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FEB 7 1985 MEMORANDUM FOR: Russel R. Rentschler Fuel Facility Safeguards Licensing Branch Division of Safeguards Office of Nuclear Material Safety and Safeguards FROM: J. M. Felton, Director Division of Rules and Records Office of Administration
SUBJECT:
REVIEW 0F PROPOSED CODIFIED LANGUAGE AMENDING 10 CFR PART 11 The Division of Rules and Records has reviewed the proposed revisions for 10 CFR Part 11. Enclosed is a marked copy that contains our comments. In the marked copy, we have made several stylistic and format changes, all of which are necessary to comply with publication requirements of the Office of the Federal Register (0FR). We have also commented on portions of the .
amendatory text. Specifically note:
- 1. On page 3, the reference to licensees providing amend. ment to security plans "within 60 days" does not state the date or event from when the 60 days begin.
- 2. On page 5, 6 11.13, the proposed language that reads "or be authorized to adjust such transport" should be clarified to state what is meant by " adjusting transport".
As Alzonia Shepard of my staff indicated in the telephone conversation with you on January 4,1985, each rule the NRC prepares for publication in the Federal Register must begin with a preamble. The preamble contains information necessary for the user to understand the basis and purpose of the regulation. Each preamble must comply with the format requirements of the 0FR. We are enclosing a copy of the Regulation Handbook which was designed to assist the NRC staff in drafting and preparing regulations. The Handbook also contains sample rulemaking documents.
This rule contains paperwork requirements which will have to be cleared through the Office of Management and Budget (OMB). The Regulations Handbook contains information on this subject; however, you should contact Steve Scott, the project manager, on extension 28585 for further information on this matter.
8601090331 851223 PDR PR 11 60FR3907A PDR ,
FEB 7 1985 Russel R. Rentschler Dur review of the Regulatory Flexibility Statement leads us to the conclusion that it would benefit by the introduction of some basic data. The statement should indicate how many of the 10 licensees might be considered "small entities" as defined by the Act, and what type of licensees are being a ffected. The specific criteria used to make this determination should be stated. If none are determined to be small, the analysis ends right there and this fact becomes the rationale for the finding of no impact. In the event the decision is made to bypass the proposed rule stage and publish the rule as final, a Regulatory Flexibility Statement is not needed; however, a Regulatory Analysis will have to be prepared. The Regulatory Handbook provides guidance on preparing the Regulatory Flexibility Statement and Regulatory Analysis.
We appreciate the opportunity to review the codified text of the rule and would appreciate the opportunity to comment on the preamble when it is prepared.
If you have any questions, please call John phili s on ext. 27086.
s J. M. Felton, Director Division of Rules and Records Office of Administration
Enclosure:
As stated cc: Robert Fonner, ELD L
d REGULATORY FLEXIBILITY CERTIFICATION
- /
ommission 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: .
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.
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j IST OF SUBJECTS IN 10 CFR Part 11 #n d f e < a e ac -
. Part 11 - Hazardous materials - transportation, nuclear materials, reporting
- p f and recordkeeping requirements, fsecurity measures,- special nuclear material.
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m Tart 11 Criteria and Procedures fo,r Determining Eligibility for Access to or_
. s Control Over Special Nuclear Material
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N rrusfd
- 1. The authority citation for Part 11-ccatinx:; to read as follows: ,
l 1
AUTHORITY: Sec.161', 68 Stat. 948, as amended (42 U.S.C. 2201);
sec. 201, 88 Stat. 1242, as a' mended (42 U.S.C. 5841).
l Section 11.15(e) also issued under sec. 501, 85 Stat. 290 (31 U.S.C. 483a).
ENCLOSURE B l
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- 2. e- Mr ,14d{o)-4t-amanded-te f read er fellowsp f $ [ $ Y NRC 'U' special nuclear material access authorization" means an acministrative determinatiorbased 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.
) cf i- n'. P d Af w A, W $ '
. Section 11.8 is added to read as follows:
511.8 Informati ollection requirements" OMB approval.
(a) The Nuclear Regulatory Co.. ssion has .11tted the information collection requirements contained in thi art to the Office of Management and Budget (OMS) for approval as re ed by the Pa ork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) iB has approved the info i. ion collection requirements cont ed in this part under control number 31 0062.
( The approved information c,ollection requirements contained in th pa appear in 55 11.9. 11.11, 11.13, and 11.15.
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9 11.11 General Requirements.
(a) Each licensee who [after-Febewary-193 -19811 ] uses, processes, stores, transports, or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in Part 73 of this chapter) subject to the physical protection requirements of 55 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 9 70.20(a) shall identify at its facility or plant (excluding all non-powgr reactor facilities and storage of fuel incident ther ata and facilities and plants in which the licensee possesses or uses only irradiated special nuclear material subject to the exemption of 5 73.6(b) of Part 73 of ,
this chapter), describe, and if not already provided, provide to the Commission, [by-Janwary-18 3 -i988 3 ] within 60 days by amendment to its security plan:
W $ & $ Y
- 5. Sectkr 11.11(b) h ow n e to re d as foM ews. N (b) [After-(865-days-fellswing-Gemmissien-appFeVal-ef-the-amePded-seEWr4%y p?as-Submitted-4n-asserdapee-with-paragraph (sh-ef-Ehis-seelien.] 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 tiRC-U special nuclear material access authorization, and no individual may be permitted '
I unescorted access to any protected area at any site subject to this part
~
4 j without either an NRC-U or NRC-R special nuclear material access authorization.
! [An-exeeptien-4s-previded-for-any-4ndividwal-employed-en-the-effeetive-date-e4 ,
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l the se-ame n dmen t s ,-a nd-n e t-ye t-i n- re ee 4 p t-e f-a n -a pp reve d-a e e s s s -a u th e r 4 a a tie n l frem-the-Gemmissient-prev 4ded-that-a-eemplete-applieatten-was-submitted-fer l
i that-employee-4n-aseerdanee-with-511,15-and-the-app 44eatien-has-net-been disappreved.]
[/) Exceptions to the recuirement for an NRC-U special nuclear material access j authoiization for an individual to work at a job within the criteria of i
! l l paragraoh (a)(1) are provided for (1) any individual employed in such a job who l 1s not in receiot of an NRC-U special nuclear material access authorization i from the Comission, provided that a complete application has been submitted
" for orocessino for that emoloyee in accordance with 611.15(b) and (ii) any individual in oossession of an NRC-L or R access authorization or an eouivalent activehederalsecurityclearancebutnotinreceiDtoftheNRC-Uspecial !
nuclear material access authorization provided that a complete apolication has i
been submitted for processing for that emoloyee in accordance with 511.15(b). !
I !
} Exceptions to the recuirement for an NRC-R special nuclear material access ;
l authorization for an individual to have unescorted access to a protected area j are provided for (i) any individual emoloyed in such a job who is not in i
l receipt of an NRC-R special nuclear material access au_thorization from the 4 ,
Commission, provided that a complete application has been submitted f i j for processino for that employee in accordance with s 11.15(b); and (ii) any_ [
1 individual in possession of an NRC-L access authorization or an eouivalent
active federal security clearance, provided that a complete application has been sub'mitted for processing for that employee in accordance with 611.15(b).
f 5 $ //* /3, ParafrH4(d) e n c/ (d}dre rywred -fer- '
/ Sectica 11.13(a) is_ :-'c-ded toJread as foilows:
h //. /3 &ecu L ref so m o.e 4 v -/Yansio orSM -
(a) [A44-4Rd4V4dwals-whe-after-666-days-fellew4Ag-appFeVal-ef-the-ameRded npf seewr4sy-plan-swbmitted-4n-aeserdasee-w4th-5-44,44fa}]. No individual shati transport, [areange-fer-transpert] drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as monitors at transfer points or escort road, rail, sea, or air
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snipments of ,special nuclear material subject to the appropriate physical _ yy, 75 '
protectionrequirebentsof aifww scAe hu d raji.,, 55 73.20,4[3.26, s t or 53.27 of this chapter or be authorized to6M u
s"uch transiortTwithoutA[shall-have] NRC-U special nuclear
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material access authorization. [An-exeept4en-4s-prev 4ded-fer-any-4Rd4v4dwa4 empleyed-eR-the-e f fset4Ve-da ta-e f-these-ameRdPER is-a A d- AeE-yet-4R-Fee 04pt-ef-aR appreved-assess-awther4aat4es-fess-Ehe-Ge s 4ssien-peevided-that-a-semplete -
app 44 eat 4es-as-swas4Eted-fer-that-empleyee-4a-aseerdasea-w4th-4-44r45fb)-apd the-app 44eattem-kas-set-been-44sappveved.] Exceptions are provided for (/) any -
employed individual who is not in receiot of an NRC-U special nuclear material access authorization from the Commission, provided that a comolete application has been submitted for processing for that employee in accordance with 511.15(b) and (d) any individual in possession of an NRC-L or R access authorization or eouivalent active Federal security clearance but not in m receipt of the NRC-U, special nuclear material access authorization, provided that a complete apolication has been submitted for orocessing for tnat employee in accordance with 5 11.15(b).
- 7. :euuva m10(b) is ec. ended to reed a5 fcilowsk jh v pj Licensees who [afieF-MeveFbeP-ES T -i98i], following Commission approval of the amended security olan submitted in accordance with 5 ll.ll(a), transport or g#d deliver to a carrier for transport special nuclear material subject to the 7 physical protection requirements of @@ 73.20,,73.26, 73.27 ofthischapterj73'd shall confirm and record prior to shipment the name and special nuclear k material access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. [AA-exeep44es]
Exceptions to the requirement to confirm and record the SSNM access y authorization number [4s] are provided for (/) any emoloyed individual
[espleyed-en-the-effeetive-date-e?-these-asendseats-and] not in receipt of an NRC-U special nuclear material access authorization provided that a complete application [was] has been submitted for processing for that employee in accor-dance with 6 [iiri3fa ] 11.15 (bland [ Eke-app 44 eat?en-set-been-d4sappvevee]
(M any individual in oossession of an NRC-L or R access authorization or eceivalent active federal security clearance but not in recelot of the NRC-U sDecial nuclear materiai access authorization, orovided that a comolete acoll-cation has Deen submitted for orocessing for that emoloyee in accordance with sll.15(b).
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^ n Swi. ion 11.15(a}{2-)-is added to-read-as-foi-lowd l
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! [d-) Licensees who wish to secure NRC-U or NRC-R special nuclear material f l
- access authorizations for individuals in possession of an active NRC access
- authorization or other security clearance granted by another federal agency p
l based on an eouivalent investigation shall submit a security acknowledgement 1
l (_Fom 176), and a Recuest for Access Authorization (NRC Form 237). The NRC i will process b reouests by verifying the data on an NRC cleared individual, i i
i or contactino the federal acency which granted the clearance and reouestino - :
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- certification of the security clearance and determine the investigative basis l and level of b clearance. Licensees may directly request the federal agency
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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 individucl, ;
I de, l specifying the investigative basis and level of aveh clearance,
) f l 10. Se: tier 11.1% b) is :: nd d :nd reni,r.b;r:d to = ' n fel!ce::: w !
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A 11.15(b) Applications for special nuclear material access authorization .
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l for individuals other than those cualifying under,the provisions ofjll.15(a)(2) l j kW ^ ;
j Amve, em4+ be made on forms supplied by the Commission including: j C :
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l (1) Personnel Security Questionnaire (PS0) (NRC Form 1, I i .
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{ PartsIandII)[sespleted-by-the-4pdividwal]; j i
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,(2) National Agency Check-Data for Nonsensitive or Noncritical- ,,
position (SF-85A)-for R cases only: ,-
(3) Twocompletedstandardfingerprintcards(FD-258)[with-the _
4adiv4dval's-?4mgerprints-ff4R5eFFF4Ris-Ray-be-taker-by-a-10Eal-704469 autheefty),];
(4) Securityacknowledgement[f0Fa](NRCForm176);
i (5) Authority to Release Information (NRC Form 259);
1 (6) [9theF] Related forms where specified in accompanying instructions (NRC-254); and t
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- (7) A statement by the employer, prospective employer, or contractor
! identifying the job to be assigned to or assumed by the individual and the i
level of authorization needed, justified by appropriate reference to the j licensee's security plan.
i 11 5::ti;n 11.15(:) i; ren;;tc.ed li.15(c)(1) ead e,ue;.dcu 6u . sed ;;
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i (f?)(l)Exceptasorovidedin611.15(c)(2)5:!:II,NRC-UandRspecialnuclear material access authorization shall expire five years following the date of j issue. If continued NRC-U and R special nuclear material access authorization e
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/JfM I is required, an application for renewal sha+t be submitted at least 120 days prior to expiration date. Failure to make a timely application will result in l
expiration of special nuclear material access authorization. Special nuclear '
material access authorization for which a tiir'ely application for renewal has j been made may be continued beyond the expiration date pending final action on
{ the application. An application for renewal will [eens4st-e#] include:
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- f. 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 1
l the licensee',s security plan.
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i j //. Personnel Security Questionnaire (NRC Form 1, Parts I and II), I
} [eempleted-by-the-app 44eant].
4 i
1 l ///. National Acency Check-Data for Nonsensitive or Noncritical- !
l l, sensitive cosition (SF-85A). i t
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//. Two comolated standard fingerprint cards [w4th-ike-4sd4v4ewalls
- #4mgerpr4mts](FDForm258). !
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7 I. Authority to release information (NRC Form 259). !
- d. Other related forms where specified in accompanying NRC instructions [
t i (NRC Form 254).
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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 t'he individual's assigned or assumed job requires an NRC-R special nuclear material access authorization, justified by approoriate reference to the licensee's security plan.
- 12. A r.cw Senicii 11.15(c)(2) i; added-to-read c fcll=;.
An exceotion to the NRC-U special nuclear material access authorization (3) exoiration date and the time for submission of NRC-U special nuclear material A-access authorization renewal applications, is provided for those individuals
^
who have a current and active DOE-0 access authorization and who are subject '
to DOE Selective Reinvestigation Program recuirements. For these individuals, the time for submission of NRC-U special nuclear material access authorization "
renewal aoolications may coincide with the time for submission of Part I of a DOE Personnel Security Ouestionnaire to 00E oursuant to DOE Selective Reinvestigation Program requirements. The licensee may submit to NRC, con-current with its submission to 00E, an original d and dated copy of Part I of the individual's 00E Personnel Security Ouestionnaire together with 4
Part II of an NRC Personnel Security Questionnaire and the forms and informa-iv v tion recuired by paragraphs i(c)(1)(4, (ll, (N (4), vi andofik
(/-) h, pek as the a
succorting documentation for an NRC-U special nuclear material access authori-zation renewal application. Any NRC-U special nuclear material access author-ization issued in response to a renewal application submitted pursuant to this paragraph M M shall not expire until the date set by 00E for the next reinvestigation of the individual pursuant to DOE's Selective Reinvestication
- 10 -
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Procram (generally every five years). At that time (and at the time of each subseouent reinvestigation of the individual), the licensee may again submit, concurrent with its submission to 00E, an origina' gned and dated copy of Part I of the individual's 00E Personnel Security Questionnaire together with Part II of an NRC Personnel Security Questionnaire and the fanns and informa-tion reouired by paragraph (c)(1)( ), ( ), , ( ), and ) ie supoorting documentation for the renewal application. Failure to file such a -
! renewal acclication 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 recuirements will result in the expiration of the individual's NRC special nuclear material access authorization. NRC-U i
special nuclear material access authorizations for which a timely acolication
' ~ i for renewal has been made may be continued beyond the exoiration data pending j
- final action on the acolication.
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P h : tion H.1M cT o ci..cuved i.v .cou u iviiow:,. g I l
Each application for special nuclear material access authorization, h)f /
renewal or change in level must.be accompanied.by the licensee's remittance l payable to the U.S. Nuclear Regulatory Comission according to the following schedule: !
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(1) New-applieatient "W" $1 355.0 (2) New applieat4en s "R" 15 (3) Renewal "W"-er-- "R" 15 (4) Ghange-ef-level"R"-te"W"-ffwl4 fee-eharged-enly-4f-an-investigaties;13550 4s-required -
(5) Genvert-existing-NRG-er-90E "Q" y er"Q(X}"-te-W -15559
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(6) Genvert-existing-NRG-er-99E "b" 3 er"hfX}"-te-W -13559 (7) Genvert-e*4 sting-NRG-er-99E "Q", y "Q4X}"3-"h"3-er-b(X)"-te-R -15 I Fv 44-fe e-s h a rg e d-e n ly-4 f-a n-i nv e s t i g a tie n -4 s- re gw i red ,-4,e rs-la s t 4avest4 gat 4en-4s-sere-than-five-years-eld-er-dees-net-meet-neeessary 4avestigative-sesse.
/ (1) NRG-U recuiring full field investigation 51,580 J/(2) NRC-U based on certification of comoarable full y fielo oackarouno investication 0
/ // (3) NRC-R renewal _
[
jv (4) NRC- R t/ (5) f4RC-R based on certification of comcarable 2 investication 0 I !f full fielo investigation is deemeo necessary, a fee of S1580 will be assessee.
2 1f National Agency Check investigation is deemed necessary, a fee of
$15.00 will be assesseo; however, if a full field investigation is oeemco to be necessary, a fee of 51580 will be assessed.
9 p ) Material access authorization fees will be published in [9esember] July of each year and will be applicable to each access authorization request received during the following calendar year. Applications from individuals having current Federal access authorizations may be processed expeditiously at [less]
n_o, cost, since the Coninission may accept the certification of access authorizations and investigative data [(wh4ek-4s-less-skan-54ve-years-eld)] from other. Federal Government agencies which grant personnel access authorization.
17 Sect" 11.15(') h = r.d:d b rgh:h; L h&g par:72rh A ead :: f 1 h;::: *
[Wweiear-Regulatery-Ge missien-fNRG)-er-9epartment-ef-Energy-hE9E) "Q"-er
"' " aeeess-auther4aatien-granted-te-an-NRG-er-99E-empleyee-er-a-9epartBent-ef 8efer,se-f;99) "Jep-Seeret"-(based-en-a-Swll-f4e44-4mves449a44en)-er "SeeFEE" elearanee-granted-Es-a-999-empleyeey-w444-perm 44-4his-empleyeay-en-ef!4e4a4 bus 4 messy-the-same-level-s!-wneseerted-assess-te-spee4a4-awelear-saterial w4Ehin-material-aeeess-areasy-er-w4th4n-v4tal-areass-er-preteeted-areas-Ekat on-NRG "W2-er "R"-assess-awtheriaa44eny-respeeE4velyy-wewid-afferd-49 ossertanee-with-E-ilrii.]
Any federal employee or emoloyee of a contractor of a Federal acency_ <
visiting an affected facility for the purpose of conducting official business i L. -
and who cossesses an active t!RC or 00E-0 access authorizaticn or an souivalent fecaral security clearance oranted by another Federal agency ("Too Sacrat")
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- 13 -
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based on a comoarable 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 emoloyee or A 5 emloyee o of a contractor of a'. Federal agency visiting an affected facility for the puroose of conducting official business and who possesses an active NRC or s
DOE-L access authorization or arc equivalent security clearance aranted by another Federal agency ("Secreg") based on a background investigation or national acency check may be permitted the same level of unescorted access that an.NRC-R 'special nuclear material access authorization would afford in accordance withjll.11.
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Dated at Bethesda, Maryland, this day of , 1985.
For the Nuclear Regulatory Comission.
1 William J. Dircks, Executive Director for Operations.
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