ML20141F700
Text
_._. - - _ . . _- -
i r- ge,a DISTRIBUTION:
SGFF r/f s/f d CRONO
( Mr- . '
~, PSL r/f RRentschler /
GE!'ORMICU:' FCP: nichard A. Dopp, Chief Security Policy Rranch Division of Security, Fnti FROM: '!illard ".. P.rcun, Chief
, Fuel Facility Safeguards Licensing Sranch
'livision of Safeguards, !,'iSS SUCJECT: !MFT REVISI0t!S OF 10 CFR PART 11 This ee:::orandum responds to the corrents in your *! arch 29,19f'3 memorandue on the above subject.
!.'e agree with your proposed revisions to 5511.15(a)(2) and 11.15(e). De also agree that the tem " contract agent" in 511.15(f) nay he i.isinterpreted.
I!cuever, v.u believe that a regulatory definition is not required if the torn is replaced by, "caployee of a contractor". Relative to your additional concern is to how clearances and ievel of investigation should be confirred for these individuals, ue holieve t!'at such confirmation should be
( accomplished as provided for under the regulations governing the clearances and not under Part 11. M aally, ve have the following cor.mnts regarding
. rene'.4al s. !!c propose to accept the renewal interval of the 00E Selective Reinvestigation Program for all employees of DCE contractors uno hold DOE "Q" clearances. Therefore, we propose to reverse the order and slightly revise the content of your proposed 511.15(c)(1) and (2).
-/.ttached find a copy of the revisions to 10 CFR Part 11 as we now propose then.
-%m :iis.e; -
, .c.y 3, g._ ,
'dillard D. Crown, Chief Fuel Facility Safeguards Licensing Granch Division of Safeguards, !! MSS AttacPaent:
f.s sta:cd 8601090518 851223 PDR PR 11 50FR39076 PDR.
i -
o,,ia , ...sf.. ....... ......Sc7..... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........... . . . . .
W wn summe > ....... .....hi e r :
.. .[.8. 3......g... 4./,f../83 om>
. nac ronu sis tmomacu ano \ OFFICIAL RECORD COPY - m oi-a C _ _ _ _ _ - _ _ _ _
' ~' '~
=" ^& "M
.. . ,e Draft Working Paper
(
511.7(c) "URC 'U' special nuclear material access authorization" means an administrative 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 511.11(a)(1) or E11.13.
511.11(b) No individual may be permitted to work at any job determined by the Commission to fall within the criterion of paragraph (a)(1) of this section without an NRC "U" special nuclear material access authorization; and no indivi-dual may be permitted unescorted access to any protected area at any site subject to this part without either an NRC "U" or NRC "R" special nuclear material access
-authorization. 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 paragraph (a)(1) are provided for (i) any individual employed in such a job on the effective date of these amendments, and the individual is not yet in receipt of an NRC "U" special nuclear material access authorization from the Commission, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved; and (ii) any individual in possession of an NRC "L" or "R" access authorization or an equivalent active federal security clearance but not yet in receipt of the NRC "U" special nuclear material access authorization provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved.
Exceptions to the requirement for an NRC "R" special nuclear material access
-( authorization for an individual to have unescorted access to a protected area are provided for (i) any individual employed in such a job on the effective date of these amendments, and the individual is not yet in receipt of an NRC "R" special nuclear material access authorization from the Commission, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved; and (ii) any individual in possession of an NRC-L access authorization or an equivalent active federal security clearance, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved.
511.13 Special Requirements for Transportation (a) No individual shall transport, drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as a monitor at transfer points, escort road, rail, sea, or air shipments of special nuclear material subject to the appropriate physical protection requirements of 5573.20, 73.25, 73.26, or 73.27 of this chapter or be authorized to adjust such transport without NRC "U" special nuclear material access authorization. Exceptions are provided for (i) any individual employed e
eem .- -
,; P
( on the effective date of these amendments and not yet in receipt of an NRC "U" special nuclear material access authorization from the Comission, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved; and (ii) any individual in possession of an NRC "L" or "R" access authorization or equivalent active federal security clearance but not yet in receipt of the NRC "U", special nuclear material access authorization, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved.
(b) Licensees who after 365 days following Commission approval of the amended security plan submitted in accordance with 11.11(a) transport or who deliver to a courier for transport special nuclear material subject to the physical protection requirements of 5573.20, 73.25, 73.26, 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material
. access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. Exceptions to the requirement to con-firm and record the SSNM access authorization number are provided for (i) any individual employed on the effective date of these amendments and not yet in receipt of an NRC "U" special nuclear material access authorization from the Commission, provided that a complete application was submitted for that employee in accordance with 511.15(b) and the application has not been disapproved; and (ii) any individual in possession of an NRC "L" or "R" access authorization or equivalent active federal security clearance but not yet in receipt of the NRC "U" special nuclear material access authorization, provided that a complete
{. application was submitted for that employee in accordance with 11.15(b) and the application has not been disapproved.
511.15(a)1) Application for special nuclear material access authorization, renewal, or change in level shall be filed by the licensee on behalf of the applicant with the Director, Division of Security, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555.* Applications for affected individuals employed on the effective date of these amendments shall be submitted within 60 days of notification to the licensee of Commission approval of the amended security plan. ,
- Process times for special nuclear material access authorizations can be expected to be about 190 days for NRC-U and 130 days for NRC-R.
(
7
~
.,,; 511.15(a)(2) Licensees who wish to secure NRC "U" or NRC "R " special nuclear
( material access authorizations for individuals in possession of an active NRC access authorization or other security clearance granted by another federal agency based on an equivalent investigation shall submit NRC Form ,
" Material Access Authorization Acknowledgement" and NRC Form 237, " Request for Access Authorization." The NRC will process such requests by verifying the data on an NRC cleared individual, or contacting the federal agency which granted the clearance and requesting 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, specifying the investigative basis and level of such clearance.-
511.15(b) Applications for special nuclear material access authorization 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 (NRC-1, Parts I and II);
(2) National Agency Check-Data for Nonsensitive or Noncritical-Sensitive Position (SF-85A)-for "R" cases only; (3) Two completed standard f ingerprint cards (FD-258);
(4) itaterial Access Authorization Acknowledgement (NRC- );
{
(5) Authority to Release Information (NRC-259);
(6) Related forms 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 pl an.
511.15(c)(1) If a licensee is also a Department of Energy (00E) contractor, the time for submitting a renewal application for NRC "U" special nuclear material access authorization shall coincide with the submission of Part I of a DOE Personnel Security Questionnaire to DOE pursuant to the DOE Selective Reinvestigation Program. The licensee shall submit to NRC, concurrent with the submission to DOE, an originally signed and dated copy of Part I of a DOE Personnel Security Questionnaire, together with Part II of an NRC Personnel Security Questionnaire and the forms and information required by paragraphs (c)(2)(A), (C), (D), and (E) below, as the supporting documentation for a aewal_ application. .
r (
1 =.
L
.a y me
- q. ,n
~~ -- nm ,
.e a _4_
511.15(c)(2) NRC "U" special nuclear material access authorization for h individuals other than DOE contractor employees holding current DOE "Q" clearances shall expire 5 years following the date of issue. If continued NRC "U" and "R" special nuclear material access authorization is required, an application for renewal shall be submit:ed at least 120 days prior to the expiration date. Failure to make a timely application will result in the expiration of NRC "U" and "R" special nuclear material access authori-zations. NRC "U" and "R" special nuclear material access authorizations for which a timely application for renewal has been made may be continued beyond the expiration date pending final action on the application. An application for renewal of NRC "U" special nuclear material access authorization shall include the following:
(A) A statement by the licensee that at the time of application for renewal 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) A Personnel Security Questionnaire, Part I and Part II, completed by the individual (NRC Form 1, Parts I and II).
(C) Two standard fingerprint cards with the individual's fingerprints (FD-258).
(D) Authority to Release Information (NRC Form 259).
(E) Other related forms where specified in accompanying NRC instructions.
An application for renewal of NRC "R" special nuclear material access authorization need only include a statement by the licensee that at the time of application for renewal the individual's assigned or assumed job requires an NRC "R" special nuclear material access authorization, justified by
~
appropriate reference to the licensee's security plan.
511.15(e) Each application for special nuclear material access authorization, renewal or change in level shall be accomplished by the licensee's remittance .
payable to the U.S. Nuclear Regulatory Commission according to the following schedule:
(1) NRC "U" requiring full field investigation ..................................... $1,665.00 (2) NRC "U" based on Certification of Comparable Full Field background investigation . . .. . ...... .. ..... 15.00 (3) NRC "R" ............................................. 15.00*
(4) Renewal NRC "U" ..................................... 15.00*
(' *1f full field investigation is deemed necessary, a fee of $1,665.00 will be assessed.
m . . _ __ _ _ _ . _ ,
J.
5-Material access authorization fees will be published in July of each year and will be applicable to each access authorization request received during the following calendar year.
511.15(f) Any federal employee or employee of a contractor of a federal agency, on official business, who possesses an active f1RC or DOE "Q" access authorization or an equivalent federal security clearance granted by another federal agency
(" Top Secret") based on a comparable full field background investigation may be permitted the same level of unescorted access to special nuclear material that
~
an fiRC "U" special nuclear material access authorization would afford in accordance with 411.11. Any federal employee or employee of a contractor of a federal agency, on official business, who possesses an active liRC or DOE "L" access authorization or an equivalent 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 to special nuclear material that an flRC "R" special nuclear material access authorization would afford in accordance with (11.11.
(
9 k
__ g e