Security Information Defined

[Rennhack]

I have excerpted some security terms from a Department of Energy
(DOE) site as this is about the simplest explanations of the
terms involved. Obviously, the terms are used in relation to DOE
activities.

Some abbreviations used below for example are:

CFRD Confidential Formerly Restricted Data
FRD Formerly Restricted Data
RD Restricted Data
TS Top Secret
TSRD Top Secret Restricted Data
etc., etc., etc.

Note: National Security Information (NSI) is ordinary classified
information, but DOE uses special identification due to the
large about of nuclear data they deal with so there will be no
misunderstandings.

Note: Other agencies designate "Official Use Only" as For
Official Use Only (FOUO)

Security Terms as defined by Department of
Energy in a draft security guide.


Atomic Energy Commission (AEC) - A five-member commission and
supporting organization established by the AEA of 1946 to manage
the U.S. civil and military nuclear energy programs. Succeeded
by the Energy Research and Development Agency (ERDA) and the
separate Nuclear Regulatory Commission (NRC)) in 1974 and then
by the current Department of Energy (DOE) in 1977.

Classification - The determination by an authorized official
that information requires protection under the provisions of an
Executive order (for NSI) or that a document or material
contains classified information for NSI, RD, or FRD.

Confidential (C) - Currently the lowest classification level;
applied to information whose unauthorized disclosure could
reasonably be expected to cause damage to national security.

Declassification - A determination by appropriate authority in
accordance with approved classification policy that information
is no longer classified or that a document or other material no
longer contains classified information.

Executive Order (EO) - Formal Presidential order mandating
activities of the Executive Branch. As used here, Executive
orders concern the identification and protection of classified
national security information, such as the current Executive
Order 12356.

Formerly Restricted Data - Classified information jointly
determined by DOE and DOD to be related primarily to the
military utilization of atomic weapons and removed by DOE from
the Restricted Data category pursuant to section 142d. of the
Atomic Energy Act. FRD is protected as NSI except for the
purpose of foreign dissemination, where it is treated as RD.

L-Clearance - DOE or NRC clearance for access to CRD, SFRD, or
SNSI.

National Security Information (NSI) - Information that has been
determined pursuant to Executive Order 12356 or any predecessor
order to require protection against unauthorized disclosure and
that is so designated. Note that only DOE uses "NSI" markings on
documents.

Need-To-Know - A determination by a person having responsibility
for classified information or material that a proposed
recipient's access to such classified information or matter is
necessary in the performance of official or contractual duties
of employment.

Official Use Only (OUO) - A designation identifying certain
unclassified but sensitive DOE information that may be exempt
from public release under the FOIA.

Q-Clearance - DOE or NRC clearance for SRD, TSFRD, or TSNSI.

Restricted Data (RD) - A category of classified information
defined by the AEA, sec 11.y.: "The term 'Restricted Data' means
all data concerning (1) design, manufacture, or utilization of
atomic weapons; (2) the production of special nuclear material;
or (3) the use of special nuclear material in the production of
energy, but shall not include data declassified or removed from
the Restricted Data category pursuant to section 142"

Secret (S) - The classification level between Confidential and
Top Secret; applied to information whose unauthorized disclosure
could reasonably be expected to cause serious damage to the
national security.

Security - The protection of valuable matter, including
classified material and information.

Security Clearance - Official determination that access by an
individual to classified information will not be inimical to
national security; e.g., in DOE (and NRC) "L-" and "Q"-
  clearances for RD, FRD and NSI, and "S" and "TS" clearances for
NSI only. "C", "S", and "TS" clearances are used in other
agencies for NSI.

Sensitive Compartmented Information (SCI) - Classified
information concerning or derived from intelligence sources,
methods, or analytical processes, which is required to be
handled within formal access control systems established by the
Director of Central Intelligence.

Top Secret (TS) - The highest classification level; applied to
information whose unauthorized disclosure could reasonably be
expected to cause exceptionally grave damage to national
security.

Unclassified - The designation for information, a document, or
material that has been determined not to be classified or that
has been declassified by proper authority.

[Rennhack]

NRC Requirements for Special Nuclear Material Access Authorization
§ 11.11 General requirements.
(a) Each licensee who uses, processes, stores, transports, or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in part 73 of this chapter) subject to the physical protection requirements of §§ 73.20, 73.25, 73.26, 73.45, and 73.46, and each person subject to the general licensing requirements of § 70.20a, shall identify at its facility or plant (excluding all non-power reactor facilities and storage of fuel incident thereto and facilities and plants in which the licensee possesses or uses only irradiated special nuclear material subject to the exemption of § 73.6(b)), describe, and if not already provided, provide to the Commission, by December 26, 1985 by amendment to its security plan:

(1) All jobs in which an individual could steal or divert special nuclear material, or commit sabotage which would endanger the public by exposure to radiation, by working alone or in cooperation with an individual who does not possess an NRC - U special nuclear material access authorization, or by directing or coercing any individual to assist in the theft, diversion, or sabotage. Such jobs include but are not limited to:

(i) All positions in the licensee's security force,

(ii) Management positions with the authority to:

(A) Direct the actions of members of the security force or alter security procedures, or

(B) Direct routine movements of special nuclear material, or

(C) Direct the routine status of vital equipment.

(iii) All jobs which require unescorted access within onsite alarm stations.

(iv) All jobs which require unescorted access2 to special nuclear material or within vital areas.

(2) All jobs which require unescorted access within protected areas and which do not fall within the criterion of paragraph (a)(1) of this section.

(b) After 365 days following Commission approval of the amended security plan submitted in accordance with paragraph (a) of this section, no individual may be permitted to work at any job determined by the Commission to fall within the criterion of paragraph (a)(1) of this section without an NRC -U special nuclear material access authorization, and no individual may be permitted unescorted access to any protected area at any site subject to this Part without either an NRC-U or NRC-R special nuclear material access authorization. The exceptions to the requirement for an NRC-U and NRC-R special nuclear material access authorization are as follows:

(1) Exceptions to the requirement for an NRC-U special nuclear material access authorization for an individual to work at a job within the criteria of paragraph (a)(1) are provided for

(i) Any individual employed in such a job on October 28, 1985, who is not yet in receipt of an NRC-U special nuclear material access authorization from the Commission, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) and (b); or

(ii) Any individual in possession of an NRC-L or R access authorization or an equivalent active Federal security clearance but not yet in receipt of the NRC-U special nuclear material access authorization, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) or (b), or both.

(2) Exceptions to the requirement for an NRC-R special nuclear material access authorization for an individual to have unescorted access to a protected area are provided for

(i) Any individual employed in such a job on October 28, 1985 who is not yet in receipt of an NRC-R special nuclear material access authorization from the Commission, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) and (b); or

(ii) Any individual in possession of an NRC-L access authorization or an equivalent active Federal security clearance, provided that a complete application has been submitted to the NRC for processing for that employee in accordance with § 11.15 (a) or (b), or both.

[45 FR 76970, Nov. 21, 1980, as amended at 46 FR 56599, Nov. 18, 1981; 50 FR 39077, Sept. 27, 1985]

2 This does not alter the requirement for methods to observe individuals within material access areas as stated in § 73.46(e)(9) of this chapter.

[Rennhack]

§ 11.15 Application for special nuclear material access authorization.
(a)(1) Application for special nuclear material access authorization, renewal, or change in level must be filed by the licensee on behalf of the applicant with the Director, Division of Facilities and Security, Mail Stop T7-D57, either by mail addressed to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/eie.html, by calling (301) 415-6030, by e-mail to EIE@nrc.gov, or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. 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 that 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 that 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 § 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 individuals who have a current and active DOE-Q access authorization and 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 individuals who have a current and active DOE-L or DOE-Q access authorization and 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 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 a 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) The Office of Personnel Management (OPM) bills NRC for the cost of each background investigation conducted in support of an application for special nuclear material access authorization. The combined cost of the OPM investigation and NRC's application processing overhead are recovered from the licensee through a material access authorization fee calculated with reference to current OPM personnel investigation billing rates {OPM rate + [(OPM rate x 11.6%), rounded to the nearest dollar] = NRC access authorization fee} . Updated OPM billing rates are published periodically in a Federal Investigations Notice (FIN) issued by OPM's Investigations Service. Copies of the current OPM billing schedule can be obtained by phoning the NRC's Security Branch, Division of Facilities and Security, Office of Administration at 1-800-368-5642. Any change in the NRC's access authorization fees will be applicable to each access authorization request received on or after the effective date of OPM's most recently published investigations billing schedule.

(2) Each application for a 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. Applicants shall calculate the access authorization fee according to the stated formula {OPM rate + [(OPM rate x 11.6%), rounded to the nearest dollar] = NRC access authorization fee} and with reference to the following table:

The NRC application fee for an access authorization of type * * * Is the sum of the current OPM billing rate charged for an investigation of type * * * Plus the NRC's processing fee (rounded to the nearest dollar), which is equal to the OPM billing rate for the type of investigation referenced multiplied by * * *
i. NRC-R1 NACLC--National Agency Check with Law and Credit (Standard Service, Code B). 11.6%
ii. NRC-R1 (expedited processing) NACLC--National Agency Check with Law and Credit (Expedite Handling, Code A). 11.6%
iii. NRC-R based on certification of comparable investigation2
No fee assessed for most applications.
iv. NRC-R renewal1 NACLC--National Agency Check with Law and Credit (Standard Service, Code B). 11.6%
v. NRC-U requiring single scope investigation. SSBI--Single Scope Background Investigation (120 Day Service, Code C).
11.6%
vi. NRC-U requiring single scope investigation (expedited processing). SSBI--Single Scope Background Investigation (35 Day Service, Code A).
11.6%
vii. NRC-U based on certification of comparable investigation2

No fee assessed for most applications.
viii. NRC-U renewal2 LBI--Limited Background Investigation (120 Day Service, Code C). 11.6%

1 If the NRC, having reviewed the available data, deems it necessary to perform a single scope investigation,
the appropriate NRC-U fee will be assessed prior to the conduct of the investigation.
2 If the NRC determines, based on its review of available data, that a single scope investigation is
necessary, the appropriate NRC-U fee will be assessed prior to the conduct of the investigation.

(3) Certain applications from individuals having current Federal access authorizations may be processed expeditiously at no cost to the licensee because the Commission, at its discretion, may decide to accept the certification of access authorizations and investigative data from other Federal government agencies that 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 § 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 § 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 granted or being processed by another Federal agency before January 1, 1998, is acceptable to meet this requirement.

[64 FR 15645, Apr. 1, 1999; 68 FR 58800, Oct. 10, 2003; 68 FR 62511, Nov. 5, 2003; 68 FR 65765, Nov. 21, 2003]