ML20138H251
| ML20138H251 | |
| Person / Time | |
|---|---|
| Issue date: | 04/03/1997 |
| From: | Brady R NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Meyer D NRC OFFICE OF ADMINISTRATION (ADM) |
| Shared Package | |
| ML20138H014 | List: |
| References | |
| FRN-62FR17683, RULE-PR-25, RULE-PR-50, RULE-PR-54, RULE-PR-95 AF37-2-006, AF37-2-6, NUDOCS 9705070122 | |
| Download: ML20138H251 (1) | |
Text
April 3, 1997 }
MEMORANDUM TO: David L. Meyer, Chief Rules Revi6w and Directives Branch Office of Administration Original signed by FROM: Raymond J. Brady, Director Division of Security Office of Administration
SUBJECT:
PUBLICATION OF AMENDMENTS TO 10 CFR PARTS 25,50,54 AND 95 4
On March 26,1997 the Executive Director for Operations approved publication of the attached final rule " Access to And Protection of Classified Information," amending 10 CFR Parts 25, 50, 54, and 95.
Please implement this approval by arranging for publication of the final rule in the Federal Register.
Also attached is a Congressional letter package for transmittal to the Office of Congressional Affairs and the regulatory analysis for transmittal to the Public Document Room.
iI l Attachments-s
- 1. Approval for Publication '
- 2. Original FR Notice and 14 Copies
, 3. Congressional Letter Package
- 4. Regulatory Analysis l S. Wordperfect 5.1 Disk Distribution:
MC: None SCF: LRD 3.00.09 !
LRD 3.00.17 D/SEC R/F !
J. J. Dunleavy, PERSEC l A. L. Silvious, INFOSEC '
R. A. Dopp, FACSEC Document Name: Congltr2 (CIRCLE the "C" to receive a copy of t%is ppanent without enclosures; CIRCLE the "E" to receive a copy with enclosures) 4 OFFICE SEC aS% ~
lC E E$fR$4, , lC E lC E lC E lC E i
NAME DGKidd FM @ S l DATE ,4/3 /97 4}T/97i 4/ /97 4/ /97 4/ /97 OFFICIAL RECORD COPY
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9705070122 970429 PDR PR '
2S_62FR17683 PDR
E h
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.; [7590-01-P]
NUCLEAR REGULATORY COMMISSION !
10 CFR PARTS 25, 50, 54 AND 95 l
RIN 3150-AF37 I
Access to And Protection of Classified Information ]
AGENCY: Nuclear Regulatory Commission. ;
i 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 4 I
information to new national security policy documents. This final rule is !
necessary to ensure that classified information in the possession of NRC licensees and others under the NRC's regulatory requirements is protected in accordance with current national policies. )
EFFECTIVE DATE: (30 days from date of publication in the Federal Register)
FOR FURTHEH INFORMATION CONTACT: Duane G. Kidd. Division of Security. Office j l
of Admini stration, U.S. Nuclea r Regulatory Commi ssion, Washington, DC 20555- )
0001, telephone (301) 415-7403, Email DGK@NRC. GOV. i 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 of Restricted Data and classified National Security information at licensee, certificate holder and other f acilities. 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 gy j Q M) h - ~ g
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l were' revised by the issuance of the National Industrial Security Program l
l Operating Manual (NISP0M), Executive Order (E.0.) 12958, "Cla ssi fied National Security Information," dated April 17, 1995, and E.O. 12968, " Access to Classified Information.,". dated August 2, 1995 . The requirements of 10 CFR Parts 25 and 95, and the sections of Parts 50 and 54 that contain requirements for access to Restricted Data, were substantially based on E.O. 12356, dated ,
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
]
95-that deal with requirements for access to and protection of classified I
information that have been changed or added by the NISPOM or tne Executive .
Orders with the exception of those requirements related to personnel security l
! 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 i
l Restricted Data in the NISPOM and its supplement, with an "L" clearance based on a National Agency Chect with Inquiries and Credit' Check (NACIC). The Department of Energy (DDE) objected to this change in their formal comments on 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 of all classification guidance to determine if the guidance contains this type of j i
l information. and the upgrading of this information to Top Secret, all personnel with access to Secret Pestricted Data must have a "0" clearance based on a Single Scope Background Investigation (SSBI). Given DOE's special !
! statutory authorities in establishing controls for Restricted Data, their ;
views deserve special consideration. However, because this requirement may 4
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exceed the requirements of applicable National Policy (i.e., the NISPOM), and l
result in additional costs to licensees and certificate holders, the NRC has decided to withdraw the changes to SS25.15 and 95,35 in this final rulemaking j and to republish them separately for additional public comment. This will provide interested parties an equal opportunity.to address the issues and provide supporting rationale for their recommendations and comments, J I
Other aspects of the proposed rule were generally acceptable to all l commenters. Those changes included revised and added definitions such as -l Cognizant Security Agency, Classified National Security Information, Classified Information, f acility Security Clearance, Foreign Ownership, Control , or influence as well as numerous amendments to reflect the fact that the NRC may permit another Cognizant Security Agency IDGE, DoD, or CIA) to assume some or all of the security oversig ht functions et 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, 95.27, 95.29.
95.31, 95.33, 95.37, 95.39, 95.43, 95.47, 95.49, 95.51, 95.53. 95.57 and 95.59). The final rule addresses the intent of E.O.12829, " National Industrial Security Program," to reduce wasteful and inefficient duplicative 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 Executive Orders or the NISPOM, mandate specific requirements not included in ;
I the previous versions of the rules, These new requirements include.:
-Requiring that key management personnel have access authorizations as well as those employees with access to c'assified information ($$95.17 and 95,18):
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f Permitting reinstatement of an access authorization up to 24 months after l l
l termination instead of the previous b months (525.29)- !
E i t Permitting facility security officers to issue visit authorization l letters directly rather than processing authorization requests through the NRC Division of Security (525.35).;
Requiring a finding that a facility is not under foreign ownership.
l control or influence (SS95.15 and 95.17):
Requiring facility security officers to nave specific training related to )
1 their position (S95.33): l' l
l_ Permittin9 the use of reinforced steel filing cabinets with lockbars and
! key locks for classified information (provided appropriate supplemental i
protection is in place during non-working hours) (S95.25):
f Cnanging the security classification markings to conform to E.O.12955 (S95. 3D : ,
Reducing the accountability requirements for Secret documents (S95.41):
Defining procedures for challenging Classification decisions that one believes to be in error (595.37);
Allowing for additional methods -of transmitting classified information (S95.39):
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 (SS50.37 and 54.17):
and Imposing fewer limitations on a facility's authority to reproduce l classified information when operationally necessary (595.43).
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! 11. Comments on the Proposed Rule i The Commission received two letters commenting on the proposed rule, one
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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. (tower Level), Washington, ,
DC. Both comments support the rulemaking, but provide reenmmendations for '
clarifications and improvements. The Georgio Power Company recommends that I the NRC: !
(1) Provide a procedure for the designation of the Cognizant Security Agency (CSA) for a facility: ;
(2) Address the Commission's role in ensuring compliance with the rules i
of.other CSA's:
i (3) Reconcile Restricted Data requirements in 10 CFR Parts 50 and 54 of ;
I the Commistion's regulations with the proposed changes to 10 CFR Parts 25 and 95: and, l (4) Define when a facility clearance from the Commission 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:" j l
(2) Eliminate the use of the term " Critical Secret Rettricted Data" and require all Secret Rektricted' Data to be protected at the level required by I the February-1995 NISPOM Supplement:
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-(3) Clarify the definition of " access authorization" in 525.5:
(4) Clarify the requirements for review of the SF-86 in S25.17(e):
)
(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 $95 25 1 l
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to the requirements of the NISPOM Supplement;
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(9) Eliminate the requirements in $93.25(c)(2)(v) to change security l
container combinations once every 12 months which exceeds the NISPOM requirements: l (10) Require that documents indicating " multiple sources" as the basis i i
i for classification have those sources identified on the record copy of the document; and, j I
(11) Require that " person" not be referred to as able to possess a' i
I l facility clearance in S95.57.
i Comments From Georgia Power: )
1 Comment: The commenter stated that ". . .the proposed rule does not
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explain which of these agencies is the appropriate CSA. in a given situation or for a given facility, or who makes that determination. Conceivabl). more than i
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.
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 I
for the protection of the classified information at the tac'lity and is the 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 l as determined between the agencies, would serve as the CSA and would be the l
( agent of the other for matters relating to the protection of classified i
- information. The facility would normally deal directly with the CSA on all 1 -
! issues related to the protaction of classified information at that facility ,
i and the CSA would inform the other agency of issues related to its security l i
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Comment: With respect. to the issue of the Commission
- s role of ensuring I 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 i
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l Commission if it applies to another CSA for an access authorization?" -[
Response: Section 25.17 has been revised to require a facility, with a !
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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 not need to be notified when the facility submits access authorization l requests for access to classified information of the other agency. In keeping l
l with the comment that the process should b) s'.ple, the Change merely requires l a letter of request for access in NRC classified inf ormation. The NRC must be i
I involved when access to NRC classified information is requested since the NRC i must make the need-to-know determination. The NRC will handle any necessary coordination between itself and the CSA.
I I The commenter noted an apparent conflict between SS50.37.and i
Comment:
< Sa.17(g) and other Commission regulatiors. i l l Response: The NRC has revised those paragraphs to resolve the conflict.
- The NRC has clarified that compliance with 10 CFR Parts 25 and/or 95 satisfies the requirements of SS50.37 and 54.17(g) as they relate to the protection of 1
! classified information. 1 Comment: The commenter indicated that S95.15 was unclear on whether a facility clearance was required under certain circumstances for licensee
, activities at other facilities. Specifically, the commenter stated. "As 1
- revised by the proposed rule, it is unclear whether 10 CFR 95.15 requires an
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NRC licensee to obtain a facility clearance from 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 f acilities subject to the oversight of another agency. For example, does 10 CFR 95.15 require a facility clearance f rom the Commission in order for employees of an NRC licensed facility to'use or handle classifiea information which is maintained at a-00E 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 rule."
Response: Section 95.15 has been modified to clarify that an NRC f acility 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 S95.15, 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 classified information and they wish another f acility (e.g. , one of their contractors), to_have access to the NRC classified information at t"eir (the contractor's) facility. that contractor would require an NRC f acility clearance.
Comments from DOE:
Comment: 00E had two comments relating to " access authorization" (1) While " access authorization" was the commonly used term. .."The introduction to the proposed rule references ' personnel security clearance' 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
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that a personnel security clearance is a synonym for access authorization ..
es ta bl i shed . "
(2) "The definition for ' access 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 i section of the final rule, which is an explanatory section- rather than a f portion of the rule, has been changed to " access authorization." The other changes have not been adopted since this is a recommendation for an editorial change and, in each case where the terms are used the meaning is clear. The l definition of " access authorization" has been used within the NRC industrial l
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 i
is to include certificate holders nithin its scope. f i
Comment: The commenter noted that the proposed rule contains the term
" Critical Restricted Data." They state that this. term has not been adopted by any agency and that the level of protection f or Secret Restricted Data was not l
adequate. Specific..lly 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 tu review this issue and has decided not to use this term. Instead, inf ormation will be oppropriately l 1
upgraded to Top Secret, it is strongly recommended that NRC not use the term l l
" Critical Secret Restricted Data" in this regulation. Instead we suggest that I all Secret Restricted Data continue to be protected at the NISPOM 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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l this(sic) sections are not consistent with the storage requirements for Secret
-Restricted Data in the NISPOM supplement." l i
Response: Because of DOE's statutory responsibilities for the protection of Restricted Data, the potential economic impact on licensees and certificate holders and possible discrepancies with the requirements of the NISP0M, NRC is i
withdrawing the changes to SS25.15 and 95.35 which deal with the level of ;
clearance / type of background investigation required for access to Secret >
Restricted Data and will republish those changes separately for public ;
comment. Additionally, although the term ' Critical Secret Restricted Data" is deiined in and the security requirements for it are specified in Chapter 9 I
" Restricted Data," of the NISPOM Supplement, dated February 1995, the l
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Supplement also indicates that a Joint DOE!DoD Nuclear Weapons Access ;
l Authorization Group is reviewing this issue and that there are ongoing efforts <
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by the DOE and DoD to revise the requirements reflected in the Supplement. :
Because that group has decided not to use the term " Critical Restricted Data,"
it has been removed from $95.31(b) and a description of the information it was intended to protect has been substituted. However, because the level of physical protection required for Secret Restricted Data in the proposed ru'e is essentially the same as the requirements of the current. long standing Part 95, and those requirements appear to meet the requirements of the NISPOM. 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 l
.at that time, will consider revising its regulations to reflect the new l l
policies, I 10 \
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Comment: The commenter questioned whether S25.17(e) requires a l l
licensee / contractor to review Part 2 of the SF-86. l 1
Response: It is not the intent of this section that personnel at a ,
4 licensee, certificate holder, or other facility review Part 2 of the SF-86, nor has it been NRC practice that this occur. The NRC's instructions for completing the SF-86 explicitly state that Part 2 of the 'SF-86 is to be placed in a sealed envelope by the individual completing the form and that the envelope is to be forwarded to the NRC unopened. Section 25.17(d)(1)(i) has been clarified to ensure that these requirements are clear.
i Comment: The commenter is concerned that S95.3 does not include Formerly Restricted Data.
Response: While Formerly Restricted Data (FRD), information related j primarily to the military ase of atomic weapons, is rare in the NRC program, the NRC agrees that its regulations should clearly address all forms of classified information. Section 95.3 has been revised accordingly.
Comment: The commenter is concerned that the term " security survey" is l used in 10 CFR Part 95 instead of the NISPOM term " security review."
Response: The term " survey" in S$95.17(a)(2) and 95.59 has been changed to " review."
l The commenter is concerned that S95,18 is not sufficiently l Comment:
clear about the level of access authorizations required for senior management.
-Specifically, the commenter states, " Senior management cannot be cleared to the " level of the f acility" by NRC, as NRC can only grant "0" and "L" access authorizations, and facilities are classified as Secret, Top Secret, etc. ,
i Perhaps senior management could be cleared to a level commensurate with that of the facility clearance." ]
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1 Response: Section 95.18 has been revised to reflect that senior !
management will be cleared to a level commensurate with that of the f acility {
clearance. .
Comment: The commenter is concerned that the requirement to change security container combinations once every 12 months exceeds the requirements '
of the NISPOM. ,
- Response
- Section 95,25(c)(2)(v) has been deleted, eliminating ~ this requirement.
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] Comment: The commenter is concerned that documents classified from I
multiple sources will not have an adequate record of what those sources were. )
- Specifically, the commenter states, "Suggest a sentence be added to indicate j J
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! that on a document marked ' multiple sources
- that the multiple sources must be i
identified in the records copy of the document."
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- q. Response:'The suggested revision is already contained in i
. $95.37(c)(1)(iv).
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Comment: The commenter it concerned about the use of the term " person"
,i in association with a facility clearance and that the definition of facility 7
f clearance should t'e more detailed.
l Response: It is clear from the definitions and the context that any i
possessor of a facility cledrance is obligated to immediately report certain types of information. The definition " facility (Security) clearance" is a j verbatim extract from the NISPOM and the definition of " person" used in Part t
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! '95 is similarly defined throughout 10 CFR and has been used for many years I i
.without confusion as to its meaning. !
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( 111. The Final Rule q
With the exception of the items addressed under " Comments on the i
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i Proposed Rule" and a slight change to the definition of " Visit Authorization letter" in S25.5, the final rule is the same as the proposed rule. The specific changes from the proposed rule are- ,
1 The proposed revisions to 9525.1b and 95.35 have been withdrawn;
., The definition of "CSA" in 10 CFR Parts 25 and 95 has been revised to j reflect that the CSA is the agency which exercises primary authority for the protection of the classified information at the facility and is the agency :
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. With which the facility interacts in these matters; i
The definition of " Visit Authorization Letter" in S25.5 has been revised i
$ to clarify that such a letter is only required for information specifically
{ related to the license, certificate, or other NRC program at the facility; 4
Section 25.17 has been amended to require a facility, with a CSA other I i than NRC. to advise the NRC when it s . ..a ! . an individual for an access t l 1 J authorization for access to NRC classified information, but not when the
- facility submits access authorization requests for access to the classified ,
i information of the other agency:
Section 95.31(b) has been revised to delete the term " Critical Secret 4
Restricted Data" and replace it with a generic description of the type of data ,
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- it was intended to protect; I
i _Section 25.17(d)(1)(i) has been modified to clarify that facility i i security personnel are not to review Part 2 of the SF-86:
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 l i
- and 54; Section 95.3 has been modified to include formerly Restricted Data t
j within its scope; 2
i Section 95.15 has been modified to clarify that an NRC facility
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clea~rance is only required for the use or possession of NRC classified information at the facility:
Sections 95.17(a)(2) and 95.59 have been revised to change " survey" to
" review";
Section 95.18 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 Regulator 3 Enforcement Fairness Act of 1996, the NRC has determined that this action is not a major rule and has verified-this determination with the Office of Information and Regulatory Affairs of OMB.
Environmental I mpa c t .: Categorical Exclusion The NRC has determined that this final rule is the type of action described in categorical exclusion 10 CFR 51.22(c)(2). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this final rule.
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Paperwork Reduction Act Statement i i !
! This final rule amends information collection requirements that are l l
subject to the. Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.),
These requirements were approved by the Office of Management and Budget.-
- approval numbers 3150-0046, 3150-0047, and 3150 0050. .
5 The public reporting burden for this collection of information is 4
- 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 i
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4 instructions, searching existing data sources, gathering and maintaining the I )
{ data needed, and completing and reviewing the collection of information.
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- Send comments on any aspect of this collection of information, including suggestions for reducing the burden, to the information and Records l
!' Management Branch (T 6 F33), U.$ Nuclear Ragf.atory Commission, Washington, ,
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j DC 20555 0001, or by Internet electronic mail at BJSl@NRC. GOV; and to the Desk Of ficer, Qf fice of Information and Regulatory Affairs. NE0B 10202, (3150-0046, i i
j 0047 and -0050), Office of Management and Budget, Washington, DC 20503, 1
I Public Protection Notification )
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The NRC may not conduct or sponsor, and a person is not required to '
respond to, a collection of inf ormation unless it displays a currently valid i' OMB control number. 1 I
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- Regulatory Analysis f The Commission has prepared a regulatory analysis for this final i I regulation, .The analysis examines the costs and benefits of the alternatives j 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.
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( Lowe r ' Lev el ) , Washington, DC. Single copies of the analysis may be obtained
{ i f rom Duane G. Kidd, Division. of Security, Of fice of Administration, U. S. l f
Nuclear Regulatory Commission, Washington, DC. 20555-0001, teliphone (301) 415- !
7403.
i Regulatory Flexibility Certification As. required by the Regulatory Flexibility Act of 1980 (5 U.S.C. 605(b)), j the Commission certifies that this rule does not have a significant economic impact upon a substantial 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 facilities affected by this rule would qualify as a small entity under the j NlC's size standards (10 CFR 2.810).
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Backfit Analysis j l
The NRC has determined that the backfit rule,10 CFR 50.109, applies to' l this rulemaking initiative because it falls within the criteria of 10 CFR Part
. 5'0.10 9 ( a ) ( 1 ) , but that a backilt analysis is not required because this rulemaking qualifies f or exemption under 10 CFR 50.109(a)(4)(iii' that reads "That the regulatory action involves . redefining what. level of protection to-the . . common defense and security should be regarded as adequate."
List of Subjects 10 CFR Part 25 Classified information., Criminal penalties, investigations. Reporting and recordkeeping requirements. Security measures.
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-10 CFR Part 50 !
Antitrust, Classified information, Criminal penalties, Fire protection, !
l Intergovernmental relations, Nuclear power plants and reactors, Radiation protection, Reactor siting criter'), Reporting and recordkeeping requirements '
. I l i i
Administrative practice and procedure, Aging management review, !
t Backfitting, Classified information, Criminal penalties, Nuclear power plants l and reactors, Reporting and recordkeeping requirements l i
l I 10 CFR Part 95 !
Classified information, Criminal penalties, Reporting and recordkeeping l l !
l- requirements, $ecurity measures, i l
l For the reasons set out in the preamble and under the authority of the l Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, l t !
l as amended, and 5 U.S.C. 552 and 553, the NRC is adopting the f olloking {
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! amendments to 10 CFR Parts 25, 50, 54 and 95. l i
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( PART 25 -- ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL j t
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- 1. The authority citation for Part 25 is revised to read as follows: [
i AUTHORITY: Secs. 145, 161, 68 Stat. 942, 948, as amended (42 U.S.C. i
! 2165, 2201): sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5641): E.O. l l
10865, as amended 3 CFR 1959 1963 COMP., p. 398 (50 U.S.C. 401, note):
l E.O. 12829, 3 CFR, 1993 Comp., p. 570: E,0. 12958, 3 CFR, 1995 Comp., p.333; ;
I ;
4 E.0, 12968, 3 CFR, 1995 Comp., p.396. :
- i 17 t
I i
- . - - . . . . . _ ~ . - - . .
3 I
i Appendix A also issued under 96 Stat. 1051 (21 U.S.C. 9701).
[
i i
- 2. Section 25.1 is revited to read as f ollow'- '
t 6 25.1 Purnnse. l l
The regulations in this part establish procedures for granting, reinstating, extending, transferring, and terminating access authorizations 'l i
of licensee personnel, licensee contractors or agents, and other persons ;
(e.g., individuals involved in adjudicatory procedures as set forth in.10 3 i
CFR Part 2, subpart I) who may require access to classified information. )
1
- 3. Section 25.3 is revised to read as follows:
0 25.3 Scnra. l 1
The regulations in this part apply 1; licensees anc otners wno may require access to classified information related to a l'.ense or an application for a license.
4 Section 25.5 is amended by revising the definitions Access afnnr 8 re inn anc Need to-6now and by adding tne definitions of r e ct ificata hnidar, C l a r t i +~ i o d ininrmation, Clattified hational Secueitv Information, rnani z ant Sororit v Acancv. and visit authorizatinn lettars in alpnabetical order to read as follows:
9 25'5 Dafinitinnt.
J I
I i
Arces? authn"4 2ation means an administrative determination that an j indivicual (including a consultant) who is employed by or an applicant for ;
)
employment with the NRC. NRC. contractors, agents, licensees and certificate j holders, or other person designated by the Executive Director for !
i 18 i l
. . . - - . - - . . . . . . .. ~. .. - . - - .- . - . - ... . ,_._.-._ - - - -. - .-
1 j- Operations,Lis eligible for a security clearance for access to classified
- .. 1 information, '
i j . . . . .
d i
[
^
Certificat e holder means a facility operating under the provisions of i
i l Parts 71.or 76 of this chapter. i f
- 1 l Classified infnrmation means either classified National Security. ;
Information, Restricted Data, or Formerly Restricted Data or any one of i i i -them, it is the generic term for information requiring protection in the ;
l interest of National Security whether classified under an Executive Order or j 1
2 .
- the Atomic Energy Act. !
l >
j- Classifiad National Security Information means information that has I i .
I
- been determined pursuant to E.O. 12958 or.any predecessor order to require !
3 protection against unauthorized disclosure and that is so designated.
Connirant Securitv taancy (CSA) means agencies of the Executive Branch I
that have been authorized by E.O. 12829 to establish an industrial security program for the purpose of safeguarding classified information under the l jurisdiction of those agencies when disclosed or released to U.S. industry. l These' agencies are the Department of Defense, the Department of Energy, the Central Intelligence Agencv, and the Nuclear Regulatory Commistion. A j f acility has a single CSA which exercises primary authority f or the l protection of classified information at the facility. The CSA for the l
facility provides security representation for other government agencies with
, security interests at the facility. The Secretary of Defense has been f
- designated as Executive Agent for the National Industrial Security Program.
I 1 Naad to know means a determination made by an authorized holder of i
2 classified information that a prospective recipient requires access to 1
i 19 e
. . . - - - .-. . -. - - - _ - - ~ . . - ~ . . - . . - - - _ . _ . . . _
t i
specific classified information to perform or assist in a lawful and !
r authorized governmental function under the cognizance of the Commission.
i I
l Visit auth rizatinn lettors (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 facility for the purpose of exchanging or acquiring i
! classi fied inf ormation related to the license.
i
{
- 5. In S 25.8. paragraphs (a) and (b) are revised to read as follows: i
- 6 25.8 Information collectinn rocuiromonts OMB annrnval.
(a) The Nuclear Regulatory Commissico h a t, submitted the information ;
l collection requirements contained in this part to the Difice of Managemer.1 l 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 1
l is not required 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 i 0046. .
l l (b) The approved inf ormation 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, and 25.35.
- 6. In S25.13 paragraph'(a) is revised to read as f ollows: l i
i !
l 20 i
g -
w -
+ y - -
, .- . - . . ._ - _.- - . . - . . ~ . . . . . , _ - - . - .
1 i
$ )
5 25.13 Maintenance of records.
A I
. (a) Each licensee or organization employing individuals approved for i
d 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.
I s * * *
- l t
7 Section 25.17 is revised to read as follows: l 5 26.17 Anornval for orncessinn annlicant s f or access authorization.
I (a) Access authorizations must be requested for licensee employees or l 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, i (b) The request must be submitted to the facility CSA. 14 the NRC is I l
the CSA, the procedures in 525,17(c) and (d) will be followea. 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 duthorization,
]
l (c) The request must include a completed personnel security packet i
)
(see S 25,17(d)) and request form (NRC Form 237) signed by a licensee, licensee contractor official, or other authorized person. l i
(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 sedled envelope which is to be forwarded to NRC unopened. No licensee, licensee 21
. i
___ - _ . _ . - _ . _ _ . _ . _ _ _ . . _ . _ . . _ - . . . _ . _ . - _ - - _ _ . _ _ . . . _ _ . ~
4 4
d 1-contractor official, or other person at a facility is permitted to review Part 2 information):
(ii) Two standard fingerprint cards (FD - 268):
(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 accest 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 reauests for access authorizations, each security packet should-be reviewed for completeness and correctness (including legibility of response on the f orms) 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 fo'r the conduct of investigations. Any changed I
access authorization or access authorization renewal fees will be applicable to each access authorization or access authorizatian renewal request received upon or after the date of publication. Applications from
~
individuals having current Federal access authorizations may be processed 22
more expeditiously and at less cost, since the Commission may accept the certification of access authorization and investigative data from other Federal Government agencies that grant personnel access authorizations.
- 8. Section 25.19 is revised to read as f ollows:
S 25.19 Processinn acolications.
Each application for access authorization or access authorization renewal must be submitted to the CSA. If the NRC is the CSA, the application and its accompanying fee must be submitted to the NRC Division of Security, if necessary, the NRC Division of Security may obtain approval from the appropriate Commission office exercising licensing or r egul a t o ry authority bef ore processing the access authorization or access authorization renewal request, li the applicant is disappr .ed for processing, the NRC Division of Security shall notify the subnitter in writing af.d return the I
original application (security packet) and its accompanying fee.
- 9. Section 25.21 is revised to read as follows:
0 25.21 Daterminatinn of initial and cont inuo1 aliaibilit v for access I
authorization. ,
(a) Following receipt by the CSA of the reports of the personnel security investigations, the record will be reviewed tu determine that granting an access authorization or renewal of access authorization will not j endanger the common defense and security and is clearly consistent with the national interest. If this determination is mace, access authorization will 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 Chapter 1. If another agency is the CSA, that ogency will, under t h,e 23 1
L l requirements of the NISP0M, have established procedures at the facility to i
resolve questions as to initial or continued eligibility for access authorization. These questions will be determined in accordance with ,
1 established CSA precedures already in effect for the facility,
~
i .
I l (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. equivalent CSA form).
(c)(1) Except as provided in paragraph (t)(2) of this section, NRC 1
i' "0" and "L" access authorizations must be renewed every five years from the date of issuance. An application for rerewal must be submitted at least 120 days before the expiration of the five year period, and must include:
l (i) A statement by the licensee or other person that the individual !
continues to require access to classified National Security Information or Restricted Data; and (ii) A personnel security packet as described in S25.17(d).
(2) Renewal applications and the required paperwork are net equired i for individuals who have a current and active access authorization from i another Federal agency and who are subject to a reinvestigation program by that agency that is determined by the NRC to meet the NRC's requirements.
l .
l (The DOE Reinvestigation Program has been determined to meet the NRC's !
l requirements). For these individuals, the submission of the SF-86 by the ,
i !
! licensee or other person to the other government agency pursuant to their ;
I I j ' reinvestigation requirements will satisfy the NRC renewal submission and l
paperwork requirements, even if less than five years has passed since the l i
l, 24
)
i
I I 1 i
f date of issuance or r'enewal of the NRC "0" or "L" access authorization. Any NRC access authorization continued in response to the provisions of this )
l paragraph will, thereafter, not be due for renewal until the date set by the
- other government agency for the next reinvestigation of the individual )'
1 j' pursuant to the other agency's reinvestigation program. However, the period l 1 i of time for the initial and each subsequent NRC "0" or NRC "L" renewal j i .
l application to the NRC may not exceed seven years. Any individual who is I i subject to the reinvestigation program requirements of another Federal i
i agency but, f or administrative or other reasons, does not submit j i i j reinvestigation forms to that. agency within seven years of the previous l l
- submission, shall submit a renewal application to the NRC using the forms 4
l.
l .
! 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, f l
- 10. Section 25.23 is revised to read as follows:
5 25.21 Notificatinn of crant of access authnri7ation. l i
.The determination to grant or renew access authorization will .be furnished in writirq to the licensee or organization that initiated the request. Upon receipt of the notification of original grant of access -
l authorization., the licensee or organization shall obtain, as a condition for I i
1 grant of access authorization and access to classified information, an ;
l executed " Classified information Nondisclosure Agreement" (SF-312) from the j i
affected individual. The SF 312 is an agreement between the United $tates i and an individual who is cleared for access to classified information. An employee issued an initial access authorization shall execute a SF 312 before being granted access to classified information. The licensee or other 25 4
l l
i 1
f: organization shall forward the executed SF-312 to the CSA for retention. if 1
the employee- refuses to execute the SF 312, the licensee or other l
organization shall deny the employee access to classified information and
,i submit a. report.to.the CSA. The SF-312 must be signed and dated by the 1
employee and witnessed. The employee's and witness' signatures must bear the i same date. The individual shall also be given a security orientation i
briefing in accordance with S95.33 of this chapter. Records of access authorization grant and renewal notification must be maintained by the l i
licensee or other organization for three years after the access authcrization has been terminated by the CSA. This information may also be
- furnished to other representatives of the Commission, to licensees, f
! contr' actors, or other Federal agencies. Notifications of acces; authorization will not be given in writing to the affected individual l
2 except:
]
(a) In those cases in which the determination was made as a result of I a Personnel Security Hearing or by Personnel Security Review Examiners; or l
(b) When the individual also is the official designated by the f licensee or other organization to whom written NRC notifications are 1
l forwarded.
I.
l
- j. 11. Sect iun 25.25 is revised to read as f ollows:
1 i S ?5.25 Cancellation of recuasts for accett authorization.
When a request for an individual's access authorization or renewal of access authorization is withdrawn or canceled, the requestor shall notify
) the CSA immediately by telephone so that the f ull field investigation, i
j National Agency Check with Credit Investigation, or other personnel security f-j action may be discontinued. The requestor shall identify the full name and i
s
- 26 l
9 i
-_. . .. - - . - - - - ~ ~ . _ - - . - ~ - - _ _ _ - - - - . _ - _ _ - . . ~ .
?
date of birth of the individual, the date of request, and the type of access l l
authorization or access authorization renewal requested. The requestor '
shall confirm each telephone notification promptly in writing.
1 l
- 12. Section 25.27 is revised to read as follows:
S 25.27 Rennenina of cases in which reauests for access authorizations are canceled.
i i (a) In conjunction with a new request for access authorization (NRC !
i i Form 237 or. CSA equivalent) for individuals whose cases were previously l canceled, new fingerprint cards (FD 257) in duplicate and a new Security Acknowledgment (NRC form 176), or C5A equivalents, must be furnished to the CSA along with the request. ;
l (b) Ad.itionally, if 90 days or more have elapsed since the date of' l
the last Questionnaire f or Sensitive Positions (SF - 86), or CSA equivalent, the individual must complete a personnel security packet (see S25.17(d)). l The CSA, based on investigative or other needs. may require a complete personnel security packet in other cases as well. 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.
- 13. Section 25.29 is revised to read as follows:
j S 25.20 Rainstatamont of accost authorization.
(a) An access authorization can be reinstated provided that:
l (1) No more than 24 months has lapsed since the date of termination of the clearance; 1
(2) There has been no break in enployment with the employer since the
$ date of termination of the clearance:
27 i
1 i
4
(3) There is no known adverse information:
(4) The most recent investigation must not exceed 5 years (Top Secret, j 0) or 10 years (Secret, L); and J
(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, level by submission of a CSA-designated form to the CSA. The nmployee may not have access to classified information until receipt of written confirmation of re' instatement and an up-to-date personnel security packet will.be furnished with the request for reinstatement of an access authorization. A new Security Acknowledgment will be obtained in all cases.
Where' personnel security packets are not required, a request for reinstatement must state the level of access authorization to be reinstated 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 $25.31, paragraphs (a) and (c) are revised to read as f ollows:
$ 25.31 Extensions and transfers of access authorizations.
(a) The NRC Division of Security may, on request, extend the authorization of an individual who possesses an access authorization in connection with a particular employer or activity, to permit access to classified information in connection with an assignment with another employer or activity. ,
28
- . - - . . - - - . -- -~. .. - . . - - - . . -- - .._-. - -_ - . .
b i
t 1
(c) Requests for extension or transfer of access authorization must I
state the f ull name of the person, his date of birth and level of access [
1 i
authorization. The Director, Division of Security, may require a new personnel security packet (see S 25,17(c)) to be completed by the applicant.
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.
- 15. Section 25.33 is revised to read as follows:
S 25.33 Termination of access authorizations.
(a) Access authorizations will be terminated when:
(1) Access authorization is no longer required:
(2) An individual is separat ed f rom the employment or the activity for which he obtained an access authorizd. sn 'or 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 authorization. :
(b) A representative of the licensee or other organization that employs the individual whose access author!Zation will be terminated shall P
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 1
requiring it.
l (c) When an access authorization is to be terminated, a representative l
of the licensee or other organization shall conduct a security termination l
briefing of the individual involved, explain the Security Termination Statement (NRC Form 136 or CSA approved form) and have the individual
?9
l l
complete the form. The representative shall promptly f orward the original I copy of the completed Security Termination Statement to CSA, '
- 16. Section 25.35 is revised to read as follows:
i 9 25.35 Classified visite '
l (a) The number of classified visits must be held to a minimum. The I
licensee, certificate holder, or other facility shall determine that the j i
visit is necessary and that the purpose of the visit cannot be achieved I without access to, or disclosure of, classified inf ormation. All classified visits require advance notification to, and approval of, the organization to j be visited. In urgent cases, visit information may be furnished by l l
j telephone and confirmed in writing.
I (b) Representatives of the Federal Covernment , wnen acting in their l official capacities as inspectors, investigators, or auditors, may visit a !
licensee, certificate holder or other's facility without furnishing advanced i !
l notification, provided these representatives present appropriate government j 1
credential s upon arrival, Normally, however, Federal representatives will provide advance notification in the form of an NRC Form 277, " Request for j 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 i
following inf ormation in all Visit Authorization Letters (VAL) which they l
prepare.
(1) Visitor *s name, address, and telephone number and certification of the level of the facility security clearance; j (2) Name, date and place of birth, and citizenship of the individual i
30 4
I' i
I I
intending to visit: )
i (3) Certification of the. proposed visitor's personnel clearance and l
{
any special'acces:, 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 j e
J. termination of the necessity of the visit; and l J
(6) Date or. period during which the VAL is to be valid. l (d)-Classified visits may be arranged for a 12 month. period. The l
t requesting f acility shall notify all places honoring these visit !
I arrangements.of any change 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 l i
a classified visit rests witn the individt.al .10 will disclose clastified l
'information during the visit. The licensee, certificate holder or other facility shall establish procedures to ensure positive identification of visitors before the disclosure of any classified information. I t
PART 50 -- DOMESTIC LICENSING GF PRODUCTION AND UTILIZATION FACILITIES !
i
- 17. The authority citation for Part 50 is revised to read as follows: l l
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, i as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 2236, 2239, ;
i :
2282): secs. 201, as amended. 202, 206, 88 Stat. 1242, as amended. 1244, l
1246 (42 U.S.C. 5841, 5842, 5846), E.O. 12829, 3 CFR, 1993 Comp., p. 570: )
E.O. 12958, as amended, 3 CFR, 1995 Comp., p.333: E.O. 12968, 3 CFR, 1995 f;
{ Comp , p. 391, ;
31 i
, , . . - . . . , - '.-. - .1
I i
t
! i Section 50.7 also issued undar Pub. L.95-601. sec. 10, 92 !
Stat. 2951 (42 U.S.C. 5851) Section 50.10 also issued under sets. 101, 185, l 68 Stat. 955 as_ amended (42 U.S.C. 2131. 2235), sec. 102, Pub. L.91-190. 83 .!
Stat. 853 (42 U.S.C 4332). Sections 50.13, 50.54(dd), and 50.103 also !
l !
( issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138). Sections i l ?
l 50.23, 50.35, 50.55, and 50.56 also issued under sec. 185, 68 Stat. 955 (42 l U.S.C. 2235). Sections 50.33a, 50.55a and Appendix 0 also issued under sec. i 102, Pub. L.91-190, 83 Stat. 853 (42 U.S.C. 4332). Sections 50.34 and 50.54 '
! t
.also issued under sec. 204. 88 Stat. 1245 (42 U.S.C. 5844). Sections 50,58, !
l 50.91, and 50.92 also issued under Pub. L.97-415, 96 Stat. 2073 (42 U.S.C. j i
2239). Section 50.78 also issued under sec. 122, 68 Stat. 939 (42 U.S.C. l t
t i
i 2152). Sections 50.80 - 50.81 also issued under sec. 184, 68 Stat. 954, as !
l I l amended (42.U.S.C. 2234). Appendix F alto issued under sec. 187. 68 Stat. j i
955 (42 U.S.C 2237). .
l l
t l
- 18. Section 50.37 is revised to read as follows: !
l I l
? 50.17 Aqronment limitino access to Classified informatinn f As part of its application and in any event before the receip+ of Restricted Data or classified. Notional Security Inform. tion or the issuance ;
. t l of a license or construction permit, the applicant shall agree in writing i
that it will not permit any individual to have access to or any facility to :
possess Restricted Data or classified National Security Information until i l
the individual and/or facility has been approved for such access under the l provisions of 10 CFR Parts 25 and/or 95. The agreement of the applicant in !
Y l t this regard shall be deemed part of the license or construction permit, j 1
l
! whether so stated therein or not, i
j
! 32
_ . _ . _ . . ~ - . _ . . . _ . . . _ . _ _ . _ _ _ . _ . _ _ . . _ _ . - _ - . _ _ _ _ _ _ _ _ _ _ . . _ . _ _ _ _
i i
PART 54 REQUIREMENTS FOR RENEWAL OF OPERATING LICENSES FOR NUCLEAR POWER -!
l PLANTS i
- 19. The authority citation for Part 54 is revised to read as follows: l l
Authority: Secs. 102, 103. 104, 161, 181, 182, 183, 186, 189, 68 Stat, =
936, 937, 938, 948,'953, 954, 955, 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, 202. 206, 88 Stat. 1242, 1244 as amended (42 U.S.C. 5841, l
5842), E.O. 12829, 3 CFR, 1993 Comp., p. 570: E,0, 12958, as amended 3 CFR, j l ,
l 1995 Comp.,;p.333; E.0, 12968, 3 CFR, 1995 Comp., p. 391. !
i a
- 20. In S54.17, paragraph (g) is revised to read as follows: j i
S 54.17 Filino of annlicatinn.
(g)' 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 renewed license, the applicant shall agree in writing that it will not j permit any individual to have access to or any facility to possess Restricted Data or -lassified National Security information until the individual and/or f acility has been approved for sucl. access under the i
~
provitions 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
[ ,
l therein or not. l l
i I 6
- PART 95 -5ECURITY FACILITY APPROVAL AND SAFEGUARDING OF NATIONAL g 4
5' SECURITY INFORMATION AND RESTRICTED DATA 1
i I
, 33 i
't
i i
l f
I
- 21. The authority citation for Part 95 is revised to read as follows: !
AUTHORITY: Secs. 145, 161, 193, 68 Stat. 942, 948, as amencec :42 U.S.C 1 l
2165, 2201): sec. 201, 8B Stat. 1242, as amended-(42 U.S.'. Es4;) E.C. 10865, .
t as amended, 3 CFR 1959 1963 COMP., p. 398 (50 U.S.C. 401, note): E.O. 12829, 3 l 1
CFR, 1993 Comp., p. 570: E.0. 12958, as amended, 3 CFR, 1995 Comp., p. 333; -
E,0. 12968, 3 CFR, 1995 Comp., p.391, ;
i h
I l
- 22. Section 95.1 is revised to read as follows: .
I l )
L S 95.1 Puronte. .
l l The regulations in this part establish procedures f or obtaining security 2 I
l facility approval and for safeguarding Secret and Confidential National l l
Security information and Restricted Data received or aeveloped in conjunction '
I with activities licensed, certified or regulated by tne Commission. inis part i
! does not apply to Top Secret information because Top Secret inicrmation may l n be f orwarded to licensees, certificate holders, or others within the scope i
of an NRC license or certificate.
I t
- 23. Section 95.3 is revised to read as foliows:
l l
l l ? 00.' tcnno.
The regulations in this part apply to licensees, certificate hulders and 4 others regulated by the Commission who may require access to classified National Security Inf ormation and/or Restricted Data and/c r Formerly Restricted Data (FRD) that is used, processed, stored, reproduced. '
} transmittec, transportec, or. handled in connection w i t t' a license or i
Certificate or an application for a Iicense or certi" (6:9. l
. 34 k
- . - _ . _ _ _ . . ._ _. - _ _ _ _ . _ _ . _ . . . . . ,_ _ _ . . . .- __.__.______m...
i f.
24 In S95.5, the definitions for Authorized classifior. National Security i l
Information, NRC accest aut hori zat i on , Security facility acornval, and Security survey are removed and the definitions Classified mail address, Infraction. and Need-tn-know are revised and the definitions Access ;
t a ut hori zat i on , Classified National Security Information, Classified shiopinq i
l address, Closod area, Cnonizant Security Acency, Facility (Securitv) l .
I :
~
clearance, Foreian ownershio control or influence, Restricted area, Security reviews, Sucolement al Protectinn and Viniation are added in alphabetical order to read as follows:
1 l 6 95.6 De f i n i t i nn s'.
l Access authorization means an administrative determination that an i
i individual (including' a consultant) who is employed by or an applicant- f or i
employment with the NRC, NRC contractors, agents, licensees and certificate holders, or other person designated by the Executive Director for Operations, is eligible for a security clearance for access to classified information.
l l . + + .
- l l
! Classified mail address means a mail address established for each facility
\ l l approved by the NRC, to which all classified information for the facility is to be sent..
. . . . . )
Classified National Securit y Information means information that has been determined pursuant to E.O. 12958 or any predecessor order to require i protection against unauthorized disclosure and that is so designated.
Classified shionina address means an address established for a f acility, approved by the NRC to which classified material that cannot be t ransmitted as i
normal mail is to be sent.
i 35 4
1 i - _
_- . ~__..__..__.___._._._._.m_ . . . _ _ _ . . _ _ _ _ _ _ _ . _ _ . _ _ _ .
Closed area means an area that meets the requirements of the CSA, for the purpose of safeguarding classified material that, because of its size, nature, or operational necessity, cannot be adequately protected by the normal safeguards or stored during nonworking hours in approved containers Coanizant Security Anency (CSA) means agencies of the Executive Branch that have been authorized by E.0. 12829 to establish an industrial security 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 facility provides security representation for other government agencies with security interests at the facility. The Secretary of Defense has been designated as Executive Agent for the National Industrial Security Program.
facility (Securitv) Claarance (FCL) means an administrative determination that, f rom a security viewpoint, a f acility is eligible for access to ,
classified information of a certain category (and all lower categories).
Forcinn nwnnrshin. cont rol or influance (FOCl) means a foreign interest i
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 contractual arrangements or other means, to direct or decide matters af fecting ,
the management or operations of that company in a manner which may result in unauthorized access to classified information or may affect adversely the performance of classified contracts.
Inf raction means any knowing, willful, or negligent action contrary to the 36 i
_ _ ___ . _. _ . _ _ _ _ _ _ _ . ~ - . _ _ . . _ . _ . . . _ _ _ _ -.. __ _ _ _
i requirements of E.0. 12958, or its implementing directives, that does not i
comprise a " violation," as defined in this section. ]
l Naed-to-knnw means a determination made by an authorized holder of classified information that a prospective recipient requires access to :
l J Specific classified information in order to perform or assist in a lawf ul and I authorized governmental function under the cognizance of the Commission, s s , s s l
Restricted araa 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 C5A, Sacuritv reviows means aperiodic security reviews of cleared facilities conducted to ensure that saf eguards employed by licensees and others are adequate for the protection of classified information.
Sunnlomental Protactinn means additional security procedures such as intrusion detection systems, security guards, and access control systems.
Violatinn means any knowing, willful, or negligent action that'could reasonably be expected to result in an unauthorized disclosure of classified ,
information or any vnowing, willfu'1, or negiigent action to clatsify or continue the classification of information contrary to the requirements of E.O.12958 or its implementing directives,
- 25. Section 95.8 is revised to read as f ollows:
l l
j 37
l l
4 i
, 1
! .l S 95.8 Information collect ion racuirement s: OMB accroval. j (a) The Nuclear Regulatory Commission has1 submitted the information collection requirements contained in this cart to the Office of Management and Budget (OMB) for. approval as required by the Paperwork Reduction Act (44 l U.S.C. 3501.et seq.). The NRC may not conduct or sponsor and a. person is not l required to respond to a collection of information unless it displays a j currently valid OMB control number, OMB has approved the information l
l collection requirements contained in this part under control number 3150-0047. !
I l
I I
l (b) The approved information collection requirements contained in this j i
l part appear in SS95.11, 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.
i
! I l 26. InLS95.13, paragraph (a) is revised to read as follows:
l l
l 6 95.13 Maint9 nance of records.
I (a) Each licensee, certificate holder or other person granted f acility i
! l f
clearance under this part shall maintain records as prescribed within the part. These records are subject to review and inspection by CSA l representatives during security reviews.
i l
i j 27. In S95.35, paragraphs (a) and (b) are revised to read as follows: ,
I l 38 l
l gn , w q - -r -
-r
l l
6 95.15 ADoroval for orntessina licensees and nthers fnr facility clearance.
]
I (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 f acility clearance. This specifically includes situations where a licensee, certificate holder or other person needs a contractor or consultant to have access to NRC classified information.
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 agency's classified )
information at their facility, provided no NRC classified information is involved and they meet the security requirements of the other agency. If NRC classified information is involved the requirements of $95.17 apply.
1 (b) The request must -include the name of the f acility, the location of the l facility and an id'entification of any facility clearance issued by another l
government agency, If there is no existing facility clearance, the request l
must include a security Standard Practice Procedures Plan that outlines the ;
l f acility's proposed security procedures and controls for the protection of 1
classified information, a floor plan of the area in which the matter is to be !
l used, processed, stored, reproduced, transmitted, transported or handled; and
~
Foreign Ownership, Control or influence inf ormation, l
l
- 28. Section 95.17 is revised to read as follows: i l
i 39
. . . . -- . . .- _ _ - . . - . _ . . . . . ~ . ~ . . - . . . - - . - . . - . .
e S 95.17 Processino facility cl ea ra nce .
(a) Following the receipt of an acceptable request for f acility clearance. I l
the NRC will either accept an existing facility clearance granted by a current CSA and authorize pnssession of license or certificate related classified information or process the facility for a facility clearance. Processing will l
include--
1 l
(1) A determination based on review and approval of a Standard Practice Procedure Plan that granting of the Facility Clearance would not i
be inconsistent'with the national interest, including a finding that the J
f acility is not under foreign ownership, control, or influence to such a degree that a determination could not be made:
(2) An acceptable security review conducted by the NRC;
{,
(3) Submitting Ley management personnel for personnel clearances
]
(PCLs): and L
i e
(4) Appointing a U.S. citizen employee as the facility security o f f i ce'r .
1 (b) An interim Facility Clearance may be granted by the CSA on a )
. i temporary basis pending completion of the f ull investigative requirements.
- 29. SS 95.18 and 95.19 [ Redesignated] $$95.19 and 95.20.
I
- 30. A new S95.18 is added to read as follows: l l
i 40 i l
l i
l i
l I
6 95.18 Kev nersonnel. ;
l The senior management official and the Facility Security Officer must l
! always be cleared to a level commensurate with the facility Clearance. ;
1 Other key management officials, as determined by the CSA, must be granted an .)
access authorization or be excluded from classified access. When formal ]
, 1 l exclusion action is required, the organization's board of oirectors or similar executive body shall affirm the following, as appropriate.,
j (a) Officers, directors, partners, regents, or trustees (designated by j I
j name) that are excluded may not require, may not have, and can be ef fectively ,
i l excluded _ from access to all classified information disclosed to the ,
l I organization. These individuals also may not occupy positions that would l
l enable them to adversely affect the organization's policies or practices in l ..
j the performance of activities involving classified information. This action i 1
l l will be made a matter of record by the organization's executive body. A copy ,
l l Of the resolution must be furnished to the CSA. ,
1 i
(b) Officers, directort, partners, regents, or trustees (designated by I
name) that are excluaed may not require, may not have, and can be effectively ,
i i
l denied access to higher-level classified information (specify.which higher ]
l level (s)). These individuals may not occupy positions that would enable them to adversely aftect the organization's policies or practices in the protection 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.
l i
l 31 In the newly redesignated S95.19, the introductory text of l
l paragraphs (a) and (b) are revised to read as follows:
f i
41 1
l
6 95.19 Chances to security nractices and nrocedures.
(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 floor plan of the approved facility. 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 i ncl ude - -
(b) A licensee or other person may effect a minor, non-substantive change 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 Practice Proceuvr es Plan. Some examples of minor, non-substantive changes to the Standard Practice Procedures Plan i ncl ude- -
32, The newly redesignated $95.20 is revised to read as follows:
S 95.20 Grant. denial or termination of facility clearanco.
The Division of Security shall provide notification in writing (or orally 42
- - - , ~ . - . . . ~ , - . . .- . . - - . - . - . . . . . . - . -. - .- , - . .
with written confirmation) to the licensee or other organization of the Commission's grant, acceptance of another agency's Facility Clearance, denial, or termination of f acility clearance. This information must also be furnished to representatives of the NRC, NRC licensees, NRC certificate holders, NRC contractors, or other Federal agencies having a need to transmit classified information to the licensee or other person,
- 33. Section 95.21 is revised to read as follows:
S 95.21 Withdrawal of reauests for facility clearance.
When a request for f acility clearance is to be witndr awn or conceled, the requester shall notify the NRC Division of Security immediately by telephone so that processing for th's approval may be terminated. The notification must identify the full name of the individual requesting discontinuance, his position with the facility, and the full identification of the facility. The requestor shall confirm the telephone notification promptly in writing.
l 34 Section 95.23 is revised to read as follows:
5 95.21 Termination of facility clearance.
(a) Facility clearance will be terminated when-(1) There is ,o longer a need to use, process, store, reproduce, transmit, transport or handle classified matter at the facility; or l
- j. (2) The Commission makes a determination that continued facility clearance is not in the interest of national security.
4 43
5
?
(b) When facility . clearance is terminated, the licensee or other person will be notified in writing of the determination and the procedures outlined in S95.53 apply.
35, in S95.25, paragraphs (a), (b), (c), (d), (g), (h), and (1) are revised and paragraph (j) is added to read as follows: ,
6 95.25 Protection of classified information in storace. j
-l (a) Secret documents, while unattended or not in actual use, must be '
stored in--
(1) A safe, steel file cabinet, or safe-type steel file container ;
i that has an cutomatic unit locking mechanism, All such receptacles will De accorded supplemental protection during non-werki.ng hours; or !
1 (2) Any steel file cabinet that has four sides and a top and bottom (all permanently attached by welding, rivet; or peened bolts so the contents cannot be removed without leaving visible evidence of entry) and is securea by a rigid metal lock bar and an approved key operated or combination padlock.
The keepers of tne rigid metal lock bar must be secured to the cabinet by welding, ri vets , or bol ts , so _ they cannot be removed and replaced without leaving evidence of the entry. The drawers of the container must be held securely, so their contents cannot be removed without forcing open the drawer.
This type cabinet will be accorded _ supplemental protection during non-working hours.
(b) Confidential matter while unattended or not in use most be stored in the Lamo manner as SECRET matter except that no supplemental protection is required.
44
l i
1
. (c) Classified lock combinations.
(1) A minimum number of authorized persons may know the combinations to [
authorized storage containers. Security containers, vaults, cabinets, and I i
other authorized storage containers must be kept locked when not under the !
direct supervision of an authorized person entrusted with the contents. !
- (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--
(i) The initial use of an approved container. or lock f or the protection l l of classified material:
l (ii) The termination of employment of any . person having knowledge of the j i !
l combination. or when the clearance granted to any such person has been !
l I withdrawn. suspended, or revoked; i i
(iii) The compromise or suspected compromise of a container or its f I
r combination. or discovery of a container left , unlocked and unattended; or j l
(iv) At other times when considered necessary by the Facility Security Officer or CSA.
i I
}
i (d) Records vf combinations. If a record is made of a combination, the record must be marked with the highest classification of material authorized f l
for storage in the container. Superseded combinations must be destroyed. l l
l i t
. (g) Posted information. Containers may not bear external markings .J 1
. indicating the level of classified material authorized for storage. A record
, of the names of persons having knowledge of the combination must be posted l 4
1 45 '
, t 1
i i
A
_-~. _ ___ , - - - . _ - __
_ _ _ . _ . _ _ . _ . _ _ _ . _ _ _ _ _ _ _ _ . _ _ . . _ _ _ _ .__.m.___ . _ _ _ . . _ . _ .
i i
t inside the container. '
I
- (h) End of day security checks.
(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. ;
(2) Facilities operating with multiple work shifts shall perform the 1
security checks at the end of the last working shift in which classified i i
material had been removed from storage for use. The checks are not required j j l during continuous 24-hour operations. !
l I l (i) Unattended security container found opened. If an unattended '
! t i
security container housing classified matter is found unlocked, the custodian j i
or an alternate must be notified immediately. The container must be secured by i
protective personnel and the contents inventoried as soon as possible but not i later than the next workday. A report reflecting all actions taken must be i
Lubmitted to the responsible Regional Office (see appendix A. 10 CFR part 73 for addresses) with an information. copy to the NRC Division of Security. The '
licensee shall retain records pertaining to these matters for three years after completion of final corrective action.
)
1 (j) Supervision of keys and padlocks. Use of key-operated padlocks are ;
I subject to the following requirements:
(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:
(2) A key and lock control register must be maintained to identify keys I
for each lock and their current location and custody; I
t i (3) Key 5 and locks must be audited each month; J
(4) Keys must be inventoried with each change of custody;
} (5)' Keys must not be removed from the premises; t- 1 l
J 46 l i i l i l
i l
i
l l
(6) Keys and spare locks must be protected eauivalent to the level of l classified material involved:
(7) Locks must be changed or rotated at least annually, and must be replaced af ter loss or compromise of their operable keys; and
. (8) Master keys may not be made.
[
l l 36. Section 95.27 is revised to read as follows:
i l 6 95.27 Protection whila in usa. l l
l l
While in use, matter containing classified information must be under the i
l j direct control of an authorized individual to preclude physical, audio, and i
visual access by persons who do not have the ,cescribed access authorization or other written CSA disclosure authorization (see S95.36 for additional information concerning disclosure authorizations).
37 Section 95.29 is revised to read as follows: I I
S 95.29 Establishment of Pestricted or ClnSed areas.
(a) If, because of its nature, sensitivity or importance, matter containing classified information cannot otherwise be effectively controlled ,
in accordance with the provisions of $$ 95.25 and 95.27, a Restricted or l Closed area must be established to protect such matter, ,
I i
(b) The following measures apply to Restricted Areas. j l
(1) Restricted areas must be separated from adjacent areas by a physical barrier designed to prevent unauthorized access (physical, audio, and visual) 1 47 1
I
-. ..- . - .- .- - - - . ~ . - _ . - - . . . ~ . - - - . . . - - .- ~...- .-.-
l l
into these areas.
(2) . Controls must be established to prevent unauthorized access to and l
I i removal of classified matter. '
(3) Access to classified matter must be limited to persons who possess
[
l appropriate access authorization or other written CSA disclosure authorization' 1 and who. require access in the performance of their official duties or I regulatory obligations.
l (4) Persons without appropriate access authorization for the area visited l
l must be escorted by an appropriate CSA access authorized person at all times l
while within Restricted or Closed areas, t
L (5) Each individual authorized to enter a Restricted or Clused area must be issued a distinctive form of identification (e.g., badge) when the number of employees assigned to the area exceeds thirty per shift.
(6) During nonworking hours, admittance must be controlled by protective personnel . Protective personnel shall Conduct patrol s during nonworking hours at least every 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> and more frequently it necessary to maintain a commensurate level of protection. Entrances must be continuously monitored by protective personnel or by an approved alarm system.
(c) Due to the size and nature of the classified material, or perational l i
necessity, it may be necessary to _ construct Closed Areas f or storage because ,
l- GSA approved containers or vaults are unsuitable or impractical. Closed Area < 1 I must be approved by the CSA. The following measures apply to Closed Area'* I l
i i (1) Access to Closed Areas must be controlled to preclude unauthorized l l )
{ access. This may be accomplished through the use of a cleared employee or by a l CSA approved access control device or system. j
\
(2) Access must be limited to authorized persons who have an appropriate
- l 2
security clearance and a need-to know for the classified material /information 1
3 48
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}
+
- . - . ~ - - . - . - . _ -.- - --. ..-.._ ._...- -.. . , - . _ _ - . ~ . . - . .
I i
within the area. Persons without the appropriate level of clearance and/or ;
need-to-know must be escorted at all times by an authorized person where !
t inadvertent or unauthorized exposure to classified information cannot i otherwise be ef fectively prevented. ]
(3) .The Closed' Area must be accorded supplemental protection during J
non-working hours. During these hou s, imittance to the area must be controlled by locked entrances and exits secured by either an approved built-in combination lock or an approved combination or key-operated padlock.
However, doors secured from the inside with a panic bolt (for example, actuated by a panic bar), a dead bolt, a rigid wood or metal bar, or other means approved by the CSA, do not require additional locking devices, (4) Open shelf or bin storage of classified documents in Closed Areas requires C$A approval . Only areas protected by an approved intrusion detection system will qualify for approval.
- 38. Section 95.31 is revised to read as follows:
S 95.31 Prntective oersonnal.
Whenever protective personnel are used to protect cl.assified information j they shall: )
l
! (a) Possets an 'L access authorization (or CSA equivalent) if the !
l licensee or other person possesses information classified Confidential National Security- Inf ormation, Confidential Restricted Data or Secret National Security Information, j (b) Possess a 'O access authorization (or CSA equivalent) if the l
! licensee or other person possesses Secret Restricted Data related to nuclear 49
- l l
- . - ~ _ - -- _ _ , - . , - - _ . - , - . - . _ . - _ . . . . - - - - ,. .- . . . . ,
. _ . - - - . - . - - - _ - - --- . , . .. - . ~ - - - -- . .- . . - . - .
2 i !
weapons design, manuf acturing and vulnerability information; and certain particularly sensitive Naval Nuclear Propulsion Program information (e.g. , :
l fuel manuf acturing technology) and the protective personnel require access as part of their regular duties. !
- 39. Section 95.33 is revised to read as follows:
l l
6 95.33 Security education. i All cleared employees must be provided with security training and i briefings commensurate with their involvement with classified information. I i
( The facility may.obtain defensive security, threat awareness, and other l l
education and training information and me'erial from their CSA or other i i
sources.
i l (a) Facility Security Officer Training. Licensees and others are l
responsible f or ensuring that the Facility Security Officer, and others performing se:urity duties, complete security training deemed appropriate by l
the CSA. Training requirements must be based on the facility's involvement with classified information and may include a facility Security Officer orientation course and, for Facility Security Officers at facilities with safeguard.ing capability, a facility Security Officer Program Management Cource. Training, it required. should be completed within 1 year of j appointment to the position of Facility Security Officer. l I
(b) Government-Provided Briefings. The CSA is respensible for providing initial security briefings to the Facility Security Officer, and for ensuring that other briefings required for special categories of information are 4
provided.
' i 50 ;
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1 (c) Temporary Help Suppliers. A temporary help supplier, or other contractor who employs cleared individuals solely for dispatch elsewhere, is responsible.for ensuring that required briefings are provided to their cleared j personnel. The temporary help supplier or the using licensee or other f acility may conduct these briefings. )
l (d) Classified Information Nondisclosure Agreement (SF-312). The SF-312 l is an agreement'between the United States and an individual who is cleared for access to classified information. An employee issued an initial access authorization must, in accordance with the requirements of $25.23 of this l
chapter, execute an SF-312 before being granted access to classified information. The Facility Security Officer shall forward the executed SF-312 l l
to the CSA for retention. If the employee ref uses to execute the $F-312, the
]
licensee or other facility 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 employee and witnessed The employee's and witness' signatures must bear the same date.
(e) Initial Security Briefings. Before being granted access to .
. classified information, an employee shall receive ari initial security briefing .
that includes the following topics:
(1) A Threat Awareness Briefing.
(2) A Defensive Security Briefing.
(3) An overview of the security classification System.
( 4 ') Employee reporting obligations and requirements.
(5) Security procedures and duties applicable to the employee's job.
(f) Refresher Briefings. The licensee or other f acility shall conduct periodic ref resher briefings for all cleared employees. As a minimum, the refresher briefing must reinforce the information provided during the initial 51
- - . . . - - . . . _ ~ . . . - - . . . . . _ - . . . - - . - - - - . - . - _ . - . .- -
t l
i l
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.
i I .
l (g) Debriefings. Licensee and other facilities shall debrief cleared ;
1 employees at the time of termination of employment (discharge, resignation, or j retirement); when 'an employee's access authorization is terminated, suspended, )
l or revoked; and upon termination of the Facility Clearance. i l
l (h) Records reflecting an individual's initial and ref resher security '
orientations and security termination must be maintained for three years after l termination of the individual's access authorization, i
- 40. Section 95.36 is revised to read as follows:
l l
l 6 45.36 Access by representatives nf the International Af .,c Enerav Aaency 1 -
I nr by nart irinant s in nthar internatinnal acroomants. !
(a) Based upon written disclosure authorization from the NRC Division of Security that an i ndividual is an authorized representative of the l
International Atomic Energy Agency (IAEA) or other international organization and that the individual is authorized to make visits or inspections in l accordance with an established agreement with the United States Government, a l licensee, certificate holder or other person subject to this part shall permit l the individual (upon presentation of the credentials specified in S75.7 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 t
5 disclosure authorization under this section does not authorize a licensee, i'
52
.- -.. . . - - - . - _ _ - - . .- - - - _ _ . - . . . - - - = . . --- - . __
l i :
_ certificate holder, or other person subject to this part to provide access to j j Restricted Data.
(b) .For purposes of this section, classified National Security Information j l
is relevant to the conduct of a visit or inspection if-- I i
(1) In the case of a visit, this information is needed to verify j information according to 575.13 of this chapter; or (2) In the case of an inspection, an inspector is entitled to have l
access to the information under $75.42 of this chapter. )
i (c) In-accordance with the specific disclosure authorization provided by l the Division of Security, licensees or other persons subject to this part are l
authorized to release (i.e., transfer possession of) copies of documents which contain classified National Security information directly to I AEA inspectors and other representatives officia;ly . .;,3teo to request and receive classified National Security information documents. These documents must be marked specifically for release to I AEA or other international organizations in accordance with instructions contained in the NRC's disclosure authorization letter. Licensees and other persons subject to this part may !
l l also f orward these documents through the NRC to the international organization's headquarters in accordance with the NRC disclosure '
authorization. Licensees and other persons may not reproduce documents l containing classified National Security information except as provided in J
$95.43. l l
l (d) Records regarding these visits and inspections must be maintained for l
l five years beyond the date of the visit or inspection. These records must i specifically identify each document which has been released to an authorized i
! representative and indicate the date of the release. These records must also i
[ identify (in such detail as the Division of Security, by letter, may require)
< 53
-, - - . _ . - - . . - . - . - . . --. - ~ - . _ . - - -
. _ . ~ . . - -.-.
s h i
1
, the categories of documents that the authorized representative has had access I and the date of this access. A licensee o cther person subject to this part l i . . .
i shall also retain Division of Security disclosure authorizations for five ;
! years beyond the date of any visit or inspection when access.to classified '
I :
j information was permitted.
! (e) Licensees or other persons subject to this part shall take such ,
n f . measures as may be necessary to preclude access to classified matter by ;
participants of other international agreements unless specifically provided l for under the terms of a specific agreement.
- 41. Section 95.37 is revised to read as follows:
l 9 46.17 Classification and oranaration of documents.
(a) Classification. Classified information generated or possessed by a
~l licensee or other person must be appropriately marked. Clasrified material '
which is not conducive to markings (e.g., equipment) may be exempt from this requirement. These exemptions are subject to the approval of the CSA on a case-by-case basis. If a person or facility generates or possesses information i
that is believed to be classified based on guidance provided by the NRC or by !
derivation from classified documents, but which no authorized Classifier has j determined to be classified, the information must be protected and marked with l
the appropriate classification markings pending review and signature of an NRC authorized classifier. This information shall be protected as classified j information pending final determination.
l (b) Classification consistent'with content. Each document containing l
classified information.shall be classified Secret or Confidential according to its content. NRC licensees or others subject to the requirements of 10 CFR 54
l Part 95 may not make original classification decisions. ,
(c) Markings required on face of documents.
(1) For derivative classification of classified National Security l Information: l l (i) Derivative classifications of classified National Security i
l Information must contain the identity of the source document or the
]
classification guide, including the agency and of fice of origin, on the l l
" Derived From" line and its classification date. If more than one source is 1 ,
cited, the " Derived From" line should indicate " Multiple Sources." i (ii) Declassification instructions, When marking derivatively classified )
1 documents, the " DECLASSIFY ON" line must carry forward the declassification instructions as reflected in the original document. If multiple sources are f
I L
used, the instructions will carry forward the lungest duration. 1 I
l (iii) If the source document used for derivative classification contains i 1
l the declassification instruction, " Originating Agency's Determination !
l Required" (OADR), the new document should reflect the date of the original l classification of the information as contained in the source document or classification guide. An example of the stamp might be as follows:
1 I
Derived From 1 (source) l Reason Declassify On: Source Marked "OADR" Date of Source: 1 Classifier:
! (Name/ Title / Number)
I
, (iv) The derivative classifier shall maintain the identification of each
- source with the file or record topy of the derivatively classified document.
(2) For Restricted Dat. ocuments:
i 55 I
d
~. ~ - - - - . - - . ~ . - . - - . - - . . .. -- . - - . - . . - . - . _ - . . - -
d j )
(i) Identity of the classifier. The identity of the classifier must be shown by completion of the ' Derivative Classifier line. The ' Derivative I Classifier'* l~ne1 must show the name of the person classifying the document i :
and the basis for the classification. Dates for downgrading or declassification do not apply.
i i
(ii) Classification designation (e.g., Secret, Confidential) and Restricted Data. NDTE: No " Declassification" instructions will be placed on ;
l documents containing Restricted Data, l
(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 i
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 I
en the outside of back covers of bound *d-cutents. 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 UNCLASSIFIED 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 l
- page, if any. For example: "This document contains Restricted Data as defined in the Atomic Energy Act of 1954 Unauthorized disclosure subject to j 1
Administrative and Criminal Sanctions "
(2) Limitation on reproduction or dissemination. If the originator or .
Classifier determines that reproduction or further dissemination of a document should be restricted, the following additional wording may be placed on the face of the document:
56
-. -- . _ . - . . _ _ . . . ~ . . _ _ _ . . . - _ . . - - _ - - . . - . . . . , . , . _ _ . - . ~ ~ . _ .
- I j
j Reproduction or further Dissemination Requires Approval of
} .[
i I
j If any portion of this additional marking does not apply, it should be crossed E
j' out.
r (f) Portion markings. In addition to the information required on the face. l I of the document, each classified document is required, by marking or other i
4
- means, to indicate clearly which portions are classified (e.g., paragraphs or e i
j' pages) and which portions are not classified. The symbols (5) for Secret, (C) l j' for' Confidential, (U) for Unclassified, or (RD) for Restricted Data may be- l i 4 l used immediately preceding or following the text to which it applies, except j 4
i that the designation must follow titles or subjects. (Portion marking of j paragraphs is not required for docume-ts contain*ng Restricted Data.) If this
$ type of portion marking is no' practicable, the document must contain a a
! description sufficient to identify the classified information and the i unclassified information. I
! 1 1
1 9
d Example Pages 1-3 Secret
! Pages 4-19 Unclassified f
. Pages 20-26 Secret Pages-27-32 Confidential 7
j (g) Transmittel 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 I I
1 57 ,
1 i i
4 e
+ . , , , . - , . , - , ,. . ,-. . , . - - - .
- _ . . _ . . _ _ _ . _ _ ._ .__._ _ _-.. _ _ -._ _ ..__._..m _._,_ . _ . _ _ . _ _ _ . _ _
r i
t its ehelosures, 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 l
. 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 .
i the transmittal document:
i UPON REMOVAL OF ATTACHMENTS THIS DOCUMENT IS:
(Classification level of transmittal document standing alone or the word i
UNCLASSIFIED *' i f the transmittal document contains no- classified ;
I i nf orma t i on'. ) ;
l (h) Classification challenges. Persons in authorized possession of classified National Security Information who in good faith believe that the l i
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 shall--
(i) Refer the document or information to the originator or to an 1
l authorized NRC classifier f or review. The authorized classifier shall review i l.
the document and render a written classification decision to the holder of the information, i
(ii) In the event of a question regarding classification review, the j holder of the inf ormation or the authorized classifier shall consult the NRC j Division of Security, Information Security Branch, for assistance. q 58 i
I i
l
,.e. -- -- - - . - . - ~. . - . . - . ~ . - , .,. , .,,. ..-,,,,,~,,.,-e,. v m ,
. . . _ _ _ . . . . . . _ __._._.-._._._.____~.._._______..__m I
(iii) Persons who challenge classification decisions have the right to appeal the classification decision to the Interagency Security Classification j
' ppeal s Panel . j l
(iv) Persons seeking to challenge the classification of information will l
not be the subject of retribution.
-(i) Files, folders or group of documents. Files, folders, binders, or groups of physically connected documents must be marked at least as high as ]
l the highest classified document which they contain.
1 (j) Drafts and working papers. Drafts of documents and working papers l
which contain, or which are believed to contain, classified information must l
be marked as classified information.
(k) Classification guidance. Licensees, certificate holders, or other ,
i persons subject to this part shall classify and mark classified matter as i l i i
j National Security Information or Restricted Data, as appropriate, in l i
accordance with classification guidance provided by the NRC as part of the facility clearance process.
- 42. Section 95.39 is revised to read as follows:
I l
5 95,39 External t ransmi tt inn nf documents and material.
(a) Restrictions. Documents and material containing classified information i
received or originated in connection with an NRC license or certificate must be transmitted only to CSA approved security facilities.
(b) Preparation of documents. Documents containing classified information i mus* be prepared in accordance with the following when transmitted outside an i individual i nstallation.
l
! 59
m .- _m__ . . _ _ - . _ . _ _ . _ _ . . . _
l l' i i
(1) The documents must be enclosed in two sealed opaque envelopes or f i
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 <
l I
enclosed document contains classified-information. !
l (4) A receipt that contains an unclassified description of the document, <
l 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 {l document is transf erred. This receipt process is at the option of the sender I l
for Confidential information.
l (c) Methods of transportation.
i j (1) Secret matter may be transported only by one of the f ollowing methods within and directly between the U.S. , Puerto Rico, or a U.S. possession or L trust territory:
(i) U.S. Postal Service Express Mail and U.S. Postal . Service Registered Mail. NOTE: The " Waiver 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 Gail collectidn boxes is prohibited.
1 I l (ii) A cleared " Commercial Carrier," {
l i 60
(iii) A cleared commercial messenger service engaged in the intracity / local area delivery (same day delivery only) of classified material (iv) A commercial delivery company, approved by the CSA, that provides nationwide, overnight service with computer tracing and reporting features.
These companies need not be security cleared.
(v) Other methods as directed, in writing, by the CSA.
(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 l l
require a secure telecommunication 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 protection of classified information.
(e) Security of classified information in transit. Classified matter that, because of its nature, cannot be transported in accordance'with
$95.39(c), may only' be transported in accordance with procedures approved by the CSA. 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 for facility clearance or i
61 l
l
[
t submitted as an amendment to its existing Standard Practice Procedures Plan.
- 43. Section 95.41 is revised to read as follows:
n S 95.41 External roceint and dispatch records.
Each licensee, certificate holder or other person possessing classified i information shall maintain a r? cord that reflects:
(a) The date of the material; (b) The date of receipt or dispatch; (c) The classification;
, (d) An unclassified description of the material; and 3
(e) The identity of the sender from which the material was received or recipient to which the material was dispatched. Receipt and dispatch records must be retained for 2 years.
i 44 Section 95.43 is revised to read as follows:
$ 95.43 Authority to roornduce.
(a) Each licensee or other person possessing classified information shall establish a reproduction control system to ensure that repruduction of classified material is held to the minimum consistent .itn operational i
requirements. Classified reproduction must be accomplished by authorized employees knowledgeable of the procedures f or classified reproduction. The use of technology that prevents, discourages, or detects the unauthorized reproduction of classified documents is encouraged.
62 E
i j .(b) Unless restricted by the CSA. Secret and Confidential documents may be r 1 ,
reproduced, Reproduced copies of classified documents are subject to the same
~
l 1
] protection as the original documents. [
j (c) All reproductions of classified material must be conspicuously marked i i
with the same classification markings as'the material being reproduced. Copies j i
{ of classified material must be reviewed after the reproduction process to l j ensure that these markings are visible.
i 1 f i
l j '45. Section 95.45 is revised to read as follows: r l
l S 45.45 Chanaos in classificatinn. 3
? l
! i
[ (a) Documents containing classified Natir al Security Inf ormation must be l g
downgraded or declassified as authorized by the NRC classification guides or j i l i as determined by the NRC. Requests for downgrading or declassifying any NRC 4
i classified information should be forwardeu to the NRC Division of Security,'
Office of Administration, Washington, DC 20555 0001. Requests for downgrading j or _ declassifying of Restricted Data will be forwarded to the NRC Division of l Security for. coordination with the Department of Energy.
j (b) If a change of classification or declassification is approved, the I previous classification marking must be canceled and the following statement, i
. properly completed. must be placed on the first page of the document; Classification canceled (or changed to)
(Insert appropriate classification) i by authority of 4
i 63 4
4 4
e-- -, _. , . , - --. _.-_.cs . -.,, , ,m .-y ,, -._ . . -,
. .- . - - - .~. - . . - . _. ~ .. - - - . _ - . - -.
h j (Person authorizing change in classification)
~
by
........ ...... .. .......... ......... ... ...... . . . ... .. i 4
(Signature of person making change and date thereof)
- (c) New markings reflecting the current classification status of the ,
j document will be applied in accordance with the requirements of S95.37. !
l .(d) Any persons making a change in classification er receiving notice of such a change shall forward notice of the change in-classification to holders of all copies as shown on their records, i
a
- 46. Section 95.4' is revised to read as follows:
1 6 96.47 Dest ruct i on of matter containina classified infornation.
)
Documents containing classified information may be destroyed by burning, pulping, or another method that ensures complete destruction of the i
i information that they contain. The method of destruction must preclude
- recognition or reconstruction of the classified information, Any doubts on j
methods should be referred to the C$A., if the document contains Secret information~, a record of the subject or title, document number, if any, originator, its date of origination and the date of dest ruction must be signed by the person destroying the document and must be maintained in the office of 4
~
the custodian at the time of destruction These destruction records must be i
- l. retained for two years after destruction.
4 64
-f 4
. . . _ . _ _ _ . . _ . . . _ _ . . _ _ . . _ _ . _ _ . . . - _ _ _ . _ ._ _ - _. - ~ _ . _ _ _ _ _ _ - _ -
t t
F i
- 47. Section 95.49 is revised to read as follows:
i l
S 95.49 Security of automatic data processino (ADP) systems. l
)
i Classified data or information may not be processed or produced on an ADP i i
system unless the system and procedures to protect the classified data or ;
information have been approved by the CSA. Approval of the ADP system and f
procedures is based on a satisf actory ADP security proposal submitted as part I i
of the licensee's or other person's request for f acility clearance outlined in l 595.15 or submitted as an amendment to its existing Standard Practice i
{
Procedures Plan for the protection of classified information. ;
- 48. Section 95.51 is revised to read as follows:
6 95.51 Ratrieval of classifiad mattar f ollnwinc suspansion or revocation of j l
access authorization. '
I 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 other organization shall, upon due notice from the Commission of such suspension or revocation, retrieve all classified information possessed by the individual and take the action necessary to preclude that individudl having further access to the information.
l l
l i
l
, 49. Section 95.53 is revised to read as follows: ;
i I 65 I
l l __ . . . ._, .
. - - - . . . . _ _ - _ - . _ ~ . - . _ . ~ - . _ - . ~ . - . - . . _ ~ . _ - - - _
I' i
1 S 95.53 Termination of facility clearance. !
3 (a) If the need to use, process, store, reproduce, transmit, transport, or i i handle classified matter no longer exists. -the f acility clearance will be terminated. The f acility may deliver all documents and materials containing l classified information to the Commission or to a person authorized to receive ,
e
] them or destroy all such documents and materials. In either case, the facility f shall submit a certification of nonpossession of classified information to the
- NRC Division of Security.
i l j (b) In any instance where facility clearance has been terminated based on a determination of the C$A that further possession of classified matter by the 3
- f acility would not be in the interest of the national security, the facility i
- shall, upon notice from the CSA, immediately deliver all classif' 1 documents ;
i ;
and materials to the Commission along with a certificate of nonpossession of f classified information.
l i
4 l
- j. 50. Section 95.55 is revised to read as follows. :
I S 95.55 Continuad acclicability of the reif.ations in thii cart.
l i
i i
The suspension, revocation or other termination of access authorization or i
the termination of facility clearance does not relieve any person from compliance with the regulations in this part.
I, t
l fal. Section 95.57 is revised to read as f ollows:
$ I l
6 95.57 Renorts.
4 66 i
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- ~ . _ _ . . _ . _ _ . _ _ . . . _ _ . _ . .._.. .. _ _ _ _. _ . _ _ _ . ~ _ _.. _ _ . _ _
n I
Each licensee or other person having a faci _lity clearance shall '
immediately' report to the CSA and the Regional Administrator of the l appropriate NRC Regional Office listed in appendix 'A,1C CFR part 73:
(a) Any alleged or suspected violation of the Atomic Energy Act. Espionage Act, or other Federal statutes related to classified information.
(b) Any inf ractions, losses, compromises or possible compromise of classified information or classified documents not falling within paragraph l
(a) of this section.
, (c) In addition, an authorized classifier of a licensee, certificate !
t holder or other organization subject to this Part shall complete an NRC Form 790 " Classification Record," whenever matter containing classified -
! +
l information is generated, its classification changed or it is declassified, i
i Notification of declassification is not required for any document or material l i
which has an automatic declassification date. Completed NRC Form 790 must be sub'mitted to the NRC Division of Security, Washington, DC 20555-0001, on a !
l monthly basis.
l 9
k
\
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P i
1
! 67
-- .. .. . _ _ _ . - - 0
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- 52. Section 95.59 is revised to read as f ollows:
6 95.59 Inspections.
i l
i The Commission shall make inspections and reviews of the premises, I 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, thi s _k day o f /ll 1997.
For the Nuclear Regulatory Commission.
/
L . J o's e p n pa'l l a n ,
ExecutivelDirectorforOperations.
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