . _ _ _ - __ . ._ _ .-._,___.m_._..-_..._._
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L submitted las an amendment to its existing Standard Practice Procedures Plan.
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.43. Section 90.41 is revised.to read as follows:
L 6 95.41 External receiot and disoatch records.
l- . Each licensee, certificate holder or .other person possessing classified I'
-information shall maintain a record that reflects: !
! t l (a) The date of the material: l (b) The date of-receipt or dispatch; i
(c) The classification: '
(d) An unclassified description of the material; and 1
(e) The identity of the sender from which the material was received or j l
h recipient to which the material was dispatched. Receipt and dispatch records i t
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l .must be retained for 2' years. )
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l- 44. Section 95.43 is revised to read as follows:
l' S 95.43 Authority to reoroduce.
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(a) Each licensee or other p'erson possessing classified information shall i establish a reproduction control system to ensure that reproducticn of !
classified material. is held to the minimum consistent with operational
-requirements. Classified reproduction must be accomplished by authorized employees knowledgeable of the procedures for classified reproduction. The use l
I of technology that prevents, discourages. or detects the unauthorized
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! reproduction of classified documents is encouraged. l j
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(b) Unless- restricted by the CSA, Secret and Confidential documents may be' I
reproduced. Reproduced copies of classified documents are subject to the same i protection as the original documents.
(c) All. reproductions of classified material must be conspicuously marked- i with the same classification markings as the material being reproduced. Copies of classified material must be reviewed after the reproduction process to i ensure that these markings .are visible. (
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- 45. Section 95.45 is revised to read as follows: g i
i f 95.45 Chances in classification. l 1
l (a) Documents containing classified National Security Information must be I downgraded or declassified as authorized by.the NRC classification guides or j as determined by the NRC. Requests for downgrading or declassifying.any NRC ]
i classified information should be forwarded to the NRC Division of Security,
.0ffice of Administration. Washington.- DC 20555-0001, Requests for downgrading 4
)
or' declassifying of Aestricted Data will be forwarded to the NRC Division of j
' Security for. coordination with the Department of Energy.
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j (b) If a change of classification or declassification is approved, the previous classification marking must be canceled and the following statement, properly completed, must be placed on the first page of the document:
4 Classification canceled (or changed to) 3
. (Intert appropriate classification) by authority of 63 l
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(Person authorizing change in classification) by.
(Signature of persnn making change and date thereof)
(c) New markings reflecting the current classification status of the document will be applied in accordance with the requirements of $95.37.
(d) Any persons making a change in classification or receiving notice of such a change shall forward notice of the change in classification to holders of all copies as shown on their records.
- 46. Section 95.47 is revised to read as follows:
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6 95.47 Dest ruct ion of matter cont ainina classified informat ion.
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1 Documents containing classified information may be destroyed by burning, l I
pulping, or another method that ensures complete destruction of the information that they contain. The method of destruction must preclude j l
recognition or reconstruction of the classified information. Any doubts on l
methods should be referred to the CSA. If the document contains Secret I information, a record of the subject or title, document number, if any, i
originator, its date of origination and the date of destruction must be signed j by the person destroying the document and must be maintained in the office of the custodian at the time of destruction. These destruction records must be retained for two years after destruction.
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- 47. Section 95.49 is revised to read as follows:
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S 95.49 Security of automatic data orocessino (ADP) systems. ,
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' Classified data or information may not be processed or produced on an ADP 1
system unless the system and procedures to protect the classified data or i
information have been approved by the CSA, Approval of the ADP system and procedures is based on a satisfactory ADP security proposal submitted as part ,
j of the licensee's or other person's request for f acility clearance outlined in ,
S95.15 or submitted as an amendment to its existing Standard Practice i
Procedures Plan for the protection of classified information. I
- 48. Section 95.51 is revised to read as follows: ,
i 6 95.51 Retrieval of classified matter followina susoension or revocation of ]
l access authorization.
In any case where the access authorization of an individual is suspended or revoked in accordance with the procedures set forth in Part 25 of this chapter, or other relevant CSA procedures, the licensee, certificate holder or l
l .other organization shal'. , upon due notice from the Commission of such l
suspension or revocation, retrieve all classified information possessed by the individual and take the action necessary to preclude that-individual having l i
further access to the informs ion.
- 49. Section 95.53 is revised to read as follows
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l . o S 95.53 Termination of facility cl ea ra nce.
(a) If the need to use, process, store, reproduce, transmit, transport, or handle classified matter no longer exists, the facility clearance will be terminated. The f acility may deliver all documents and materials containing classified information to the Commission or to a person authorized to receive them or destroy all such documents and materials. In either case, the facility shall submit a certification of nonpossession of classified information to the NRC Division of Security.
(b) In any instance where f acility clearance has been terminated based on a determination of the CSA that further possession of classified matter by the f acility would not be in the interest of the national security, the facility shall, upon notice from the CSA, immediately deliver all classified documents and materials to the Commission along with a certificate of nonpossession of classified information.
- 50. Section 95.55 is revised to read as follows:
6 95.55 Continued anolicability of the reaulations in t his ca rt .
The suspension, revocation or other termination of access authorization or the termination of f acility clearance does not relieve any person f rom compliance with the regulations in this part.
- 51. Section 95.57 is revised to read as follows:
i S 95.57 Reoorts.
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- Each licensee or other person having a f acility ' clearance shall ;
immediately report to the CSA and the Regional Administrator of the
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!. appropriate NRC Regional Office listed in-appendix A,10 CFR part 73: ;
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- i. (a) Any alleged er suspected violation of the Atomic Energy Act, Espionage l- Act, or other Federal statutes related to classified information, !
l (b) Any'ihf ractions,- losses, compromises or possible ' compromise of classified information-or classified documents not falling within paragraph !
(a) of this section, f
(c) In addition, an authorized classifier of a licensee, certificate l
holder or other organization subject to this Part shall complete an NRC Form !
790, " Classification Record," whenever matter containing classified f i'
information is generated, its classification changed or it is declassified.
Notification of declassification is not-required for any document or material I
which has an automatic declassification date. Completed NRC Form 790 must be 1
submitted to the NRC Division of Security, Washington, DC 20555 0001, on a i
'monthl y ' ba si s .
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- 52. Section 95.59 is revised to read as follows:
S 95.59 Insoections.
The Commission shall make inspections and reviews of the premises, activities, records and procedures of any person subject to the regulations in this part as the Commission and CSA deem necessary to effect the purposes of the Act, E.0. 12958 and/or NRC rules.
Dated at Rockville, Maryland, this 7d day of /12 1997.
For the Nuclear Regulatory Commis:, ion.
I L . J o's e p h ,Qa'l l a n ,
Executive M)irector for Operations. !
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CONGRESSIONAL CORRESPONDENCE SYSTEM DOCUMENT PREPARATION CHECELJST
' This check list is to be submitted with each document (or group of Qs/As) sentfor proc into the CCS.
- 1. BRIEFDESCRIPTION OFDOCUMENT(S) A, hhA h /
- 2. TYPE OF DOCUMENT X CORRESPONDENCE HE4 RINGS (Qs/As)
- 3. DOCUMENT CONTROL SENSITIVE (NRC ONLY) X NON-SENSITIVE
- 4. CONGRESSIONAL COMMITTEE AND SUBCOMMITTEE (ifapplicable)
Congressional Committee Subcommittee S. SUBIECT CODES
\ (A)
(B) l (C) '
- 6. SOURG OFDOCUMENTS {
(A) 5520 (DOCUMENT NAME ) t (B) SCAN (C) ATTACHMENTS l (D) OTHER 1 l
- 7. SYSTEyLQGDATES (A) 'y'2W97 DATA OC4 SENTDOCUMENT TO CCS :
! < J (B) DATE CCS RECEIVED DOCUMENT (C) DATE RETURNED TO OC4 FOR ADDITIONAL INFORMATION (D) DATE RESUBMITTED BY OC4 TO CCS (E) DATE ENTERED INTO CCS BY (F) DATE OC4 NOTIFIED THATDOCUMENT IS IN CCS i
COMMENTS: 020009 '~
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RELEASE TO PDR oy l
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