ML20203J565

Forwards Final Amend to Commission Rules in 10CFR11 & 25 for Publication Consistent W/Natl Performance Review Initiatives.Amend Reduces Paperwork for Licensee & Nrc,Cuts Red Tape & Achieves Timely Reinvestigation

ML20203J565
Person / Time
Issue date:	05/17/1995
From:	Rathbun D NRC OFFICE OF CONGRESSIONAL AFFAIRS (OCA)
To:	Faircloth L SENATE, ENVIRONMENT & PUBLIC WORKS
Shared Package
ML20203J328	List: IA-97-384, Forwards for Publication 10CFR61, Heartland Operation to Protect Environ:Denial of Petition for Rulemaking. Petition Being Denied for Listed Reasons ML20203J323 ML20203J340 ML20203J375 ML20203J392 ML20203J396 ML20203J409 ML20203J437 ML20203J467 ML20203J546 ML20203J565 ML20203J685 ML20203J765 ML20203J776 ML20203J790 ML20203J812 ML20203J873 ML20203J912 ML20203J938 ML20203J942 ML20203J955
References
FOIA-97-384 NUDOCS 9712220012
Download: ML20203J565 (1)

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NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 3000H001 May 17, 1995

/TheHonorableLauchFaircloth, Chairman N ommittee on Clean Air, Wetlands, Private Property and Nuclear Safety Committee on Environment and Public Works United States Senate Washington, DC 20510

Dear Mr. Chairman:

The NRC has sent to the Office of the Federal Register for publication the enclosed final amendment to the Commission's rules in 10 CFR Parts 11 and 25 that is consistent with the National Performance Review initiatives.

The amendment eliminates the five-year expiration date for "U",

"R",

"Q",

and "L" access authorizations and requires renewal application paperwork to be submitted to NRC only for the individual who has not been reinvestigated by the Department of Energy or another Federal agency within the five-seven year span permitted in NRC's regulations.

This amendment reduces paperwork for the licensee and NRC, cuts red tape and achieves the timely reinvestigation of licensee personnel on a more cost affective basis.

Sincerely,

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Dennis K. Rathbun, Director Office of Congressional Affairs

Enclosure:

As stated cc:

Senator Bob Graham 9712220012 971217 g

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NUCLEAR REGULATORY COMMISSION.

10 CFR PARTS 11 AND 25-RIN 3150 AF21-NRC LICENSEE RENEWAL / REINVESTIGATION PROGRAM AGENCY:

Nuclear Regulatory Commission.

ACTION:

Final rule.

SUMMARY

The Nuclear Regulatory Commission is amending its regulations to eliminate the five year expiration date for licensee "U" and "R" special nuclear material' access authorizations and "Q" and "L" access authorizations and to require the licensee to submit NRC renewal application paperwork only for an individual who has not been reinvestigated by the Department of Energy (DOE) or another Federal i

agency within the five-seven year span permitted in the regulations.

This final rule is necessary to achieve administrative efficiencies that reduce paperwork and cut red tape in a manner that is consistent with National Performance Review

-initiatives.

EFFECTIVE DATE:

(30 Days after date of publication in the Federal Register).

FOR FURTHER INFORMATION CONTACT: James J. Dunleavy, Division of Security, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555 0001 telephone (301) 415-7404.

SUPPLEMENTARY INFORMATIONi The NRC currently requires "U" and "R" special nuclear material access authorizations and "Q" and "L" access authorizations to expire five years from the issuance date unless a timely application is made for renewal._ An application for renewal must include a personnel security forms packet, including a Questionnaire for Sensitive Positions (SF-86, Parts 1 r

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and' 2).- two completed standard fingerprint cards (FO 258), other related o

forms, and a st'tement of continuing need by the licensee.

For those individuals who also have an active DOE or other comparable access authorization and are subject to DOE's or another Federal agency's reinvestigation program, the application that must be filed with the NRC consists of an-NRC Form 237, " Request for Access Authorization," or comparable list containing the individual's full name, social security number, date of birth, type of request (renewal), the agency conducting the reinvestigation and the date of reinvestigation submittal, and a statement of continuing need by the licensee.

The final rule eliminates the five year expiration date for "U", "R",

"Q" and "L" access authorizations and requires renewal application paperwork to be submitted to NRC only for an individual who has not been reinvestigated by DOE or another Federal agency for any r.eason within the five-seven year span permitted in the regulations.

This final rule reduces paperwork for the licensee and NRC, cuts red tape, and achieves the timely reinvestigation of licensee personnel on a more cost effective basis.

The comment period on the proposed rule-(December 28, 1994; 59 FR 66812) closed on January 27, 1995.

No comments were received from the public.

This final rule becomes effective 30 days after publication in the Federal Register.

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ENVIRONMENTAL IMPACT:

CATEGORICAL EXCLUSION The NRC has determined that this final rule is the tspe of action described in categorical exclusion 10 CFR 51.22(c)(1).

Therefore, neither an

-environmental' impact statement nor'an environmental assessment has been prepared for this final rule.

PAPERWORK REDUCTION ACT STATEMENT This final rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq). These requirements were approved by the Office of Management and Budget, approval numbers 3150 0050, -0062 and -0046.

Because the rule relaxes existing information collection requirements, the public burden for this collection of information is expected to be reduced by three hours per licensee.

This reduction incluoes the time required for reviewing instructions, searching' existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Information and Records Management Branch (T6-F33), U.S. Nuclear Regulatory Commission,-Washington, DC 20555-0001, and to the Desk Officer, Office of Information and Regulatory Affairs, NE08-10202, (3150-0050, - 0062, and - 0046),

Office of Management and Budget, Washington, DC 20503.

REGULdTORYANALYSIS The NRC has prepared a regulatory analysis on this final rule.

The analysis examines the costs and benefits of the alternatives considered by

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the' Commission.

The analysis is available for inspection in the NRC Public Document Room,.2120 L Street,' NW (Lower Level), Room LL6, Washington, DC.

Single copies of the analysis may be'obtained from James J. Dunleavy, Division of Security, Office of Administration,: U.S. Nuclear Regulatory Commission, Washingtor., DC 20555 0001, telephone (301) 415-7404.

REGULATORY FLEXIBILITY CERTIFICATION As required by the Regulatory flexibility A,:t of 1980, 5 U.S.C.605(b), the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities.

This final rule only applies to those licensees and others who need to use, process, store, transport, or deliver to a t

- carrier for transport, formula quantities of special nuclear material (as defined in 10 CFR Part 73) or generate, receive, safeguard, and store National Security Information or Restricted Data (as defined in 10 CFR Part 95). Approximately 20 NRC licensees and other license-related interests are affected under the provisions of 10 CFR Parts 11 and 25.

Because these licensees are not classified as small entities as defined by the NRC's size standards (April 11, 1995; 60 FR 18344), the Commission finds that this rule will not have a significant economic impact upon a substantial number of small entities.

BACKFIT ANALYSIS The NRC has determined that the backfit rule, 10 CFR 50,109, does not apply to this final rule, and therefore, that a backfit analysis is not required because

- these amendments do not involve any provisions which would impose backfits as defined in 10 CFR 50.109(a)(1).

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5 LIST OF SUBJECT TERMS 10 CFR'PART 11' Hazardous materials - transportation,. Investigations, Nuclear materials, Reporting and recordkeeping requirements, Security measures, Special nuclear material.

10 CFR PART 25 Classified information, Criminal penalties, Investigations, Reporting and recordkeeping requirements, Security measures.

For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorgani:ation Act of 1974, as amended, and 5 U.S.C. 552 and 553, the NRC is adopting the following amendments to 10 CFR Parts 11 and 25.

PART 11 - CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL 1.

The authority citation for Part 11 continues to read as follows:

AUTHORITY:

Sec. 161, 68 stat. 948, as amended (42 U.S.C. 2201); sec. 201, 88 Stat. 1242,-as amended.(42 U.S.C. 5841).

Section ll.15(e) also issued under sec. 501, 85 Stat. 290 (31 U.S.C. 483a).

-2.

In & 11.15, paragraph (c) is revised to read as follows:

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-6 f51.15Aeolicationforspecialnuclearmaterial'accessauthorization.

(c)(1)

Except as provided in paragraphs (c)(2) and-(c)(3) of this section, NRC-U and NRC-R special nuclear material access authorizations must be

renewed every five years from the date of issuance.

An application for renewal must be submitted at least 120 days before the expiration of the five year period and must include:

(i) A statement by the licensee that at the time of application for renewal

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the individual's assigned or assumed job requires an NRC-U special nuclear material s

access authorization, justified by appropriate reference to the licensee's security plan; (ii) The questionnaire for Sensitive Positions (SF-86, Parts I and 2);

(iii) Two completed standard fingerprint cards (FD 258); and (iv) Other related forms specified in accompanying NRC instructions (NRC Form 254),

(2)

An exception to the time for submission of NRC-U special nuclear material access authorization renewal applications 'and the paperwork required is provided for those individuals who have a current and active DOE-Q access authorization and who are subject to DOE Reinvestigation Program requirements.

For these' individuals, the submission to DOE of the SF-86 pursuant to DOE Reinvestimtion Program requirements. (generally every five years) will satisfy -

the NRC renewal submission and paperwork requirements even if less than five years has passed since the date of issuance or renewal of the NRC-U access authorization. Any NRC U-special nuclear material access author.ization

7 renewed in response to provisions of this paragraph will'not be due for renewal until the date set by DOE for the next reinvestigation of the individual pursuant to DOE's Reinvestigation _ Program.

(3)

An excepWn to the time for submission of NRC-R special nucicer material access authorization renewal applications and the paperwork required is provided for those individuals who have a current and active DOE-L or DOE-Q access authorization and who are' subject to DOE Reinvestigation Program requirements.

For these individuals, the submission to DOE of the SF-86 pursuant to DOE Reinvestigation Program requirements (generally every five years) will satisfy the NRC renewal submission and paperwork requirements even if less than five years has passed since the date of issuance or renewal of the NRC-R access e

authorization.

Any NRC-R special nuclear material access authorization renewed pursuant to this paragraph will not be due for renewal until the date set by DOE for the n';xt reinvestigation of the individual pursuant to DOE's Reinvestigation Program.

(4)

Notwithstanding the provisions of paragraph (c)(2) or (c)(3) of this section, the period of time for the initial and each subsequent NRC-U or NRC-R renewal application to NRC may not exceed seven years.

Any individual who is subject to the DOE Reinvestigation Program requirements but, for administrative or other reasons, does not submit reinvestigation forms to DOE within seven years of

-the previous submission, shall submit a renewal application to NRC using the forms -

prescribed in paragraph (c)(1) of this section before the expiration of the seven year-period.

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.PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL 3.

The authority citation for Part 25 continues to read as follows:

AUTHORITY:

Secs. 145, 161, 68 Stat. 942, 948, as amended (42 U.S.C.

2165, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); E.O. 10865, as amended, 3 CFR 1959-1963 COMP., p.398 (50 U.S.C. 401, note); E.O. 12356, 47 FR 14874 April 6,1982.

Appendix A also issued under 96 Stat. 1051 (31 U.S.C. 9701.)

4.

In $25.21, paragraph (c) is revised to read as follows:

6 625.21 Determination of initial and continued eliaibility for access authorization, (c)(1)

Except as provided in paragraph (c)(2) of this section, NRC "Q" and "L" access authorizations must be renewed every five years fror,the date of issuance. An application for renewal must be submitted at least 120 days before the expiration of the five year period, and must include:

(1)

A statement by the licenset 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 $25.17(c).

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(2)

Renewal applications and the paperwort, required for renewal' applications are'not required for individuals who have a;currcnt:and active access A:horization from another Federalfagency'and who are subject to a reinvestigstion program by th'at:

I agency that is determined by NRC to meet NRC's reqvfrements;(the DOE Reinvest 19ation Program has been determined to meet NRC's requirements)

For such individnh, the submission of the SF-86 by thS licensee or other person to the-other government-agency oursuant to their reinvestigation requirements will satisfy the NRC renewal submission and paperwork requirements, even-if less than five years has passed since the date of issuance or renewal of the NRC "Q" or "L" vaess authorization.< Any NRC access authorization continued in response to the provirifons of this paragraph will -

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-thereafter, not be due for renewai until the date set by the othu governraent agency for the next reinvestigation of the individual pursuant to the otiier agency's reinvestigation program.- However, the period of time for the initial and each subsequent NRC'"Q" or NRC "L" renewal; application to NRC may not exceed seven years.

Any iMividual who is subject to the reinvestigation program requirements of another Federal agency but, for administrative or other reasons, does not submit reinvestigation forms to that agency within seven years of the previous submission, shall' submit a renewal application to hRC using the forms prescribed in 5 25.17(c) before the expiration of the seven year period.

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Dated at Rockville, MD, this N

day of 7)b -

1995.

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For the Nuclear Regulatory Commission.

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Ja s 1.- Taylor,f '

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NUCLEAR REGULATORY. COMMISSION w AsMiwaroN. O.C. 30ee6 c001 June 12, 1995 h Honorable Lauch Faircloth, Chairman Subcommittee on Clean Air, Wetlands, Private Property and Nuclear Safety Committee on Environment and Public Works United States-Senate Washington, DC 29510

Dear Mr. Chairman:

I am pleased to submit the Nuclear Regulatory Commission's report on the Nondisclosure of Safeguards Information for the quarter beginning January 1,,1995, and ending March 31, 1995, as required by Section 147 of the Atomic Energy Act of 1954, as amended.

The i.

report describes two occasions during this period when the NRC withheld from public disclosure safeguards information regarding security at nuclear power plants.,

sincerely, Dennis K. Rathbun, Director office of Congressional Affairs

Enclosures:

As stated cc:

Senator Bob Graham j

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4 NUCLEAR REGULATORY COMMISSION QUARTELY R? PORT ON NONDISCLOSURE OF SAFEGUARDS INFORMATION Section 147 of the Atomic Energy Act of 1954, as 4:nended, prohibits the unauthorized disclosure of specific types of Safeguards Information.

This section also directs tne Nuclear Regulatory Commission to prescribe such regulations as necessary to prohibit the unauthorized disclosure of Safeguards Information.

NRC's regulations implementing Section 147 were published in the Federal Ragiater on October 22, 1981 (46 FR 51718).

Section 147 also requires that the NRC report each quarter of the calendar year any Commission a pplication for that quarter of a regulation or an order prescrioed or issued under this section.

To comply with this requirement of Section 147, the NRC reports that the following safeguards information was withheld from two Freedom of Information Act requests during the first quarter, January 1, 1995, t' trough March 31, 1995:

Type of Information Withheld 1.

On one occasion, the NRC withheld from public disclosure revisions to the composite physical security plan at a

nuclear power plant.

Unauthorized Disclosure could Have Adverne Imoact The public disclosure of this type of information could significantly increase the probability of unauthorized entry into the plc

, and the information could be of considerable value to a 1

.ntial saboteur in considering or planning a sabotage att it.

Assurance That Oniv the Minimum Amount of Information Was Withheld The withholding of this type of Safeguards Information does not deny the public basic information concerning the level of protection afforded material at facilities.

Revisions to the composite physical security plan were withheld in their entirety.

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On one occasion, the NRC withheld from public disclosure l

portions of a safeguards inspection report that, if i

released, would have disclosed defects, weaknesses, or vulnerabilities in the safeguards system at a nuclear power plant.

P unauthorized Dimelosure could Mava Advarse Imnact I

The public disclosure of this type of information cotild significantly increase the probability of unauthorised entry i

into the plant, and the information could be of considerable value to a potential saboteur in considering or planning a i

sabotage attempt.

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Assurance 'rhat oniv the Minimism amannt of Information Was Withhald j

The withholding of this type of safeguards Informatic.4 does not deny the public basic information c*ncerning the level i

of protection afforded material at facilities.

A line-by line review of the document was conducted to ensure that only the minimum amount of information was withheld.

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1 SPECIFIC TYPES OF INFORMATION PROTECTED FROM UNAUTHORIZED DISCLOSURE 1..

Phvaleal Protection at Fiwad Bitan Information not otherwise classified as Restricted Data or i

i National. security Information relating to the protection of facilities that process fomula quantities of ' strategic special nuclear materini at power reactors.

speifically:

(i)

The composite physical security plan for the nuclesr facility or site.

.i (ii) site-specific drawings, diagrams, sketches, or maps

-t that substantially represent the final design -

features of the physical protection system.

(iii)

Details of alam system layouts showing location of inttssion-detection

devices, alarm assessment equipment, alam system wiring, emergency power j

sources,-and derecs alarms.

(iv)

Written physical security orders and procedures for members of the security organisation, duress codes, and-patrol schedules.

(v)

Details of the on-site and off-site communications systems that are used.for security purposes.

(vi)

Lock combinations and mechanical key design.

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(vii)

Documents and other matter that contain lists-or locations et certain safety-related equipment explicitly identified in the documents as vntal for purposes of physical protection, as contained in i

physical security plans, safeguards contingency plans, or-plant-specific safeguards analyses-for l

production or utilization facilities.

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.(viii)

The composite safeguards contingency plan for..the

. I facility or site.

(ix)

Those portions of the facility guard qualification and training' plan which - disclose - features of the physical security system ~

esponse procedures.

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2-(x)

Response plans to specific threats detailing size, disposition, response time, and armament of respanding forces.

(xi)

Siza, armament, and disposition of on site reserve forces.

(xii)

Size, identity,

armament, and arrival times of offsite forces committed to respond to safeguards emergenchs.

(xj.ii)

Information required by the commission pursuant to 10 CFR 73.55 (c) (8) and (9).

2.

Physical Protection in Transit Information not otherwise classified as Restricted Data or National. Security Information relative to the protection of shipments of formul.c quantities of strategic special nuclear material and spent fuel.

Specifically (i)

The cosposite transportation physical security plan.

(ii)

Schedules and itineraries for specific shipments.

(Routes and quantities for shipments of spent fuel are not withheld from public disclosure.

Schedules for spent fuel shipments may be released 10 days after the last shipment of a current series.)

(iii)

Details of vehicle immobilization

features, intrusion alarm devices, and communication systems.

(iv)

Arrangements with and capabilities of local police response forces, and locations of safe havens.

(v)

Details regarding limitations of radio-telephone communications.

(vi)

Procedures for response to safeguards emergencies.

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Inspections. Audits, and Evaluations i

Information not otherwise classified as Restricted Data or National Security Information relating to safeguards inspection and reports.

Specifically:

Portions of safeguards inspection reports, evaluations,

audits, or investigations that contain details of a licensee's or applicant's physical security system or that disclose uncorrected

defects, weaknesses, or vulnerabilities in the system.

Information regarding defects, weaknesses, or vulnerabilities may be released after correctic:ss haw been made.

Reports of investigations may be released after the investigation has been completed, unloos withhald pursuant to other authorities; for example, the Freedom of Information Act (5 U.S.C. 552).

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