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fl)f SEC CEN FILE: LRD 3.00.05 i i PER 1.00.01 l MN 28 1935
, f:0TE TO: Robert F. Burnett, Director j Division of Safeguards,11!iSS I
FRD:!: Raymond J. Brady, Director l Division of Security, ADft i
SUBJECT:
At'EfiDMENT OF 10 CFR PART 11 - REVISED CRITERIA AND PROCEDURES FOR DETEFf*Ifl!!!G ELIGIBILITY FOR ACCESS TO OR C0itTROL OVER SPECIAL TUCLEAR l'ATERIAL SEC has reviewed the Part 11 package which you plan to famard for autt'ority to initiate rulenaking and has nade sone conrents which are written on the attached copy of the package. We've also included our recomendations for , three new sections dealing with some additional administrative aspects of notification, cancellation and temination of access authorizations. He will concur upon incorporation of these coments. There may be several instances where the words of issuance need to be checked against the instructions found in flVREG/BR-0053, " Regulations Handbook." We look fomard to receiving a revised package for concurrence. Original Signed IY Raymond J. Brady Raymond J. Brady, Director 3 l Division of Security ADil
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r s TITLE: Revised Criteria and Procedures for Determining Eligibility for Access to or Control.0ver Special Nuclear Material CFR CITATION: 10 CFR 11 ABSTRACT: This rulemaking amends requirements for using only NRC forms when requesting special nuclear material access authorizations and allows use of other federal agency forms. This avoids needless duplication in administration and
. investigation for individuals currently cleared by such agencies on the basis of equivalent background investigations. The rule change allows renewal of access authorizations under the schedule of DOE's Selective Reinvestigation Program if the DOE personnel clearance is equivalent. The rule also incorporates changes in fees and the schedule for fee determination.
TIMETAPLE: Publish as a final rule issued by the EDO during the third quarter of FY85. LEGAL AUTHORITY: Sec. 7. Pub. L 93-377. 88 Stat. 475; Sec. 1611 Pub. L 83-703, 68 Stat. 948 (42 U.S.C. 2201(1)); Sec. 201, as amended. Pub. L 23-439 68 Stat. 1242. Pub. L 9-1-79, 69 Stat. 413 (42 U.S.C. 5841). Sec.11.15(e) also issued under the authe-ity of (31 U.S.C. 9701). EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: No AGENCY CONTACT: . Russel R. Rentschler Office of Nuclear Material Safety and Safeguards Washington, D.C. 20555 301 427-4761
. .s J
EVALUATION OF RULEMAKING TITLE: AMENDMENT OF 10 CFR PART 11, REVISED CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR ! MATERIAL
- 1. The issue to be addressed.
This rulemaking amends the language of the sections of 10 CFR Part 11 which specify the requirements for applications and renewals of Material Access Authorizations. It eliminates the requirement for use of only NRC Forms so as to allow acceptance of documentation on individuals who possess current personnel clearances based upon equivalent investigations. It allows certification of DOE and, to a smaller degree D00 documentation.
- 2. The necessity and urgency of addressing this issue.
Adoption of the amendments would eliminate unnecessary and duplicative expenditures of administrative and investigative effort and cost in carrying out the dterial Access Authorization Program. ' I
. s
- 3. Alternatives to rulemaking.
Staff has explored the possibility of eliminating the unnecessary duplication in documentation by granting an exemption from the regulation. The Office of the Executive Legal Director has advised that such action would cause certain legal problems in case of appeals.
- 4. How the issue will be addressed through rulemaking.
The rulemaking will explicitly authorize the use of DOE documentation for those individuals possessing current personnel clearances based upon equivalent investigations. It will also allow use of the DOE system of renewals.
- 5. Effect which the rulemaking has on the public, industry, and NRC.
This rulemaking eliminates initial and renewal applications for the category of licensee or licensee-contractor employees who possess personnel clearances based upon equivalent investigations made by othar agencies. There is no effect upon the public by this administrative change to regulation. f Industry w111 be relieved of certain duplicative requirements and expenses. The NRC will be relieved of certain administrative requirements which are ' replaced by less demanding requirements.
- 6. NRC resources and scheduling needed for the rulemaking.
Approximately one half staff-year will be expended from now until a final rule is prepared. The schedule for completing the amendment is six months. AGENCY CONTACT: Russel R. Rentschler Office of Nuclear Material Safety and Safeguards
. Washington, D.C. 20555 301 427-4761 S
d _ _ - _ j.
REGULATORY FLEXIBILITY CERTIFICATION The Commission hereby certifies that this rule will not have a significant adverse impact upon a substantial number of small entities due to the facts that follow: i Less than ten licensees will be affected by this rulemaking; only administrative requirements are affected; requirements which duplicate those of other Federal agencies will be reduced or eliminated. LIST OF SUBJECTS IN 10 CFR Part 11
... Part 11 - Hazardous materials - transportation, nuclear materials, reporting and recordkeeping requirements, security measures, special nuclear material.
l Part 11 Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material ,
- 1. The authority citation for Part 11 continues to read as follows: !
', Authority: Sec. 7. Pub. L 93-377, 88 Stat. 475; Sec.1611 Pub. L 83-703, , 68 Stat. 948 (42 U.S.C. 2201(1)); Sec. 201, as amended. Pub. L 23-439, 68 Stat. 1242. Pub.L94-79,89 Stat.413(42U.S.C.56'1). Sec.11.15(e)alsoissued under the authority of '(31 U.S.C. 9701). ; ENCLOSURE 8 i i
- 2. Section 11.7(c) is amended to read as follows:
- "NRC 'U' special nuclear material access authorization" means an acministrative determination based upon a national agency check and a full-field background investigation, normally conducted by the Office of Personnel Management, that an individual in the course of employment is
, eligible to work at a job falling within the criteria of $11.11(a)(1) or 11.13. 3. 74,s Secir"J A* Section 11.8 is added to read as follows: g ,gg,d a, pr her/A liG AN ge.,yM110 \ i 111.8 Information collection requirements" g,gif1A - OMB app
.. s. s (a) The Nuclear Regulatory Comission 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 of 1980 (44 U.S.C. 3501 et seq.). OM8 has approved the information collection requirements contained in this part under control number 3150-0062. ' i i (b)Theapprovedinformationcollectionrequirementscontainedinthis 2 ' part appear in il 11.9. 11.11, 11.13, and 11.15. e 4 9
- 2- ,
- 4. Section 11.1.l(a) is etsn:'ed to read ts folie..s:
111.11 General [egt.frements. (a) Each licensee who [af ter-February-195 -1981,] uses, processes, stores. l transports, or delivers to a carrier for transport, formula quantities of I
; special nuclear material (as defined in Part 73 of this chapter) subject to the physical protection requirements of El 73.20, 73.25, 73.26, 73.45, and 73.46 of ,
Part 73 of this chapter and each person subject to the general licensing requirements of i 70.20(a) shall identify at its facility or plant (excluding ; J . all non-powgr reactor facilities and storage of fuel incident thereto and
\ .. .
facilities and plants in which the licensee possesses or uses only irradiated s special nuclear material subject to the exemption of i 73.6(b) of Part 73 of j this chapter), describe, and if not already provided, provide to the ' or m gMd.:t of nec **AA 'V ' Connission, (by-Janwary-48 5 -1983,] within 60 D by amendment to its security plan. i: I 5. Section 11.11(b) is amended to read as follwt; i (b) (44er-(365-days-fe44 ewing-Gemf es(en-a,9preval-of-the-amended-secur6ty
- plan-swba4sted-4n-asserdapee-with-paragraph (s)-of~shis-seat (en.] No individual i
may be permitted to work at any job determined by the Comission to fall within .
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the criterion of paragraph (a)(1) of this'section without an NRC-U'special r nuclear meterial access authorization, and no individual may be permittei - i unescotted access to any protected area at any site subject to this part l
- i.
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without either an NRC-U or NRC-R special nuclear material access authorization. [h-exeeptien-is-previded-f sr-asy-individsai-eg i syE d-t s-t b c.c '(: t t ( VE-da t e-E f t h e s e -a me ndme n t s ,-a n d- n e t -y e t -i n- re e e l p t -o f-a n -a p p r e v e d-a s s e s s -a u th e r i s a t i o n fram-the-Gemmissioni-prev 4ded-that-a-semplete-applicatien-was-submitted-fsr t ha t -emp l oy e e-i n - a s e e rda n e e -wi th-f il,15 - a n d- t h e-a p p li e a t i o n -h a s - m e t - be e n disapproved.] J Exceptions to the requirement for an NRC-U special nuclear material access authorization for an individual to work at a job within the criteria of < om agur.<.we 4 m orad *=ct Ts / paragraph (a)(1) are provided for (1) any individual employed in such a job +who yet is notein receipt of an WRC-U special nuclear material access authorization V i .to eed os readoeg he$ cat k NRC l from the Comission, provided that a complete application has been submitted 4 for processing for that employe in accordance with f. 11.15(b) h (ii) any / individual in possession of an NRC-L or R access a,uthorfration.or an equivalent ,, yer t active federal security clearance but not41n rejeipt of the NRC-U special V nuclear material access authorization provided that a con.plete application has
- s is r , w ,.,p. a, , n tse W a c.
been submitted}for processing for that employee in accordance with 511.15(b). / Exceptions to the requirement for an NRC-R special nuclear material access authorization for an individual to have unescorted access to a protected area , on tsa M kAe d=* a6 m << =t* are provided for (1) any individual employeFn such a job who is notain
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' vet l receipt of an NRC-R special nuclear material access authorization from the a
s aa es 6 Comission, provided that a complete application has been submitted),e3 ejackHMc ; for processing for that employee in accordance with ( 11.15(b); Wh(ii) any / individual in possession of an NRC L access authorization or an equivalent
active federal security clearance, provided that a complete ADD 11 cation has
+o s d as ruJ g hebut tu Mc been submitted /for processing for that employee in accordance with 611.15(b).
/*
- 6. Section 11.13(a) is amended to read as follows:
(a) [All-4mdividwa45-whe-af ter-365-days-fellewing-approval-es-the-amended seewrity-plan-submitted-4n-aseerdanee-with-E-II,11(6)]. _No individual shall transport, [ arrange-for-transport] drive motor vehicles in road shiptrents of special nuclear material, ptiot aircraft in air shipments of special nuclear material, act as :nonitors at transfer points or escort road, rail,' sea, or air shipments of,special nuclear material subject to the appropriate physical protection requirements of Il 73.20, 73.26, or 73.27 of this chapter or be authorized to adjust such transport without [shall ,have] NRC-U special nuclear material access authorization. [An-eneep44en-4s-provided-for-any-4ad4vidwal employed-on-the-effettive-data-ef-these-amendments-and-net-yet-4n-rese4pt-of-an approved-aesess-awthor(sa44en-from-the-Gemmission-provided-that-a-templete appl 4ea44en-as-suba444ed-for-that-employee-4n-aesordanea-w4th-i-licl5(b)-and Exceptions are provided for (1) any ' she-app o, rte p44eatism-has-met-been-d4sappeeved. dou s. ret.a.: reb m A Q oc h e. ds ] ta. og m e -MMe 46 individual whMnotain receipt of an NRC-U special nuclear material ! W ' access authorization from the Corrinission, provided that a complete application
-k, a.,4 as er has been submitteDfor%
befers-wMec. processitig for that employee in accordance with j 1 11.15(b) M (ti) any individual in possession of an NRC-L or R access v' authorization or equivalent active Federal security clearance but notdin Yef / receipt of the NRC-U, special nuclear material access authorization, provided A e.d es pedwt Arfare.m ##4. / that a complete application has been submittedlfor processing for tnat erroloyee in accordance with 411.15(b).
- 7. Section 11.13(b) is amended to read as follows:
r {.p/e-upa e-] Licensees who [af ter-Nevember-33 3 -198&], following Comission approval of / the amended security plan submitted in accordance with 611.11(a), transport or deliver to a carrier for transport special nuclear material subject to the physical protection requirements of il 73.20, 73.26, 73.27 of this chapter shall confirm and record prior to sh*pment the name and special nuclear material access authorization number of all individuals identified in
- paragraph (a) of this section assigned to the shipment. [Aa-eneeption] !
, /
s bloa>ewr, k h eeusee- Med. mt cuform amA record +te. spwd axlear rufend Acces s av%nk amber W fte case of my l nalev,cha(. for w4em w ofy/oeA /33 ' l beca sahmoite). es.Los read hfors
- & NRC , fer fnrAgenfk. (ot y ), & ,
- 8. '
Section 11.15(a) is renumbered as 11.15(a)(1). I i
- 9. AnewSection11.15(a)(2)isaddedtoreadasfollows:
Licensees who wish to secure NRC-U or NRC-R special nuclear material
'Q* or L' /
access authorizations for individuals in possession of an active NRC4 access authorization or other security clearance granted by another federal agency based on an eouivalent investigation shall submit a"8ecurity Acknowledgement" V _(Fom 176), and a" Request for Access Authorization #(NRC Form 237). The NRC / will process such recuests by verifying the data on an NRC cleared individual, or contacting the federal agency which granted the clearance and reouesting l certification of the security clearance and determine the investigative basis and level of such clearance. Licensees may directly request the federal agency which administered the security clearance, if other than NRC, to certify to the NRC that it has on file an active security clearance for such an individual, specifyingtheinvestigativebasisandlevelofsuchclearance. I
- 10. Section11.15(b)isamendedandrenumberedtoreadasfollows:
a i 11.15(b) Applications for special nuclear material access authorization l for individuals other than those qualifying under the provisions of 11.15(a)(2) ' above, shall be made on forms supplied by the Commission including: (1) Personnel Security Questionnaire (PSQ) (NRC Fom 1. , PartsIand!!)[sompleted-by-the-(pdividua4]; i l
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i (2) National Acency Check-Data for Nonsensitive or Noncritical-Position (SF-85A)-for R cases onlyg [h @ mt &c YyPed) j / (3) Two completed standard fingerprint cards _(FD-258) [with-the 4mdividwalis-fingerpr4 pts-(f4mgerprints-may-be-taken-by-a-leeal-pellee authority),]; (4) Security Acknowledgement [(erm) (NRC Fom 176); (5) Authority to Release Information (NRC Form 259); (6) [9ther] Related foms where specified in accompanying instructions (NRC-254); and (7) A statement by the employer, prospective employer, or contractor identifying the job to be assigned to or assumed by the individual and the level of authorization needed, justified by appropriate reference to the licensee's security plan. ,, l
- 11. Section 11.1$(c) is renumbered 11.15(c)(1) and amended to read as !
follows: ' Except as provided in i 11.15(c)(2) below NRC-U special nuclear [ material access authorization shall expire five years following the date of issue. If continued NRC-U special nuclear material access authorization /
. l 1
is required, an application for renewal shall be submitted at least 120 days prior to expiration date. Failure to make a timely application will result in i expiration of special nuclear material access authorization. Special nuclear material access authorization for which a t'imely application for renewal has been made may be continued beyond the expiration date pending final action on the application. An application for renewal will [eens4ss-of] includa: A. A statement by the licensee that at the time of application for i rent.wal the individual's assigned or assumed job requires an NRC-U special nuclear material access authorization, justified by appropriate reference to the licensee',s security plan. B. Personnel Security Questionnaire (NRC Form 1. Parts I and !!), [eempleted-by-the-app 44eant). C. National Agency Check-Data for Nonsensitive or Noncritical. sensitive position ($F-85A)g h,a /n must Ae. Mb e D. TwococolatedstanArdfingerprintcards(w4th-the-4md4v4dvalis (4mgerpr4nts)(FDForm258). E. Authority to release information (NRC Form 259). F. Other related forms where specified in accompanying NRC instructions (NRCForm254). o-
An app 1Mtion fpr renewal /NRC-R specJ#f nuclear ma,1,efial access, au zati eed o nelude a ment b censee the1,,ME _of app tion renewal dividu ssigned umed uires an -R al nuc1 aterial ss author $ on, ju d by Dro te refe e to the ensee's s ty plan /
- 12. AnewSection11.15(c)(2)isaddedtoreadasfollows:
An exception to the NRC-U special nuclear material access authorization exof ration date and the time for submission of NRC U special nuclear material access authorization renewal applications, is provided for those individuals who have a current and active DOE O access authorization and who are subject to DOE Selective Reinvestication Program requirements. For these individuals,
,,[ , the time for submission of NRC b special nuclear material access authorization renewal applications may coincide with the time for submission of Part I of a ..
DOE Personnel Security Questionnaire to DOE pursuant to DOE Selective Reinvestigation Program requirements. The licensee may submit to NRC,_ con-current with its submission to DOE, an originally signed and dated copy of Part I of the individual's DOE Personnel Security Questionnaire together with ,, Part !! of an NRC Personnel Security Questionnaire and the forms and informa-tion required by paragraphs (c)(1)(A), (C), (D), (E), and (F) above, as'the _ supporting documentation for an NRC-U special nuclear material access authori-ration renewal application. Any NRC U special nuclear material access author- ' tration issued in response to a renewal application submitted pursuant to this paragraph (c)(2) shall not expire until the date set by DOE for the next reinvestigation of the individual pursuant to DOE's Selective Reinvestigation t t
Program (generally every five years). At that time (and at the time of each subsecuent reinvestigation of the individual), the licensee may again submit, concurrent with its submission to DOE, an_ originally signed and dated copy of Part I of the individual's DOE Personnel Security 0uestionnaire together with Part II of an NRC Personnel Security Questionnaire and the forms and informa-tion required by paragraph (c)(1)(A), (C), (D), (E), and (F) above, as the supporting documentation for the renewal application. Failure to file such a renewal application concurrent with the time for submission of an individual's Part I of a DOE Personnel Security Ouestionnaire to DOE pursuant to DOE Selective Reinvestigation Program requirements will result in _the expiration of the individual's NRC special nuclear material access authorization. NRC-U special nuclear material access authorizations for which a timely application [ forrenewalhasbeenmademaybecont1nuedbeyondtheexoirationdat)pending final action on the application. .
@ - SEE
- DnGcT" Fbr AJEa) swhnu (c)(3) y
- 13. Section11.15(e)isamendedtoreadasfollows:
Each application for special nuclear material access authorization, renewal or change in level must.be accompanied by the licenste's remittance payable to the U.S. Nuclear Regulatory Commission according to the following schedule:
. &1NSGRT i
h h $ e $ -- . . . . . . .. _ .-. _ ._.- -_ . .._ ._ . . .. . _._ . _ - . . . _ _ _ , . . .
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. - - . . ~ _ . . . . . _ . _ . . . . . . _ . _ . . . . . . . _ . _ . . . . . . _ . . . _ _ _ - _ _ _ . . _ _ . promyfIf refves f M Aletc - U. renewnA- f artf..--._ . -. th/dovotlus). tui k *f74 .$tvmV lter f t'ocal SA W f6*l t ... . ..._. D) ~lctaiNa2Gn g-11stotl*volva.hs N4C- Q n so.le-c
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e 9 (1) New-appl 4satien, "W" $1,559 (2) New application s "R" 15 (3) Renewal "W"-er-- "R" 15 (4) Ghange-of-level"R"-to"W"-(full fee-sharged-only-4f-an-investigatten j 4s-required -1,550 l (5) Genvert-existing-NRG-er-99E "Q" 3 ercQ(X)"-to-W -1,550 i (6) Genvert-existing-NRG-er-90E k" er"k(X)"--to-W 31,559 (7) Genvert-existing-NRG-er-90E "Q",
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(1) _NRC U recuiring full field investigation $1,580 ,, (2) NRC U based on certification of comparable full field background investigation 0 3 (3) NRC renewal 15,I (4) NRC R JI S (5) NRC R based on certification of comparable ' investigation O_" 1 1f full field investigation ts deemed necessary, a fee of $1580 will be assessed. 2 1f National Agency Check investigation is deemed necessary, a fee of , i
$15 (c will be assessed; however,_if a full field investigation is deemed to be necessary, a fee of 51580 will be assessed.
= . _ - _ _ _ - ._. - __ _ . . -
Material access authorization fees will be published in [Geeember] July of each year and will be applicable to each access authorization request received during the following calendar year. Applications from individuals having currentFederalaccessauthorizationsmaybeprocessedexpeditiouslyat[less] no, cost, since the Comission may accept the certification of access authorizations and investigative data [(wh4eh-4s-less-than-f4ve-years-wid)] from other Federal Government agencies which grant personnel access authorization. 14 Section 11.15(f) is amended by replacing the existing paragraph to read as follows: [Nuelear-Regulatory-Gennission-{NRG)-er-Department-of-Energy-(BGE)2Q2-er 11:1-aseess-auther4aa44en-granted-to-an-NRG-er-90E-employee-or-a-9epartment-of Defense-(909) : Top-Genre 41-th sed-on-a-full-54 eld-4 aves 443a44en)-or Seeres: elearanee-gra n ted-t o-a-999-emp teyee,-w( 44 -pe rm4 s-t h i s -emp loye e ,-on -e 554 e 4a 4 bus 4 ness,-the-same-level-of-unesserted-aesess-le-speelal-avelaar-mater 4a4 w4th4n-material-seenss-areas,-er-with4n-v44al-areas,-er-proteeted-areas-thes en-NRG 1W2-er ERE-eesess-autheriaa44en,-respeel4Wely,-would-afford-4n aseerdanee-with-i-l&,&4.] he.sasse. or crhe Persea Any federal employeeA employee of a contractor of a Fe?eral agency ' V visiting an affected facility for the purpose of conducting official business , and who possesses an active NRC or DOE Q access authorization or an equivalent l federal security clearance granted by another Federal agency (" Top Secrat") i l L
based on a comparable full field background investigation may be permitted the same level of unescorted access that an NRC-U special nuclear material access authorization would afford in accordance with 11.11. Any federal employeeseP v' bceasee ew- o+AerPerm ' employee of a contractor of a Federal agencipuisiting an affected facility for ' V' the purpose of conducting official business and who possesses an active NRC or DOE L necess authorization or an eouivalent security clearance' granted by another Federal agency (" Secret") based on a background investigation or _ national agency check may be permitted the same level of unescorted access that an NRC R special nuclear material access authorization would afford in accordance with 11.11. Dated at Bethesda, Maryland, this day of 1985. k For the Nuclear Regulatory Commission. William J. Dircks, Executive Director for Operations.
-PROPOSED NEW SECTIONS-11.7 Notification of the grant of access authorization.
The determination to grant access authorization will be furnished by SEC in wiiting to the licensee which initiated the request. This information may also be furnished to other representatives of the Commission, to licensees, contractors, or other Federal agencies. Notification of access authorization will not be given in writing to the individual himself except: J (a) In those cases in which the determination was made in accordance with the procedures set forth in 10 CFR Part 10, or (b) When the individual also is the official to whom written notifications are forwarded. ' I 4 11.7 Cancellation of requests for material access authorization. When a request for an individual's access authorization is withdrawn
- or cancelled, the NRC Division of Security shall be notified innediately by telephone so that the full field investigation or National Agency Check may i be discontinued. The caller shall supply the full name and date of birth of
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the individual, the date of request, and the type of access authorization ; t i originally requested ("U" or 'R"). Such telephone notice shall be promptly ' confirmed in writing. > 1 11.7 Termination of material access authorizations. 1 f _ - = - - - . - _ _- _
9 (a) Access authorizations will be terminated when: l (1) Access authorization is no longer required, or (2) An individual is separated from the employment or the activity for which he obtained an access authorization for a period of 90 days or more, or M# F I (3) An individual, pursuant to 10 CFR Part 10, is no longer eligible for access authorization. ' (b) A representative of the licensee or other organization which employs the individual whose access cathorization will be tenninated shall insnediately notify the NRC Division of Security when the circumstances noted in paragraph (a)(1) or (a)(2) of this section exist; inform the individual that his access authorization is being tenninated, and the reason; and that he will be considered for reinstatement of access authorization if he resumes work requiring it.
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REGULATORY ANALYSIS Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material (10 CFR Part 11) Statement of Problem Paragraph 10 CFR 11.11 requires each licensee who uses, processes, stores, transports or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in 10 CFR Part 73) to identify all jobs under his control in which an individual could steal or divert special nuclear material, oE'comit sabotage which could endanger the public by exposure to .
.. radiation. This paragraph further requires that persons who occupy the
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identified job positions be granted the appropriate level of NRC special nuclear material access authorization for initial or continued employrent in such positions ("NRC-U" authorization for persons whose jobs permit them to have direct access to or control over the special nuclear material; and "NRC-R" authorization for those who do not have direct access to or control over the special nuclear material, but do have a requirement for unescorted access to protected areas wherein such material is l'ocated). ' ! Paragraph 10 CFR 11.15 requires the initial and renewal applications for NRC special' nuclear material access authorization for the affected licensee employees to be submitted on forms supplied by the Comission. This paragraph authorizes affected licensees to grant unescorted access to special nuclear material or to protected areas during official business visits to employees of the Comission, the Department of Energy (DOE) and the Department ENCLOSURE C s y-y-ge.-ee y-w- --,,m-,_mwg.,,
of Defense (D0D), when such employees have personnel access authorizations or clearances which are based on investigations which are equivalent to the investigations required for licensee employees. However, there are no provisions for formally granting NRC special nuclear material access authorizations to persons such as licensee employees who have similar personnel access authorizations or clearances and are in, or applying for, positions at an NRC licensed facility which require the same access on a continuing basis.
- At the time that 10 CFR Part 11 was promulgated (1980), more than a dozen nuclear fuel facilities were affected. The rationale for requiring all applications,to be made on NRC forms was to provide a uniform system which was tailored to the needs of most licensees. A central investigative data file
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. _ , 'would have been established at the Co ission Headquarters for all special nuclear material access authorizations granted by the Comission. Since that time the number of licensed fuel facilities having formula quantities of special nuclear material has been reduced significantly. All of the remaining
, facilities have requirements, to varying degrees, for NRC and/or DOE personnel access authorizations. Thelevelsoftheseauthorizationsarethesame("Q" ,
and "L"); and they are based on the same type of investigations (full field Background Investigation and National Agency Check, respectively). . Accordingly, investigative ~ data on file with either of these two agencies would be acceptable for granting the comparable level of access to special nuclear , I material (i.e., "Q" to "NRC-U" and "L" to "NRC-R"). The granting of access to special nuclear material to employees of other Federal agencies (e.g., the Department of Defense) which have comparable current investigative data on file l 'O
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would be consistent with this policy. Also, forms issued by other Federal3 CT e- i.;/;s ,'
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agencies which are of similar design and contain all of. the infonnation 0 ' h I+ 8 required on the NRC application forms would be acceptable substitutes for the ,( NRC fonns. b .E y;..e-The changed circumstances in which the number of individuals needing NRC i special nuclear material access authorizations are also already sub.iect to DOE clearance requirements make it more reasonable to utilize as much of the existing DOE program as possible without diminishment of the NRC program. Accordingly, it is now appropriate to modify the regulations to allow: (a) Co,nversion of NRC and DOE personnel access authorizations to equivalent levels of NRC special nuclear material access authori-
. . zations(i.e.,"Q"to"NRC-If"and"L"to"NRC-R".respectively),when the investigations on which such personnel access authorizations were ,
based are equivalent to those required for the level of access to special nuclear material for which applications are being made. i 06 - (b) Acceptance of forms accompanying the application for SNM access . j, authorization which are issued byhFederal agencies, when such forms contain all of the information required on the prescribed NRC forms. l (c) Acceptance by the Comission, of certification from other Federal agencies, of investigative data when personnel. cleared by such agencies are making application for NRC special nuclear material
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l . access authorization and the investigative data on file are equivalent to that required for the level of special nuclear material access authorization for which applications are being made. l . (d) Incorporation of minor administrative changes which have occurred since publication of the original rule in 1980 (e.g., date for annual revision of fees schedule has been changed from December to July; and changing the fee for a full field investigation from $1550.00 to
$1580.00).
An amerjpment to effect the foregoing changes:to the rule would achieve all of the objectives of the Comission special nuclear material access authoriza- [' tion program; and at the same t me, not require licensees to duplicate efforts and expenditures for equivalent investigations and application data which have already been accomplished to satisfy requirements of other Federal agencies. The significance of taking no action to resolve this problem would be to require unnecessary and unreasonable expenditures and personnel time loss on , the part of ifcensees and their employees to acquire information which is already available from other Federal sources. s Objective ; The objective of this rulemaking action is to provide an effcctive program l for the Comission to grant special nuclear material access authorizations 4
without imposing unnecessary administrative burdens on licensees. This can be achieved by effecting the foregoing changes to the existing rule, which will allow the Comission to " grandfather" certain cleared licensee employees into the program and to accept application forms and investigative data provided by other Federal agencies. This will allow' adoption of the DOE Selective Reinvestigation Program for renewals of those individuals possessing appropriate DOE clearances. Alternatives Two alternatives were considered, in detail:
- 1) Retain the current rule unchanged.
. ' 2) Amend the current rule to achieve the stated objective.
Consecuencel - The costs and/or benefits 'of this rulemaking action are summarized as .; r follows:
, .) 1) For each. applicant for an NRC "U" special nuclear material access authorization who has had a full field background investigation conducted to satisfy personnel clearance requirements of another Federal agency, the amended rule will allow the employing licensee to submit an application without fee, as opposed to the $1580.00 fee, which is currently required for the full field investigation. For some licensees this may be as many as one third of the total number
of employees who require initial NRC special nuclear material access i authorization. Additionally, considerably less processing time is expended by the NRC reviewing officials, as well as the applicants.
- 2) There will be no additional cost or adverse impact on NRC operations other than the normal staff time expended and the cost of publishing the amendment notices in the Federal Register. The staff time required for drafting, coordinating and preparing the notice for final publication has, for the most part, already been expended.
Only a small amount of future effort, on the part of the staff, is anticipated. The cost per page for publication in the Federal Register is apprcximately $400. This notice should take less space
,I[,' ' " than two full pages. Thus, the cost for publishing both a final rule notice will be less than $800. ..
e Conclusion Alternative 2 (" Amend the current rule to achieve the stated objective") ,
- g. should be implemented. The monetary cost to the Cosmission is minimal, as '
Y compared to the adverse impact of imposing on fuel facility licensees unneces-sary and duplicative requirements of the existing rule (i.e., less than the l- costofonefullfieldbackgroundinvestigationtoamendtherule). , i l
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APPROVED FOR PUBLICATION In a final rule published March 19, 1982 (47 FR 11816), the Commission delegatec to the EDO (10 CFR 1.40(c) and (d) the authority to develop and promulgate rules as defined in the APA (5 U.S.C. 551(4) subject to the ; limitations in NRC Manual Chapter 0103, Organization and Functions. Office of the Executive Director for Operations, paragraphs 0213, 038, 039, and 0310. The enciesed rule entitled, " Revised Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material" amends 10 CFR Part 11 to allow utilization of current active Federal clearances based upon equivalent investigations for the purpose of granting the NRC special nuclear raterial access authorizations. The proposed rule does not constitute a significant question of policy, nor does it arend regulations contained in 10 CFR Parts 0, 2, 7, 8, 9, Subpart C or 110. I therefore find that this rule is within the scope of my rulemaking authority and am proceeding to issue it. , Date William J. Dircks Executive Director for Operations
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b 5 ENCLOSURE D
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o O NUCLEAR REGULATORY COMMISSION 10 CFR PART 11 REVISED CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL AGENCY: Nuclear Regulatory Comission ACTION: Final Rule
SUMMARY
- The Nuclear Regulatory Comission is changing the requirements for applications for initial access authorizations and for their renewal by allowing utilization of information on file with the government on individuals possessing current active clearances based upon equivalent investigations. The changes would eliminate unnecessary duplication of administrative costs by licensees for individuals already possessing comparable clearances. They would also eliminate certain NRC administrative costs.
- DATE: The revised procedures are to become effective upon publication.
Affected licensees will be provided copies of the Federal Register notice. ) } l FOR FURTHER INFORMATION CONTACT: Russel R. Rentschler, Office of Nuclear f hterial Safety and Safeguards, U.S. Nuclear Regulatory Comission, f Washington, D.C. 20555, telephone: (301)427-4761. l
w SUPPLEMENTARY INFORMATION: BACKGROUND On March 17, 1977 (42 FR 14880), the NRC published proposed amendments to its regulations which would establish an access authorization program for individuals who have unescorted access to or control over special nuclear material. Written coments were invited and received. On December 28, 1977 (42 FR 64703), the Comission issued a notice of public hearings on the proposed regulations and subsequently established a Hearing Board to gather i additional testimony. A final rule, based upon -recomendations of the Hearing Board regarding only fuel cycle facilities and transportation, was published in 10 CFR Parts 11, 50, and 70 on November 21,1980 (45 FR 76968). ; 8 One of the reasons for undertaking the NRC access authorization program for individuals having access to or control over special nuclear material was to maintain comparability with a similar program of clearances at Department of Energy (00E) facilities and at mixed DOE /NRC facilities. Subsequently, the population of individuals affected has become one in which DOE /NRC mixed facility employees are by far the dominant segment. Accordingly, the incentive
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to establish and maintain a comparable and independent NRC program has been replaced by an incentive to utilize as much of the existing DOE syf as / possible. The revisions to 10 CFR Part 11 accomplish this end.
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CONVERSION OF CLEARANCES The NRC accepts personnel access clearances from other Federal agencies if the investigations upon which the clearances are based are equivalent to those
- required for the level of NRC special nuclear material access authorization.
This avoids duplication of investigative activities for individuals who have undergone a comparable investigation. ACCEPTANCE OF NON-NRC APPLICATI0fl FORMS Use of applications for access authorizations on forms which are issued by other Federal agencies, if all relevant information is provided, allows the granting of NRC material access authorizations without duplicative x. administrative costs. It allows incorporation of existing documentation. USE OF DEPARTMENT OF ENERGY REINVESTIGATIONPROGRAM The DOE reinvestigation program for individuals holding NRC material access authorizations allows renewals Mder the two programs to be handled under a single system of administration. It avoids having both the licensee and the NRC duplicate administrative activities already performed by the licensee and D0E. , 4 e i t t
MINOR ADMINISTRATIVE CHANGES _ l A number of minor changes of an adm,inistrative nature are included in the rule revision. The schedule date for revision of fees has been changed from ' December to July; the fee for a full field investigation has been changed from
$1550.00 to $1580.00. Conforming changes have also been made, where appropriate, to incorporate the major revisions described earlier.
NO ENVIRONMENTAL IMPACT The rule revision has no impact on the environment. It is wholly concerned with personnel control and is administrative in nature. Under the provisions of 10 CFR 51.5 an environmental impact statement or negative declaration and environmental appraisal need not be prepared. PAPERWORK REDUCTION ACT STATEMENT The changes to the rule amend information collection requirements that are subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et. seq.). The rule prior to these amendments was submitted to the Office of Management and Budget and was reviewed and approved for paperwork requirements. The . amendments to the rule eliminate reporting requirements which duplicate those from other Federal agencies.
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