[Federal Register Volume 63, Number 148 (Monday, August 3, 1998)]
[Proposed Rules]
[Pages 41206-41219]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-20602]
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Proposed Rules
Federal Register
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This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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Federal Register / Vol. 63, No. 148 / Monday, August 3, 1998 /
Proposed Rules
[[Page 41206]]
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NUCLEAR REGULATORY COMMISSION
10 CFR Parts 10, 11, 25, and 95
RIN 3150-AF97
Conformance to National Policies for Access to and Protection of
Classified Information
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed 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 information to new national security policy
documents. This proposed rule is necessary to ensure that classified
information in the possession of NRC licensees, certificate holders,
and others under the NRC's regulatory requirements is protected in
accordance with current national policies. Additionally, changes have
been made to address new requirements for the control of foreign
visitors at certain sites. Also, some editorial changes are being made
to reflect a reorganization within the NRC Office of Administration.
DATES: The comment period expires October 2, 1998. Comments received
after this date will be considered if it is practical to do so, but the
Commission is able to assure consideration only for comments received
on or before this date. Comments may be submitted either electronically
or in written form.
ADDRESSES: For written comments, the Secretary of the Commission, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemaking and Adjudications Staff. Copies of comments received may be
examined at the NRC Public Document Room, 2120 L Street NW. (Lower
Level), Washington, DC.
You may also provide comments via the NRC's interactive rulemaking
web site through the NRC home page
(http://www.nrc.gov). From the home page, select ``Rulemaking'' from
the tool bar. The interactive rulemaking web site can then be accessed
by selecting ``Rulemaking Forum.'' This site provides the ability to
upload comments as files (any format), if your web browser supports
that function. For information about the interactive rulemaking web
site, contact Ms. Carol Gallagher, (301) 415-5905; e-mail [email protected]
Single copies of this proposed rulemaking may be obtained by
written request to Reproduction and Distribution Services Section ,
U.S. Nuclear Regulatory Commission, Washington DC 20555, or by faxing a
request to (301) 415-2289. Certain documents related to this
rulemaking, including comments received, may be examined at the NRC
Public Document Room, 2120 L Street NW (Lower Level), Washington, DC.
These same documents may also be viewed and downloaded electronically
via the rulemaking web site as indicated above.
FOR FURTHER INFORMATION CONTACT: Duane G. Kidd, Division of Facilities
and Security, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001 telephone (301) 415-7403, E-mail
[email protected]
SUPPLEMENTARY INFORMATION:
Background
The national requirements for the protection of and access to
Classified National Security Information have been revised by the
issuance of the National Industrial Security Program Operating Manual
(NISPOM), Executive Order 12958, ``Classified National Security
Information,''dated April 17, 1995, and Executive Order 12968, ``Access
to Classified Information,'' dated August 2, 1995. In order to conform
to these national security policy documents, the NRC must revise its
regulations for the protection of classified information. The
requirements of 10 CFR parts 25 and 95 are substantially based on
Executive Orders 12958 and 12968.
The proposed rule would amend the provisions of 10 CFR parts 10,
11, 25, and 95 that deal with requirements for access to and protection
of classified information that have been changed or added by the
NISPOM, the Executive Orders, or new national guidelines on the scope
and adjudication of personnel security investigations. Specifically,
changes include a new definition in 10 CFR part 10 for the ``Personnel
Security Review Panel'' and revisions to a number of definitions in all
four parts to reflect a change in the name of the Division of Security
to the Division of Facilities and Security. Additionally, several
changes to definitions were made to reflect a change in responsibility
for certain decisions from the Executive Director for Operations to the
Deputy Executive Director for Management Services; revised due process
procedures; a new requirement for a facility clearance for those
licensees or others who require access to classified information at a
facility other than their own; additional information on the scope and
reporting requirements for the Foreign Ownership, Control, or Influence
(FOCI) program; a requirement to resubmit an updated Security Practice
Procedures Plan every five years; a requirement for a visitor control
program; and greater specificity as to when particular reports are
required. The proposed rule addresses the intent of Executive Order
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 proposed rule would also adopt new requirements in areas where
the executive orders, the NISPOM, or the adjudicative guidelines
require specific procedures not included in the previous versions of
the rules. These new requirements include: the change to a three member
Personnel Security Review Panel from three Review Examiners, acting
individually, reviewing the record of a case where an individual's
eligibility for access authorization or employment clearance is in
question; an explicit notification that individuals whose eligibility
for access authorization or employment clearance is in question have
the right to be represented by counsel or other representative at their
own expense and that they have a right to the documents, records, and
reports which form the basis for the question of their eligibility, to
the extent the documents would be available to them under the Freedom
of Information Act or Privacy Act, and to the entire investigative
file, as permitted by national security and other applicable law; a
change to the period
[[Page 41207]]
between reinvestigations for ``L'' and ``R'' access authorizations from
five years to ten years; a change to the fee schedules of 10 CFR parts
11 and 25 due to a change in the investigative requirements for ``Q,''
``L,'' ``U,'' and ``R'' access authorizations; and changing the
security classification markings to conform to Executive Order 12958;
The proposed rule also republishes for additional public comment
Secs. 25.15 and 95.35 which address the personnel security
investigative requirements for access to Secret Restricted Data. These
proposed changes were originally published as a proposed rulemaking on
August 5, 1996 (61 FR 40555), and would have permitted access to most
Secret Restricted Data, other than that defined as ``Critical Secret
Restricted Data'' (that term is no longer used but the concept
continues to be used for selected types of Secret Restricted Data) in
the NISPOM and its supplement, with an ``L'' clearance based on a
National Agency Check with Law and Credit investigation (NACLC). The
Department of Energy (DOE) objected to this change in their formal
comments on that proposed rule, recommending that, pending
determination of what constitutes the most sensitive Restricted Data
and its upgrade to Top Secret, all personnel with access to Secret
Restricted Data continue to have a ``Q'' clearance based on a Single
Scope Background Investigation (SSBI). Given DOE's special statutory
authorities in establishing controls for Restricted Data, their views
required special consideration. However, because this requirement may
exceed the requirements of applicable national policy (i.e., the
NISPOM), and result in additional costs to licensees and certificate
holders, the NRC decided to withdraw the changes to Secs. 25.15 and
95.35 in the final rulemaking which was published on April 11, 1997 (62
FR 17683), and to republish them later for additional public comment to
provide interested parties an equal opportunity to address the issues
and provide supporting rationale for their recommendations and
comments.
Environmental Impact: Categorical Exclusion
The NRC has determined that this proposed 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 proposed rule.
Paperwork Reduction Act Statement
This proposed rule amends information collection requirements that
are subject to the Paperwork Reduction Act (44 U.S.C. 3501, et seq.).
This rule has been submitted to the Office of Management and Budget for
review and approval of the information collection requirements.
The public reporting burden for this collection of information is
estimated to average 8.3 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. The NRC is seeking public comment on the
potential impact of the collection of information contained in the
proposed rule and on the following issues:
1. Is the proposed collection of information necessary for the
proper performance of the functions of the NRC, including whether the
information will have practical utility?
2. Is the estimate of burden accurate?
3. Is there a way to enhance the quality, utility, and clarity of
the information to be collected?
4. How can the burden of the information collection be minimized,
including the use of automated collection techniques?
Send comments on any aspect of this proposed collection of
information, including suggestions for reducing the burden, to the
Information and Records Management Branch (T-6 F33), U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, or by Internet
electronic mail at [email protected]; and to the Desk Officer, Office of
Information and Regulatory Affairs, NEOB-10202, (3150-0046, -0047),
Office of Management and Budget, Washington, DC 20503. Comments to OMB
on the collections of information or on the above issues should be
submitted by September 2, 1998. Comments received after this date will
be considered if it is practical to do so, but assurance of
consideration cannot be given to comments received after this date.
Public Protection Notification
If an information collection requirement does not display a
currently valid OMB control number, the NRC may not conduct or sponsor,
and a person is not required to respond to, the information collection.
Regulatory Analysis
The Commission has prepared a regulatory analysis for this proposed
regulation. The analysis examines the costs and benefits of the
alternatives considered by the Commission. The analysis is available
for inspection in the NRC Public Document Room, 2120 L Street, NW
(Lower Level), Washington, DC. Single copies of the analysis may be
obtained from Duane G. Kidd, Division of Security, Office of
Administration, U. S. Nuclear Regulatory Commission, Washington, DC
20555, telephone: (301) 415-7403.
Regulatory Flexibility Certification
As required by the Regulatory Flexibility Act of 1980, 5 U.S.C.
605(b), the Commission certifies that this rule, if adopted, will 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 proposed rule on the protection of classified
information and have determined that none of the facilities affected by
this rule would qualify as a small entity under the NRC's size
standards (10 CFR 2.810).
Backfit Analysis
The NRC has determined that the backfit rule, 10 CFR 50.109,
applies to this rulemaking initiative because it falls within the
criteria of 10 CFR 50.109(a)(1). However, a backfit analysis is not
required because this rulemaking qualifies for 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 10
Administrative practice and procedure, Classified information,
Criminal penalties, Investigations, Security measures.
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.
10 CFR Part 95
Classified information, Criminal penalties, 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 Reorganization
Act of 1974, as amended; and 5 U.S.C. 553; the NRC proposes to adopt
the following
[[Page 41208]]
amendments to 10 CFR parts 10, 11, 25, and 95.
PART 10--CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR
ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN
EMPLOYMENT CLEARANCE
1. The authority citation for part 10 is revised 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. 10450, 3 CFR Parts 1949-1953 COMP., p. 936, as amended;
E.O. 10865, 3 CFR 1959-1963 COMP., p. 398, as amended; 3 CFR Table
4.; E.O. 12968, 3 CFR 1995 COMP., p. 396.
2. Section 10.1 is revised to read as follows:
Sec. 10.1 Purpose.
(a) This part establishes the criteria, procedures, and methods for
resolving questions concerning:
(1) The eligibility of individuals who are employed by or
applicants for employment with NRC contractors, agents, and licensees
of the NRC, individuals who are NRC employees or applicants for NRC
employment, and other persons designated by the Deputy Executive
Director for Management Services of the NRC, for access to Restricted
Data pursuant to the Atomic Energy Act of 1954, as amended, and the
Energy Reorganization Act of 1974, or for access to national security
information; and
(2) The eligibility of NRC employees, or the eligibility of
applicants for employment with the NRC, for employment clearance.
(b) This part is published to implement the Atomic Energy Act of
11954, as amended, the Energy Reorganization Act of 1974, as amended,
Executive Order 10865, 25 FR 1583 (February 24, 1960) Executive Order
10450, 18 FR 2489 (April 27, 1954), and Executive Order 12968, 60 FR
40245 (August 2, 1995).
3. In Sec. 10.2, paragraph (d) is revised to read as follows:
Sec. 10.2 Scope.
* * * * *
(d) Any other person designated by the Deputy Executive Director
for Management Services of the Nuclear Regulatory Commission.
4. In Sec. 10.5, the introductory text is removed, the paragraph
designations preceding each of the defined terms are removed, the
definitions are rearranged in alphabetical order, and the definitions
of Access Authorization, Employment Clearance, National Security
Information, and NRC Personnel Security Review Panel are revised to
read as follows:
Sec. 10.5 Definitions.
Access authorization means an administrative determination that an
individual (including a consultant) who is employed by or an applicant
for employment with the NRC, NRC contractors, agents, and licensees of
the NRC, or other person designated by the Deputy Executive Director
for Management Services, is eligible for a security clearance for
access to Restricted Data or National Security Information.
* * * * *
Employment Clearance means an administrative determination that an
individual (including a consultant) who is an NRC employee or applicant
for NRC employment and other persons designated by the Deputy Executive
Director for Management Services of the NRC is eligible for employment
or continued employment pursuant to subsection 145(b). of the Atomic
Energy Act of 1954, as amended.
* * * * *
National Security Information means information that is owned by,
produced for or by, or under the control of the United States
Government, and that has been determined, pursuant to Executive Order
12958 or antecedent orders, to require protection against unauthorized
disclosure, and is so designated.
* * * * *
NRC Personnel Security Review Panel means an appeal panel appointed
by the Deputy Executive Director for Management Services and consisting
of three members, two of whom shall be selected from outside the
security field. One member of the Panel shall be designated as
Chairman.
* * * * *
5. In Sec. 10.10 the introductory text of paragraph (d) is revised
to read as follows:
Sec. 10.10 Application of the criteria.
* * * * *
(d) In resolving a question concerning the eligibility or continued
eligibility of an individual for access authorization and/or employment
clearance, the following principles shall be applied by the Director,
Division of Facilities and Security, Hearing Examiners, and the NRC
Personnel Security Review Panel:
* * * * *
6. In Sec. 10.12, paragraphs (a) and (c) are revised to read as
follows:
Sec. 10.12 Interview and other investigation.
(a) The Director, Division of Facilities and Security, Office of
Administration, may authorize the granting of access authorization and/
or employment clearance on the basis of the information in the
possession of the NRC or may authorize the conduct of an interview with
the individual, if the individual consents to be interviewed, or such
other investigation as the Director deems appropriate. On the basis of
such interview and/or investigation, the Director may authorize the
granting of access authorization and/or employment clearance.
* * * * *
(c) If the Director, Division of Facilities and Security, cannot
make a favorable finding regarding the eligibility of an individual for
access authorization and/or employment clearance, the question of the
individual's eligibility shall be resolved in accordance with the
procedures set forth in Sec. 10.20 et seq.
7. Section 10.20 is revised to read as follows:
Sec. 10.20 Purpose of the procedures.
These procedures establish methods for the conduct of hearings and
administrative review of questions concerning an individual's
eligibility for access authorization and/or employment clearance
pursuant to the Atomic Energy Act of 1954, as amended, and Executive
Orders 10450, 10865, and 12968 when a resolution favorable to the
individual cannot be made on the basis of the interview or other
investigation.
8. Section 10.21 is revised to read as follows:
Sec. 10.21 Suspension of access authorization and/or employment
clearance.
In those cases where information is received which raises a
question concerning the continued eligibility of an individual for
access authorization and/or employment clearance, the Director,
Division of Facilities and Security, through the Director, Office of
Administration, shall forward to the Deputy Executive Director for
Management Services or other Deputy Executive Director, his or her
recommendation as to whether the individual's access authorization and/
or employment clearance should be suspended pending the final
determination resulting from the operation of the procedures provided
in this part. In making this recommendation the Director, Division of
Facilities and Security, shall consider such factors as the seriousness
of the derogatory information developed, the degree of access of the
individual to classified information, and the individual's opportunity
by reason of
[[Page 41209]]
his or her position to commit acts adversely affecting the national
security. An individual's access authorization and/or employment
clearance may not be suspended except by the direction of the Deputy
Executive Director for Management Services or other Deputy Executive
Director.
9. Section 10.22 is revised to read as follows:
Sec. 10.22 Notice to individual.
A notification letter, prepared by the Division of Facilities and
Security, approved by the Office of General Counsel, and signed by the
Director, Office of Administration, shall be presented to each
individual whose eligibility for access authorization and/or employment
clearance is in question. Where practicable, such letter shall be
presented to the individual in person. The letter will be accompanied
by a copy of this part and shall state:
(a) That reliable information in the possession of the NRC has
created a substantial doubt concerning the individual's eligibility for
access authorization and/or employment clearance;
(b) That information that creates a substantial doubt regarding the
individual's eligibility for access authorization and/or employment
clearance shall be as comprehensive and detailed as the national
security interests and other applicable law permit;
(c) That the individual has the right to be represented by counsel
or other representative at their own expense;
(d) That the individual may request within 20 days of the date of
the notification letter, any documents, records and reports which form
the basis for the question of their eligibility for access
authorization and/or employment clearance, to the extent the documents
would be provided if requested under the Freedom of Information or the
Privacy Act; and to request the entire investigative file, as permitted
by the national security and other applicable law;
(e) That unless the individual files with the Director, Office of
Administration, a written request for a hearing within 20 days of the
individual's receipt of the notification letter or 20 days after
receipt of the information provided in response to a request made under
paragraph (d) of this section, whichever is later, the Director,
Division of Facilities and Security, through the Director, Office of
Administration, will submit a recommendation as to the final action to
the Deputy Executive Director for Management Services on the basis of
the information in the possession of the NRC;
(f) That if the individual files a written request for a hearing
with the Director, Office of Administration, the individual must file
with that request a written answer under oath or affirmation which
admits or denies specifically each allegation and each supporting fact
contained in the notification letter. A general denial is not
sufficient to controvert a specific allegation. If the individual is
without knowledge, he or she shall so state and that statement shall
operate as a denial. The answer shall also state any additional facts
and information that the individual desires to have considered in
explanation or mitigation of allegations in the notification letter.
Failure to specifically deny or explain or deny knowledge of any
allegation or supporting fact shall be deemed an admission that the
allegation or fact is true.
(g) That if the individual does not want to exercise his or her
right to a hearing, but does want to submit an answer to the
allegations in the notification letter, the individual may do so by
filing with the Director, Office of Administration, within 20 days of
his receipt of the notification letter or 20 days after receipt of the
information provided in response to a request made under paragraph (d)
of this section, whichever is later, a written answer in accordance
with the requirements of paragraph (f) of this section;
(h) That the procedures in Sec. 10.24 et seq. shall apply to any
hearing and review.
10. In Sec. 10.23, paragraph (a) is revised to read as follows:
Sec. 10.23 Failure of individual to request a hearing.
(a) In the event the individual fails to file a timely written
request for a hearing pursuant to Sec. 10.22, a recommendation as to
the final action to be taken shall be made by the Director, Division of
Facilities and Security, through the Director, Office of
Administration, to the Deputy Executive Director for Management
Services on the basis of the information in the possession of the NRC,
including any answer filed by the individual.
* * * * *
11. In Sec. 10.25, paragraphs (a) and (c) are revised to read as
follows:
Sec. 10.25 NRC Hearing Counsel.
(a) Hearing Counsel assigned pursuant to Sec. 10.24 shall, before
the scheduling of the hearing, review the information in the case and
shall request the presence of witnesses and the production of documents
and other physical evidence relied upon by the Director, Division of
Facilities and Security, in making his or her finding that a question
exists regarding the eligibility of the individual for NRC access
authorization and/or employment clearance in accordance with the
provisions of this part. When the presence of a witness and the
production of documents and other physical evidence is deemed by the
Hearing Counsel to be necessary or desirable for a determination of the
issues, the Director, Division of Facilities and Security, shall make
arrangements for the production of such evidence and for such witnesses
to appear at the hearing by subpoena or otherwise.
* * * * *
(c) The individual is responsible for producing witnesses in his or
her own behalf and/or presenting other evidence before the Hearing
Examiner to support the individual's answers and defense to the
allegations contained in the notification letter. When requested,
however, Hearing Counsel shall assist the individual to the extent
practicable and necessary. The Hearing Counsel may at his or her
discretion request the Director, Division of Facilities and Security,
to arrange for the issuance of subpoenas for witnesses to attend the
hearing in the individual's behalf, or for the production of specific
documents or other physical evidence, provided a showing of the
necessity for such assistance has been made.
12. In Sec. 10.27 paragraph (c) is revised to read as follows:
Sec. 10.27 Prehearing proceedings.
* * * * *
(c) The parties will be notified by the Hearing Examiner at least
ten days in advance of the hearing of the time and place of the
hearing. For good cause shown, the Hearing Examiner may order
postponements or continuances from time to time. If, after due notice,
the individual fails to appear at the hearing, or appears but is not
prepared to proceed, the Hearing Examiner shall, unless good cause is
shown, return the case to the Director, Division of Facilities and
Security, who shall make a recommendation on final action to be taken,
through the Director, Office of Administration, to the Deputy Executive
Director for Management Services on the basis of the information in the
possession of the NRC.
13. In Sec. 10.28, paragraph (n) is revised to read as follows:
Sec. 10.28 Conduct of hearing.
* * * * *
[[Page 41210]]
(n) A written transcript of the entire proceeding shall be made by
a person possessing appropriate NRC access authorization and/or
employment clearance and, except for portions containing Restricted
Data or National Security Information, or other lawfully withholdable
information, a copy of such transcript shall be furnished the
individual without cost. The transcript or recording shall be made part
of the applicant's or employee's personnel security file.
14. Section 10.31 is revised to read as follows:
Sec. 10.31 Actions on the recommendations.
(a) Upon receipt of the findings and recommendation from the
Hearing Examiner, and the record, the Director, Office of
Administration, shall forthwith transmit it to the Deputy Executive
Director for Management Services who at his or her discretion may
return the record to the Director, Office of Administration, for
further proceedings by the Hearing Examiner with respect to specific
matters designated by the Deputy Executive Director for Management
Services;
(b)(1) In the event of a recommendation by the Hearing Examiner
that an individual's access authorization and/or employment clearance
be denied or revoked, the Deputy Executive Director for Management
Services shall immediately notify the individual in writing of the
Hearing Examiner's findings with respect to each allegation contained
in the notification letter, and that the individual has a right to
request a review of his or her case by the NRC Personnel Security
Review Panel and of the right to submit a brief in support of his or
her contentions. The request for a review shall be submitted to the
Deputy Executive Director for Management Services within five days
after the receipt of the notice. The brief shall be forwarded to the
Deputy Executive Director of Management Services, for transmission to
the NRC Personnel Security Review Panel not later than 10 days after
receipt of such notice.
(2) In the event the individual fails to request a review by the
NRC Personnel Security Review Panel of an adverse recommendation within
the prescribed time, the Deputy Executive Director for Management
Services may at his or her discretion request a review of the record of
the case by the NRC Personnel Security Review Panel. The request shall
set forth those matters at issue in the hearing on which the Deputy
Executive Director for Management Services desires a review by the NRC
Personnel Security Review Panel.
(c) Where the Hearing Examiner has made a recommendation favorable
to the individual, the Deputy Executive Director for Management
Services may at his or her discretion request a review of the record of
the case by the NRC Personnel Security Review Panel. If such a request
is made, the Deputy Executive Director for Management Services shall
immediately cause the individual to be notified of that fact and of
those matters at issue in the hearing on which the Deputy Executive
Director for Management Services desires a review by the NRC Personnel
Security Review Panel. The Deputy Executive Director for Management
Services shall further inform the individual that within 10 days of
receipt of this notice, the individual may submit a brief concerning
those matters at issue for the consideration of the NRC Personnel
Security Review Panel. The brief shall be forwarded to the Deputy
Executive Director for Management Services for transmission to the NRC
Personnel Security Review Panel.
(d) In the event of a request for a review pursuant to paragraphs
(b) and (c) of this section, the Hearing Counsel may file a brief
within 10 days of being notified by the Deputy Executive Director for
Management Services that a review has been requested. The brief shall
be forwarded to the Deputy Executive Director for Management Services
for transmission to the NRC Personnel Security Review Panel.
(e) The Hearing Counsel may also request a review of the case by
the NRC Personnel Security Review Panel. The request for review, which
shall set forth those matters at issue in the hearing on which the
Hearing Counsel desires a review, shall be submitted to the Deputy
Director Executive for Management Services within five days after
receipt of the Hearing Examiner's findings and recommendation. Within
10 days of the request for review, the Hearing Counsel may file a brief
which shall be forwarded to the Deputy Executive Director for
Management Services for transmission to the NRC Personnel Security
Review Panel. A copy of the request for review, and a copy of any brief
filed, shall be immediately sent to the individual. If the Hearing
Counsel's request is for a review of a recommendation favorable to the
individual, the individual may, within 10 days of receipt of a copy of
the request for review, submit a brief concerning those matters at
issue for consideration of the NRC Personnel Security Review Panel. The
brief shall be forwarded to the Deputy Executive Director for
Management Services for transmission to the NRC Personnel Security
Review Panel. A copy of the brief shall be made a part of the
applicant's personnel security file.
(f) The time limits imposed by this section for requesting reviews
and the filing of briefs may be extended by the Deputy Executive
Director for Management Services for good cause shown.
(g) In the event a request is made for a review of the record by
the NRC Personnel Security Review Panel, the Deputy Executive Director
for Management Services shall forthwith send the record, with all
findings and recommendations and any briefs filed by the individual and
the Hearing Counsel, to the NRC Personnel Security Review Panel. If
neither the individual, the Deputy Executive Director for Management
Services, nor the Hearing Counsel requests such a review, the final
determination shall be made by the Deputy Executive Director for
Management Services on the basis of the record with all findings and
recommendations.
15. Section 10.32 is revised to read as follows:
Sec. 10.32 Recommendation of the NRC Personnel Security Review Panel.
(a) The Deputy Executive Director for Management Services shall
designate an NRC Personnel Security Review Panel to conduct a review of
the record of the case. The NRC Personnel Security Review Panel shall
be comprised of three members, two of whom shall be selected from
outside the security field. To qualify as an NRC Personnel Security
Review Panel member, the person designated shall have an NRC ``Q''
access authorization and may be an employee of the NRC, its
contractors, agents, or licensees. However, no employee or consultant
of the NRC shall serve as an NRC Personnel Security Review Panel member
reviewing the case of an employee (including a consultant) or applicant
for employment with the NRC; nor shall any employee or consultant of an
NRC contractor, agent or licensee serve as an NRC Personnel Security
Review Panel member reviewing the case of an employee (including a
consultant) or an applicant for employment of that contractor, agent,
or licensee. No NRC Personnel Security Review Panel member shall be
selected who has knowledge of the case or of any information relevant
to the disposition of it, or who for any reason would be unable to
issue a fair and unbiased recommendation.
[[Page 41211]]
(b) The NRC Personnel Security Review Panel shall consider the
matter under review based upon the record supplemented by any brief
submitted by the individual or the Hearing Counsel. The NRC Personnel
Security Review Panel may request such additional briefs as the Panel
deems appropriate. When the NRC Personnel Security Review Panel
determines that additional evidence or further proceedings are
necessary, the record may be returned to the Deputy Executive Director
for Management Services with a recommendation that the case be returned
to the Director, Office of Administration, for appropriate action,
which may include returning the case to the Hearing Examiner and
reconvening the hearing to obtain additional testimony. When additional
testimony is taken by the Hearing Examiner, a written transcript of
such testimony shall be made a part of the record and shall be taken by
a person possessing appropriate NRC access authorization and/or
employment clearance and, except for portions containing Restricted
Data or National Security Information, or other lawfully withholdable
information, a copy of such transcript shall be furnished the
individual without cost.
(c) In conducting the review, the NRC Personnel Security Review
Panel shall make its findings and recommendations as to the eligibility
or continued eligibility of an individual for access authorization and/
or employment clearance on the record supplemented by additional
testimony or briefs, as has been previously determined by the NRC
Personnel Security Review Panel as appropriate.
(d) The NRC Personnel Security Review Panel shall not consider the
possible impact of the loss of the individual's services upon the NRC
program.
(e) If, after considering all the factors in light of the criteria
set forth in this part, the NRC Personnel Security Review Panel is of
the opinion that granting or continuing access authorization and/or
employment clearance to the individual will not endanger the common
defense and security and will be clearly consistent with the national
interest, the NRC Personnel Security Review Panel shall make a
favorable recommendation; otherwise, the NRC Personnel Security Review
Panel shall make an adverse recommendation. The NRC Personnel Security
Review Panel shall prepare a report of its findings and recommendations
and submit the report in writing to the Deputy Executive Director for
Management Services, who shall furnish a copy to the individual. The
findings and recommendations shall be fully supported by stated reasons
supporting the findings and recommendations.
16. Section 10.33 is revised to read as follows:
Sec. 10.33 Action by the Deputy Executive Director for Management
Services.
(a) The Deputy Executive Director for Management Services, on the
basis of the record accompanied by all findings and recommendations,
shall make a final determination whether access authorization and/or
employment clearance shall be granted, denied, or revoked, except when
the provisions of Sec. 10.28(i), (j), or (l) have been used and the
Deputy Executive Director for Management Services determination is
adverse, the Commission shall make the final agency determination.
(b) In making the determination as to whether access authorization
and/or employment clearance shall be granted, denied, or revoked, the
Deputy Executive Director for Management Services or the Commission
shall give due recognition to the favorable as well as the unfavorable
information concerning the individual and shall take into account the
value of the individual's services to the NRC's program and the
consequences of denying or revoking access authorization and/or
employment clearance.
(c) In the event of an adverse determination, the Deputy Executive
Director for Management Services shall promptly notify the individual
through the Director, Office of Administration, of his or her decision
that access authorization and/or employment clearance is being denied
or revoked and of his or her findings with respect to each allegation
contained in the notification letter for transmittal to the individual.
(d) In the event of a favorable determination, the Deputy Executive
Director for Management Services shall promptly notify the individual
through the Director, Office of Administration.
17. In Sec. 10.34, paragraph (a) is revised to read as follows:
Sec. 10.34 Action by the Commission.
(a) Whenever, under the provisions of Sec. 10.28(i), (j), or (l) an
individual has not been afforded an opportunity to confront and cross-
examine witnesses who have furnished information adverse to the
individual and an adverse recommendation has been made by the Deputy
Executive Director for Management Services, the Commission shall review
the record and determine whether access authorization and/or employment
clearance shall be granted, denied, or revoked, based upon the record.
* * * * *
18. Section 10.35 is revised to read as follows:
Sec. 10.35 Reconsideration of cases.
(a) Where, pursuant to the procedures set forth in Secs. 10.20
through 10.34, the Deputy Executive Director for Management Services or
the Commission has made a determination granting access authorization
and/or employment clearance to an individual, the individual's
eligibility for access authorization and/or employment clearance shall
be reconsidered only when subsequent to the time of that determination,
new derogatory information has been received or the scope or
sensitivity of the Restricted Data or National Security Information to
which the individual has or will have access has significantly
increased. All new derogatory information, whether resulting from the
NRC's reinvestigation program or other sources, will be evaluated
relative to an individual's continued eligibility in accordance with
the procedures of this part.
(b) Where, pursuant to these procedures, the Commission or Deputy
Executive Director for Management Services has made a determination
denying or revoking access authorization and/or employment clearance to
an individual, the individual's eligibility for access authorization
and/or employment clearance may be reconsidered when there is a bona
fide offer of employment and/or a bona fide need for access to
Restricted Data or national security information and either material
and relevant new evidence is presented, which the individual and his or
her representatives are without fault in failing to present before, or
there is convincing evidence of reformation or rehabilitation. Requests
for reconsideration shall be submitted in writing to the Deputy
Executive Director for Management Services through the Director, Office
of Administration. Such requests shall be accompanied by an affidavit
setting forth in detail the information referred to above. The Deputy
Executive Director for Management Services shall cause the individual
to be notified as to whether his or her eligibility for access
authorization and/or employment clearance will be reconsidered and if
so, the method by which such reconsideration will be accomplished.
(c) Where access authorization and/or employment clearance has been
granted
[[Page 41212]]
to an individual by the Director, Division of Facilities and Security,
without recourse to the procedures set forth in Secs. 10.20 through
10.34, the individual's eligibility for access authorization and/or
employment clearance shall be reconsidered only in a case where,
subsequent to the granting of the access authorization and/or
employment clearance, new derogatory information has been received or
the scope or sensitivity of the Restricted Data or National Security
Information, to which the individual has or will have access, has
significantly increased. All new derogatory information, whether
resulting from the NRC's reinvestigation program or other sources, will
be evaluated relative to an individual's continued eligibility in
accordance with the procedures of this part.
PART 11--CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR
ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL
19. 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 11.15(e) also issued under sec. 501, 85 Stat. 290 (31
U.S.C. 483a).
20. In Sec. 11.7 the paragraph designations are removed, the
definitions are rearranged in alphabetical order, and the definitions
of NRC--``U'' special nuclear material access authorization and NRC--
``R'' special nuclear material access authorization are revised to read
as follows:
Sec. 11.7 Definitions.
* * * * *
NRC--``U'' special nuclear material access authorization means an
administrative determination based upon a single scope background
investigation, normally conducted by the Office of Personnel
Management, that an individual in the course of employment is eligible
to work at a job falling within the criteria of Sec. 11.11(a)(1) or
Sec. 11.13.
NRC--``R'' special nuclear material access authorization means an
administrative determination based upon a national agency check with
law and credit investigation that an individual in the course of
employment is eligible to work at a job falling within the criterion of
Sec. 11.11(a)(2).
* * * * *
21. Section 11.15 is revised to read as follows:
Sec. 11.15 Application for special nuclear material access
authorization.
(a)(1) Application for special nuclear material access
authorization, renewal, or change in level shall be filed by the
licensee on behalf of the applicant with the Director, Division of
Facilities and Security, U.S. Nuclear Regulatory Commission,
Washington, DC 20555. Applications for affected individuals employed on
October 28, 1985, shall be submitted within 60 days of notification of
Commission approval of the amended security plan.
(2) Licensees who wish to secure NRC--U or NRC--R special nuclear
material access authorizations for individuals in possession of an
active NRC Q or L access authorization or other security clearance
granted by another Federal agency based on an equivalent investigation
shall submit a ``Security Acknowledgment'' (NRC Form 176) and a
``Request for Access Authorization'' (NRC Form 237). NRC will process
these requests by verifying the data on an NRC cleared individual, or
by contacting the Federal agency which granted the clearance,
requesting certification of the security clearance, and determining the
investigative basis and level of the clearance. Licensees may directly
request the Federal agency which administered the security clearance,
if other than NRC, to certify to the NRC that it has on file an active
security clearance for an individual and to specify the investigative
basis and level of the clearance.
(b) Applications for special nuclear material access authorization
for individuals, other than those qualifying under the provisions of
Sec. 11.15(a)(2), must be made on forms supplied by the Commission,
including:
(1) Questionnaire for National Security Positions (SF--86, Parts 1
and 2);
(2) Two completed standard fingerprint cards (FD--258);
(3) Security Acknowledgment (NRC Form 176);
(4) Other related forms where specified in accompanying instruction
(NRC--254); and
(5) A statement by the employer, prospective employer, or
contractor identifying the job to be assigned to or assumed by the
individual and the level of authorization needed, justified by
appropriate reference to the licensee's security plan.
(c)(1) Except as provided in paragraph (c)(2) of this section, NRC-
U special nuclear material access authorizations must be renewed every
five years from the date of issuance. Except as provided in paragraph
(c)(3) of this section, NRC-R special nuclear material access
authorizations must be renewed every ten 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 for NRC-U and ten
year period for NRC-R, respectively, and must include:
(i) A statement by the licensee that at the time of application for
renewal the individual's assigned or assumed job requires an NRC-U or
an NRC-R special nuclear material access authorization, justified by
appropriate reference to the licensee's security plan;
(ii) The Questionnaire for National Security Positions (SF-86,
Parts 1 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 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-U access
authorization. Any NRC-U special nuclear material access authorization
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 exception to the time for submission of NRC-R special
nuclear 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 will satisfy the NRC renewal submission and paperwork
requirements even if less than ten years have passed since the date of
issuance or renewal of the NRC-R access 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
next
[[Page 41213]]
reinvestigation of the individual pursuant to DOE's Reinvestigation
Program.
(4) Notwithstanding the provisions of paragraph (c)(2) of this
section, the period of time for the initial and each subsequent NRC-U
renewal application to NRC may not exceed seven years.
(5) Notwithstanding the provisions of paragraph (c)(3) of this
section, the period of time for the initial and each subsequent NRC-R
renewal application to NRC may not exceed twelve 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, for a NRC-U
renewal or twelve years of the previous submission for a NRC-R renewal,
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 for NRC-U or twelve year period for NRC-R renewal.
(d) If at any time, due to new assignment or assumption of duties,
a change in special nuclear material access authorization level from
NRC ``R'' to ``U'' is required, the individual shall apply for a change
of level of special nuclear material access authorization. The
application must include a description of the new duties to be assigned
or assumed, justified by appropriate reference to the licensee's
security plan.
(e)(1) Each application for special nuclear material access
authorization, renewal, or change in level must be accompanied by the
licensee's remittance, payable to the U.S. Nuclear Regulatory
Commission, according to the following schedule:
i. NRC-R
.....................................................1
$128
---------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available
data, that a National Agency Check with law and credit investigation
is necessary, a fee of $128 will be assessed prior to the conduct of
the investigation; however, if a single scope investigation is
deemed necessary by the NRC, based on its review of available data,
a fee of $3,275 will be assessed prior to the conduct of the
investigation.
---------------------------------------------------------------------------
ii. NRC-R (expedited processing)
..............................1 $200
iii. NRC-R based on certification of comparable investigation
2 $0
---------------------------------------------------------------------------
\2\ If the NRC determines, based on its review of available
data, that a single scope investigation is necessary, a fee of
$3,275 will be assessed prior to the conduct of the investigation.
---------------------------------------------------------------------------
iv. NRC-R renewal..............................................\1\ $128
v. NRC-U requiring single scope investigation.....................$3275
vi. NRC-U requiring single scope investigation (expedited
processing).......................................................$3800
vii. NRC-U based on certification of comparable investigation....\2\ $0
viii. NRC-U renewal...........................................\2\ $1720
(2) Material access authorization fees will be published each time
the Office of Personnel Management notifies NRC of a change in the
background investigation rate it charges NRC for conducting the
investigation. Any such changed access authorization fees will be
applicable to each access authorization request received upon or after
the date of publication. Applications from individuals having current
Federal access authorizations may be processed expeditiously at no
cost, since the Commission may accept the certification of access
authorizations and investigative data from other Federal government
agencies which grant personnel access authorizations.
(f)(1) Any Federal employee, employee of a contractor of a Federal
agency, licensee, or other person visiting an affected facility for the
purpose of conducting official business, who possesses an active NRC or
DOE-Q access authorization or an equivalent Federal security clearance
granted by another Federal agency (``Top Secret'') based on a
comparable single scope background investigation may be permitted, in
accordance with Sec. 11.11, the same level of unescorted access that an
NRC-U special nuclear material access authorization would afford.
(2) Any Federal employee, employee of a contractor of a Federal
agency, licensee, or other person visiting an affected facility for the
purpose of conducting official business, who possesses an active NRC or
DOE-L access authorization or an equivalent security clearance granted
by another Federal agency (``Secret'') based on a comparable or greater
background investigation consisting of a national agency check with law
and credit may be permitted, in accordance with Sec. 11.11, the same
level of unescorted access that an NRC-R special nuclear material
access authorization would afford. An NRC or DOE-L access authorization
or an equivalent security clearance (``Secret''), based on a background
investigation or national agency check with credit, which was granted
or being processed by another Federal agency before January 1, 1998, is
acceptable to meet this requirement.
22. Section 11.16 is revised to read as follows:
Sec. 11.16 Cancellation of request for special nuclear material access
authorization.
When a request for an individual's access authorization is
withdrawn or canceled, the licensee shall notify the Chief, Personnel
Security Branch, NRC Division of Facilities and Security immediately,
by telephone, so that the investigation may be discontinued. The caller
shall provide the full name and date of birth of the individual, the
date of request, and the type of access authorization originally
requested (``U'' or ``R''). The licensee shall promptly submit written
confirmation of the telephone notification to the Personnel Security
Branch, NRC Division of Facilities and Security. A portion of the fee
for the ``U'' special nuclear material access authorization may be
refunded depending upon the status of the single scope investigation at
the time of withdrawal or cancellation.
23. In Sec. 11.21, paragraphs (c) and (d) are revised to read as
follows:
Sec. 11.21 Application of the criteria.
* * * * *
(c) When the reports of investigation of an individual contain
information reasonably falling within one or more of the classes of
derogatory information listed in Sec. 10.11, it shall create a question
as to the individual's eligibility for special nuclear material access
authorization. In such cases, the application of the criteria shall be
made in light of and with specific regard to whether the existence of
such information supports a reasonable belief that the granting of a
special nuclear material access authorization would be inimical to the
common defense and security. The Director, Division of Facilities and
Security, may authorize the granting of special nuclear material access
authorization on the basis of the information in the case or may
authorize the conduct of an interview with the individual and, on the
basis of such interview and such other investigation as the Director
deems appropriate, may authorize the granting of special nuclear
material access authorization. Otherwise, a question concerning the
eligibility of an individual for special nuclear material access
authorization shall be resolved in accordance with the procedures set
forth in Secs. 10.20 through 10.38 of this chapter.
(d) In resolving a question concerning the eligibility or continued
eligibility of an individual for special nuclear material access
authorization by action of the Hearing Examiner or a Personnel Security
Review Panel,3 the following principle shall be applied by
the Examiner and the Personnel Security Review Panel: Where there are
grounds sufficient to establish a reasonable belief as to the truth of
the information regarded as substantially derogatory and when the
existence of such information
[[Page 41214]]
supports a reasonable belief that granting access would be inimical to
the common defense and security, this shall be the basis for a
recommendation for denying or revoking special nuclear material access
authorization if not satisfactorily rebutted by the individual or shown
to be mitigated by circumstance.
---------------------------------------------------------------------------
\3\ The functions of the Hearing Examiner and the Personnel
Security Review Panel are described in part 10 of this chapter.
---------------------------------------------------------------------------
PART 25--ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL
24. 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. 12829, 3 CFR, 1993 Comp. p. 570; E.O. 12958,
3 CFR, 1995 Comp., p. 333; E.O. 12968, 3 CFR, 1995 Comp., p. 396.
Appendix A also issued under 96 Stat. 1051 (31 U.S.C. 9701).
25. In Sec. 25.5 the definitions of ``L'' access authorization,
National Security Information and ``Q'' access authorization are
revised to read as follows:
Sec. 25.5 Definitions.
* * * * *
``L'' access authorization means an access authorization granted by
the Commission which is normally based on a national agency check with
law and credit investigation (NACLC) or an access national agency check
and inquiries investigation (ANACI)) conducted by the Office of
Personnel Management.
* * * * *
National Security Information means information that has been
determined pursuant to Executive Order 12958 or any predecessor order
to require protection against unauthorized disclosure and that is so
designated.
* * * * *
``Q'' access authorization means an access authorization granted by
the Commission normally based on a single scope background
investigation conducted by the Office of Personnel Management, the
Federal Bureau of Investigation, or other U.S. Government agency which
conducts personnel security investigations.
* * * * *
26. Section 25.9 is revised to read as follows:
Sec. 25.9 Communications.
Except where otherwise specified, all communications and reports
concerning the regulations in this part should be addressed to the
Director, Division of Facilities and Security, U.S. Nuclear Regulatory
Commission, Washington, DC 20555.
27. Section 25.15 is revised to read as follows:
Sec. 25.15 Access permitted under ``Q'' or ``L'' or equivalent CSA
access authorization.
(a) A ``Q'' or CSA equivalent access authorization permits an
individual access on a need-to-know basis to Secret Restricted Data
related to nuclear weapons design, manufacturing and vulnerability
information; and certain particularly sensitive Naval Nuclear
Propulsion Program information (e.g., fuel manufacturing technology) as
well as Secret and Confidential National Security Information including
intelligence information, CRYPTO (i.e., cryptographic information) or
other classified communications security (COMSEC) information.
(b) An ``L'' access authorization permits an individual access on a
need-to-know basis to Secret and Confidential classified information
other than the categories specifically included in paragraph (a) of
this section. In addition, access to certain Confidential COMSEC
information is permitted as authorized by a National Communications
Security Committee waiver dated February 14, 1985.
(c) Each employee of the Commission is processed for one of the two
levels of access authorization. Licensees and other persons will
furnish classified information to a Commission or CSA employee on
official business when the employee has the appropriate level of access
authorization and need-to-know. Some individuals are permitted to begin
NRC employment without an access authorization. However, no NRC or CSA
employee is permitted access to any classified information until the
appropriate level of access authorization has been granted to that
employee by NRC or the CSA.
28. Section 25.19 is revised to read as follows:
Sec. 25.19 Processing applications.
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 Facilities and Security. If necessary, the NRC Division of
Facilities and Security may obtain approval from the appropriate
Commission office exercising licensing or regulatory authority before
processing the access authorization or access authorization renewal
request. If the applicant is disapproved for processing, the NRC
Division of Facilities and Security shall notify the submitter in
writing and return the original application (security packet) and its
accompanying fee.
29. In Sec. 25.21, paragraph (c) is revised to read as follows:
Sec. 25.21 Determination of initial and continued eligibility for
access authorization.
* * * * *
(c)(1) Except as provided in paragraph (c)(2) of this section, NRC
``Q'' access authorization must be renewed every five years from the
date of issuance. Except as provided in paragraph (c)(2) of this
section, NRC ``L'' access authorization must be renewed every ten 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 for
``Q'' access authorization and ten-year period for ``L'' access
authorization, and must include:
(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 Sec. 25.17(d).
(2) Renewal applications and the required paperwork are not
required for individuals who have a current and active access
authorization from 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. (The DOE Reinvestigation Program has been
determined to meet the NRC's requirements.) For these individuals, the
submission of the SF-86 by the licensee or other person to the other
government agency pursuant 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'' access authorization or 10 years have passed since the
date of issuance or renewal of the NRC ``L'' access authorization. Any
NRC access authorization continued in response to the provisions of
this paragraph will, thereafter, not be due for renewal until the date
set by the other Government agency for the next reinvestigation of the
individual pursuant to the other agency's reinvestigation program.
However, the period of time for the initial and each subsequent NRC
``Q'' renewal application to the NRC may not exceed seven years or, in
the case of NRC ``L'' renewal application, twelve years. Any individual
who is subject to the reinvestigation program
[[Page 41215]]
requirements of another Federal agency but, for administrative or other
reasons, does not submit reinvestigation forms to that agency within
seven years for ``Q'' renewal or twelve years for ``L'' renewal of the
previous submission, shall submit a renewal application to the NRC
using the forms prescribed in Sec. 25.17(d) before the expiration of
the seven-year period.
(3) If the NRC is not the CSA, reinvestigation program procedures
and requirements will be set by the CSA.
30. In Sec. 25.23, paragraph (a) is revised to read as follows:
Sec. 25.23 Notification of grant of access authorization.
* * * * *
(a) In those cases in which the determination was made as a result
of a Personnel Security Hearing or by a Personnel Security Review Panel
; or
* * * * *
31. Section 25.25 is revised to read as follows:
Sec. 25.25 Cancellation of requests for access 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 single scope
background investigation, national agency check with law and credit
investigation, or other personnel security action may be discontinued.
The requestor shall identify the full name and date of birth of the
individual, the date of request, and the type of access authorization
or access authorization renewal requested. The requestor shall confirm
each telephone notification promptly in writing.
32. In Sec. 25.27, paragraph (b) is revised to read as follows:
Sec. 25.27 Reopening of cases in which requests for access
authorizations are canceled.
* * * * *
(b) Additionally, if 90 days or more have elapsed since the date of
the last Questionnaire for National Security Positions (SF-86), or CSA
equivalent, the individual must complete a personnel security packet
(see Sec. 25.17(d)). 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.
33. In Sec. 25.31, paragraphs (a), (b), and (c) are revised to read
as follows:
Sec. 25.31 Extensions and transfers of access authorizations.
(a) The NRC Division of Facilities and 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.
(b) The NRC Division of Facilities and Security may, on request,
transfer an access authorization when an individual's access
authorization under one employer or activity is terminated,
simultaneously with the individual being granted access authorization
for another employer or activity.
(c) Requests for extension or transfer of access authorization must
state the full name of the person, his date of birth and level of
access authorization. The Director, Division of Facilities and
Security, may require a new personnel security packet (see
Sec. 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.
* * * * *
34. In Sec. 25.33, paragraphs (a) and (b) are revised to read as
follows:
Sec. 25.33 Termination of access authorizations.
(a) Access authorizations will be terminated when:
(1) Access authorization is no longer required;
(2) An individual is separated from the employment or the activity
for which he or she obtained an access authorization for 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 authorization will be terminated
shall immediately notify the CSA when the circumstances noted in
paragraph (a)(1) or (a)(2) of this section exist; inform the individual
that his or her access authorization is being terminated, and the
reason; and that he or she will be considered for reinstatement of
access authorization if he or she resumes work requiring it.
* * * * *
35. In Sec. 25.35, paragraph (b) is revised to read as follows:
Sec. 25.35 Classified visits.
* * * * *
(b) Representatives of the Federal Government, when acting in their
official capacities as inspectors, investigators, or auditors, may
visit a licensee, certificate holder, or other's facility without
furnishing advanced notification, provided these representatives
present appropriate Government credentials upon arrival. Normally,
however, Federal representatives will provide advance notification in
the form of an NRC Form 277, ``Request for Visit or Access Approval,''
with the ``need-to-know'' certified by the appropriate NRC office
exercising licensing or regulatory authority and verification of NRC
access authorization by the Division of Facilities and Security.
* * * * *
36. In Sec. 25.37, paragraph (b) is revised to read as follows:
Sec. 25.37 Violations.
* * * * *
(b) National Security Information is protected under the
requirements and sanctions of Executive Order 12958.
37. Appendix A to part 25 is revised to read as follows:
Appendix A to Part 25--Fees for NRC Access Authorization
------------------------------------------------------------------------
Fee
Category (dollars)
------------------------------------------------------------------------
Initial ``L'' access authorization......................... \1\ 128
Initial ``L'' access authorization (expedited processing).. \1\ 200
Reinstatement of ``L'' access authorization................ \2\ 128
Extension or Transfer of ``L'' access authorization........ \2\ 128
Renewal of ``L'' access authorization...................... \1\ 128
Initial ``Q'' access authorization......................... 3275
Initial ``Q'' access authorization (expedited processing).. 3800
Reinstatement of ``Q'' access authorization................ \2\ 3275
Reinstatement of ``Q'' access authorization (expedited
processing)............................................... \2\ 3800
Extension or Transfer of ``Q'.............................. \2\ 3275
Extension or Transfer of ``Q'' (expedited processing)...... \2\ 3800
Renewal of ``Q'' access authorization...................... \2\ 1720
------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a
single scope investigation is necessary, a fee of $3275 will be
assessed before the conduct of the investigation.
\2\ Full fee will only be charged if an investigation is required.
38. The heading of part 95 is revised to read as follows:
[[Page 41216]]
PART 95--FACILITY SECURITY CLEARANCE AND SAFEGUARDING OF NATIONAL
SECURITY INFORMATION AND RESTRICTED DATA
39. The authority citation for part 95 continues to read as
follows:
Authority: Secs. 145, 161, 193, 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. 12829, 3 CFR 1993 Comp., p. 570; E.O.
12958, as amended, 3 CFR 1995 Comp., p. 333; E.O. 12968, 3 CFR 1995
Comp., p. 391.
* * * * *
40. In Sec. 95.5 the definitions of NRC ``L'' access authorization,
NRC ``Q'' access authorization and security container are revised to
read as follows:
Sec. 95.5 Definitions.
* * * * *
NRC ``L'' access authorization means an access authorization
granted by the Commission which is normally based on a national agency
check with law and credit investigation (NACLC) or an access national
agency check and inquiries investigation (ANACI)) conducted by the
Office of Personnel Management.
NRC ``Q'' access authorization means an access authorization
granted by the Commission normally based on a single scope background
investigation conducted by the Office of Personnel Management, the
Federal Bureau of Investigation, or other U.S. Government agency which
conducts personnel security investigations.
* * * * *
Security container includes any of the following repositories:
(1) A security filing cabinet--one that bears a Test Certification
Label on the side of the locking drawer, inside wall adjacent to the
locking drawer, or interior door plate, and is marked, General Services
Administration Approved Security Container on the exterior of the top
drawer or door.
(2) A safe--burglar-resistive cabinet or chest which bears a label
of the Underwriters' Laboratories, Inc. certifying the unit to be a TL-
15, TL-30, or TRTL-30, and has a body fabricated of not less than 1
inch steel and a door fabricated of not less than 1\1/2\ inches steel
exclusive of the combination lock and bolt work; or bears a Test
Certification Label on the inside of the door and is marked General
Services Administration Approved Security Container and has a body of
steel at least \1/2\ ''thick, and a combination locked steel door at
least 1'' thick, exclusive of bolt work and locking devices, and an
automatic unit locking mechanism.
(3) A vault--a windowless enclosure constructed with walls, floor,
roof and door(s) that will delay penetration sufficient to enable the
arrival of emergency response forces capable of preventing theft,
diversion, damage or compromise of classified information or matter,
when delay time is assessed in conjunction with detection and
communication subsystems of the physical protection system.
(4) A vault-type room--a room which has a combination lock door and
is protected by an intrusion alarm system which alarms upon the
unauthorized penetration of a person anywhere into the room.
(5) Other repositories which in the judgment of the Division of
Facilities and Security would provide comparable physical protection.
* * * * *
41. Section 95.9 is revised to read as follows:
Sec. 95.9 Communications.
Except where otherwise specified, all communications and reports
concerning the regulations in this part should be addressed to the
Director, Division of Facilities and Security, Nuclear Regulatory
Commission, Washington, DC 20555.
42. In Sec. 95.15, paragraph (a) is revised to read as follows:
Sec. 95.15 Approval for processing licensees and others for facility
clearance.
(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 facility 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, or others who require access to
classified information in connection with NRC regulated activities, but
do not require use, storage, or possession of classified information
outside of NRC facilities. 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 Sec. 95.17
apply.
* * * * *
43. In Sec. 95.17, the introductory text of paragraph (a) and
paragraph (a)(1) are revised to read as follows:
Sec. 95.17 Processing facility clearance.
(a) Following the receipt of an acceptable request for facility
clearance, the NRC will either accept an existing facility clearance
granted by a current CSA and authorize possession of license or
certificate related classified information or process the facility for
a facility clearance. Processing will include--
(1) A determination based on review and approval of a Standard
Practice Procedure Plan that granting of the Facility Clearance would
not be inconsistent with the national interest, including a finding
that the facility is not under foreign ownership, control, or influence
to such a degree that a determination could not be made. An NRC finding
of foreign ownership, control, or influence is based on factors
concerning the foreign intelligence threat, risk of unauthorized
technology transfer, type and sensitivity of the information that
requires protection, the extent of foreign influence, record of
compliance with pertinent laws, and the nature of international
security and information exchange agreements. The licensee, certificate
holder, or other person is required to advise NRC within 30 days of any
significant events or changes that may affect its status concerning
foreign ownership, control, or influence.
* * * * *
44. Section 95.19 is revised to read as follows:
Sec. 95.19 Changes to security practices and procedures.
(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 Facilities and 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. These substantive changes to
the Standard Practice Procedures Plan that affect the security of the
facility must be submitted to NRC Division of Facilities and Security,
or CSA, at least 30 days
[[Page 41217]]
prior to the change so that it may be evaluated. The CSA shall promptly
respond in writing to all such proposals. Some examples of substantive
changes requiring prior CSA approval include--
(1) A change in the approved facility's classified mail address; or
(2) A temporary or permanent change in the location of the approved
facility (e.g., moving or relocating NRC's classified interest from one
room or building to another). Approved changes will be reflected in a
revised Security Practices and Procedures Plan submission within 30
days of approval. Page changes rather than a complete rewrite of the
plan may be submitted.
(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. These minor changes that do not affect the security of the
facility may be submitted to the addressees noted in paragraph (a) of
this section within 30 days of the change. Page changes rather than a
complete rewrite of the plan may be submitted. Some examples of minor,
non-substantive changes to the Standard Practice Procedures Plan
include--
(1) The designation/appointment of a new facility security officer;
or
(2) A revision to protective personnel patrol routine, provided the
new routine continues to meet the minimum requirements of this part.
(c) A licensee, certificate holder, or other person must update its
NRC facility clearance by submitting a complete Standard Practice
Procedures Plan to the Division of Facilities and Security at least
every 5 years.
45. Section 95.20 is revised to read as follows:
Sec. 95.20 Grant, denial or termination of facility clearance.
The Division of Facilities and Security shall provide notification
in writing (or orally 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 facility
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.
46. Section 95.21 is revised to read as follows:
Sec. 95.21 Withdrawal of requests for facility security clearance.
When a request for facility clearance is to be withdrawn or
canceled, the requester shall notify the NRC Division of Facilities and
Security in the most expeditious manner so that processing for this
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.
* * * * *
47. In Sec. 95.25, the introductory text of paragraph (a),
paragraphs (a)(2), (b), (c)(2), (f), (g), (h), (i), (j)(1), (j)(6), and
(j)(7) are revised to read as follows:
Sec. 95.25 Protection of National Security Information and Restricted
Data in storage.
(a) Secret matter, while unattended or not in actual use, must be
stored in--
* * * * *
(2) Any steel file cabinet that has four sides and a top and bottom
(all permanently attached by welding, rivets, or peened bolts so the
contents cannot be removed without leaving visible evidence of entry)
and is secured by a rigid metal lock bar and an approved key operated
or combination padlock. The keepers of the rigid metal lock bar must be
secured to the cabinet by welding, rivets, or bolts, 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 must be
stored in the same manner as SECRET matter except that no supplemental
protection is required.
(c) * * *
(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.
* * * * *
(f) Combinations shall be changed only by persons authorized access
to Secret or Confidential National Security Information and/or
Restricted Data depending upon the matter authorized to be stored in
the security container.
(g) Posted information. Containers may not bear external markings
indicating the level of classified matter authorized for storage. A
record of the names of persons having knowledge of the combination must
be posted inside the container.
(h) End of day security checks.
(1) Facilities that store classified matter shall establish a
system of security checks at the close of each working day to ensure
that all classified matter and security repositories have been
appropriately secured.
(2) Facilities operating with multiple work shifts shall perform
the security checks at the end of the last working shift in which
classified matter had been removed from storage for use. The checks are
not required during continuous 24-hour operations.
(i) Unattended security container found opened. If an unattended
security container housing classified matter is found unlocked, the
custodian or an alternate must be notified immediately. The container
must be secured by protective personnel and the contents inventoried as
soon as possible but not later than the next workday. A report
reflecting all actions taken must be submitted to the responsible
Regional Office (see 10 CFR part 73, Appendix A, for addresses) with an
information copy to the NRC Division of Facilities and Security within
30 days after the event. The licensee shall retain records pertaining
to these matters for 3 years after completion of final corrective
action.
(j) * * *
(1) A key and lock custodian shall be appointed to ensure proper
custody and handling of keys and locks used for protection of
classified matter;
* * * * *
(6) Keys and spare locks must be protected equivalent to the level
of classified matter involved;
(7) Locks must be changed or rotated at least every 12 months, and
must be replaced after loss or compromise of their operable keys; and
* * * * *
48. Section 95.27 is revised to read as follows:
Sec. 95.27 Protection while in use.
While in use, classified matter must be under the direct control of
an authorized individual to preclude physical, audio, and visual access
by persons who do not have the prescribed access authorization or other
written CSA disclosure authorization (see Sec. 95.36 for additional
information concerning disclosure authorizations).
49. In Sec. 95.29, paragraphs (a), (c)(2), and (c)(4) are revised
to read as follows:
Sec. 95.29 Establishment of restricted or closed areas.
(a) If, because of its nature, sensitivity or importance,
classified matter cannot
[[Page 41218]]
otherwise be effectively controlled in accordance with the provisions
of Secs. 95.25 and 95.27, a Restricted or Closed area must be
established to protect such matter.
* * * * *
(c) * * *
(2) Access must be limited to authorized persons who have an
appropriate security clearance and a need-to-know for the classified
matter 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 inadvertent or unauthorized exposure to
classified information cannot otherwise be effectively prevented.
* * * * *
(4) Open shelf or bin storage of classified matter in Closed Areas
requires CSA approval. Only areas protected by an approved intrusion
detection system will qualify for approval.
50. In Sec. 95.33, paragraph (f) is revised to read as follows:
Sec. 95.33 Security education.
* * * * *
(f) Refresher Briefings. The licensee or other facility shall
conduct refresher briefings for all cleared employees every 3 years. As
a minimum, the refresher briefing must reinforce the information
provided during the initial 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.
* * * * *
51. A new Sec. 95.34 is added to read as follows:
Sec. 95.34 Control of visitors.
(a) Uncleared visitors. Licensees, certificate holders, or others
subject to this part shall take measures to preclude access to
classified information by uncleared visitors.
(b) Foreign visitors. Licensees, certificate holders, or others
subject to this part shall take measures as may be necessary to
preclude access to classified information by foreign visitors.
(1) The names, dates of birth, and organizational affiliation and
status (e.g., resident aliens, dual citizenship) of foreign visitors
shall be provided to the Division of Facilities and Security 60 days in
advance of the visit. Unless an objection to the visit is received from
the NRC Division of Facilities and Security within the 60 day period,
the visit may proceed as scheduled.
(2) The licensee, certificate holder, or others shall retain
records of visits for 5 years beyond the date of the visit.
52. Section 95.35 is revised to read as follows:
Sec. 95.35 Access to National Security Information and Restricted
Data.
(a) Unless authorized by the Commission, a person subject to the
regulations in this part may not receive or permit any individual to
have access to Secret or Confidential National Security Information or
Restricted Data unless the individual has one of the following access
authorizations:
(1) A U.S. Government granted access authorization based on a
Single Scope Background Investigation and issued by the CSA which
permits an individual access to--
(i) Secret Restricted Data related to nuclear weapons design,
manufacturing and vulnerability information; and certain particularly
sensitive Naval Nuclear Propulsion Program information (e.g., fuel
manufacturing technology) and Confidential Restricted Data; and
(ii) Secret and Confidential National Security Information which
includes intelligence information, CRYPTO (i.e., cryptographic
information) or other classified communications security (COMSEC)
information.
(2) A U.S. Government granted access authorization based on a
National Agency Check with Law and Credit investigation (NACLC) and
issued by the CSA which permits an individual access to Secret and
Confidential Restricted Data and Secret and Confidential National
Security Information other than that noted in paragraph (a)(1)(i) of
this section.
(3) Access to certain Confidential COMSEC information is permitted
as authorized by a National Communications Security Committee waiver
dated February 14, 1984.
(4) An established ``need-to-know'' for the information. (See
Definitions, Sec. 95.5).
(5) CSA approved storage facilities if classified documents or
material are to be transmitted to the individual.
(b) Classified information must not be released by a licensee or
other person to any personnel other than properly access authorized
Commission licensee employees, or other individuals authorized access
by the Commission.
(c) Access to classified national security information at NRC-
licensed facilities by authorized representatives of IAEA is permitted
in accordance with Sec. 95.36 of this part.
53. In Sec. 95.36, paragraphs (a), (c), and (d) are revised to read
as follows:
Sec. 95.36 Access by representatives of the International Atomic
Energy Agency or by participants in other international agreements.
(a) Based upon written disclosure authorization from the NRC
Division of Facilities and Security that an individual is an authorized
representative of the International Atomic Energy Agency (IAEA) or
other international organization and that the individual is authorized
to make visits or inspections in accordance with an established
agreement with the United States Government, a licensee, certificate
holder or other person subject to this part shall permit the individual
(upon presentation of the credentials specified in Sec. 75.7 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 disclosure authorization under this section does not
authorize a licensee, certificate holder, or other person subject to
this part to provide access to Restricted Data.
* * * * *
(c) In accordance with the specific disclosure authorization
provided by the Division of Facilities and Security, licensees, or
other persons subject to this part are authorized to release (i.e.,
transfer possession of) copies of documents which contain classified
National Security Information directly to IAEA inspectors and other
representatives officially designated to request and receive classified
National Security Information documents. These documents must be marked
specifically for release to IAEA 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 also forward 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
containing classified National Security Information except as provided
in Sec. 95.43.
(d) Records regarding these visits and inspections must be
maintained for 5 years beyond the date of the visit or inspection.
These records must specifically identify each document which has been
released to an authorized representative and indicate the date of the
release. These records must also identify (in such detail as the
Division of Facilities and Security, by letter, may require) the
categories of documents that the authorized
[[Page 41219]]
representative has had access and the date of this access. A licensee
or other person subject to this part shall also retain Division of
Facilities and Security disclosure authorizations for 5 years beyond
the date of any visit or inspection when access to classified
information was permitted.
* * * * *
54. In Sec. 95.37, paragraph (c)(1)(iv) is removed and paragraphs
(c)(1)(i) and (h)(2) are revised to read as follows:
Sec. 95.37 Classification and preparation of documents.
* * * * *
(c) * * *
(1) * * *
(i) Derivative classifications of classified National Security
Information must contain the identity of the source document or the
classification guide, including the agency and office of origin, on the
``Derived From'' line and its classification date. If more than one
source is cited, the ``Derived From'' line should indicate ``Multiple
Sources.'' The derivative classifier shall maintain the identification
of each source with the file or record copy of the derivatively
classified document.
* * * * *
(h) * * *
(2) In the event of a question regarding classification review, the
holder of the information or the authorized classifier shall consult
the NRC Division of Facilities and Security, Information Security
Branch, for assistance.
* * * * *
55. In Sec. 95.39, the heading, paragraphs (b)(3) and (c)(2) are
revised to read as follows:
Sec. 95.39 External transmission of classified matter.
* * * * *
(b) * * *
(3) The outer envelope or wrapper must contain the addressee's
classified mailing address. The outer envelope or wrapper may not
contain any classification, additional marking or other notation that
indicate that the enclosed document contains classified information.
The Classified Mailing Address shall be uniquely designated for the
receipt of classified information. The classified shipping address for
the receipt of material (e.g., equipment) should be different from the
classified mailing address for the receipt of classified documents.
* * * * *
(c) * * *
(2) Confidential matter may be transported by one of the methods
set forth in paragraph (c)(1) of this section, by U.S. express or
certified mail. Express or certified mail may be used in transmission
of Confidential documents to Puerto Rico or any United States territory
or possession.
* * * * *
56. In Sec. 95.45, paragraph (a) is revised to read as follows:
Sec. 95.45 Changes in classification.
(a) Documents containing classified National Security Information
must be downgraded or declassified as authorized by the NRC
classification guides or as determined by the NRC. Requests for
downgrading or declassifying any NRC classified information should be
forwarded to the NRC Division of Facilities and Security, Office of
Administration, Washington, DC 20555-0001. Requests for downgrading or
declassifying of Restricted Data will be forwarded to the NRC Division
of Facilities and Security for coordination with the Department of
Energy.
* * * * *
57. Section 95.47 is revised to read as follows:
Sec. 95.47 Destruction of matter containing classified information.
Documents containing classified information may be destroyed by
burning, pulping, or another method that ensures complete destruction
of the information that they contain. The method of destruction must
preclude recognition or reconstruction of the classified information.
Any doubts on methods should be referred to the CSA.
58. Section 95.53 is revised to read as follows:
Sec. 95.53 Termination of facility clearance.
(a) If the need to use, process, store, reproduce, transmit,
transport, or handle classified matter no longer exists, the facility
clearance will be terminated. The facility may deliver all documents
and matter containing classified information to the Commission or to a
person authorized to receive them or destroy all such documents and
matter. In either case, the facility shall submit a certification of
nonpossession of classified information to the NRC Division of
Facilities and Security within 30 days of termination of facility
clearance.
(b) In any instance where facility clearance has been terminated
based on a determination of the CSA that further possession of
classified matter by the facility would not be in the interest of the
national security, the facility shall, upon notice from the CSA,
dispose of classified documents in a manner specified by the CSA.
59. Section 95.57 is revised to read as follows:
Sec. 95.57 Reports.
Each licensee or other person having a facility clearance shall
report to the CSA and the Regional Administrator of the appropriate NRC
Regional Office listed in 10 CFR part 73, Appendix A,
(a) Any alleged or suspected violation of the Atomic Energy Act,
Espionage Act, or other Federal statutes related to classified
information. Incidents such as this must be reported within 1 hour of
the event followed by written confirmation;
(b) Any infractions, losses, compromises or possible compromise of
classified information or classified documents not falling within
paragraph (a) of this section. Incidents such as these must be reported
via written notification within 30 days of the incident. The report
shall include details of the incident including corrective action
taken;
(c) In addition, NRC requires records for all classification
actions (documents classified, declassified, or downgraded) to be
submitted to the NRC Division of Facilities and Security. These may be
submitted on an as completed basis or every 30 days. The information
may be submitted either electronically by an on-line system (NRC
prefers the use of a dial-in automated system connected to the Division
of Facilities and Security) or by paper copy using NRC Form 790.
Dated at Rockville, Maryland, this 16th day of July, 1998.
For the Nuclear Regulatory Commission.
L. Joseph Callan,
Executive Director for Operations.
[FR Doc. 98-20602 Filed 7-31-98; 8:45 am]
BILLING CODE 7590-01-P
