Access Authorization Fees, 73631-73638 [2021-28116]
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Federal Register / Vol. 86, No. 246 / Tuesday, December 28, 2021 / Rules and Regulations
TITLE 19—CUSTOMS DUTIES
§ 4.7a. Inward manifest; information
required; alternative forms.
PART 4—VESSELS IN FOREIGN AND
DOMESTIC TRADES
*
7. The general authority citation for
part 4 continues to read as follows:
■
Authority: 5 U.S.C. 301; 19 U.S.C. 66,
1431, 1433, 1434, 1624, 2071 note; 46 U.S.C.
501, 60105.
8. Amend § 4.7 by revising paragraph
(a) to read as follows:
■
§ 4.7. Inward foreign manifest; production
on demand; contents and form; advance
filing of cargo declaration.
(a) The master of every vessel arriving
in the United States and required to
make entry must have on board the
vessel a manifest, as required by section
431, Tariff Act of 1930 (19 U.S.C. 1431),
and by this section. The manifest must
be legible and complete. If it is in a
foreign language, an English translation
must be furnished with the original and
with any required copies. The required
manifest consists of a Vessel Entrance or
Clearance Statement, CBP Form 1300,
and the following documents: (1) Cargo
Declaration, CBP Form 1302, (2) Ship’s
Stores Declaration, CBP Form 1303, and
(3) Crew’s Effects Declaration, CBP
Form 1304, to which are attached
crewmembers’ declarations on CBP
Form 5129, if the articles will be landed
in the United States. Unless the
exception at 8 CFR 251.1(a)(6) applies
and a paper form is submitted, the
master must also electronically submit
the data elements required on CBP Form
I–418 via an electronic data interchange
system approved by CBP, which will be
considered part of the manifest. Any
document which is not required may be
omitted from the manifest provided the
word ‘‘None’’ is inserted in items 16, 18,
and/or 19 of the Vessel Entrance or
Clearance Statement, as appropriate. If a
vessel arrives in ballast and therefore
the Cargo Declaration is omitted, the
legend ‘‘No merchandise on board’’
must be inserted in item 16 of the Vessel
Entrance or Clearance Statement.
*
*
*
*
*
9. Amend § 4.7a as follows:
a. Remove paragraph (b)(2);
■ b. Redesignate paragraphs (b)(3) and
(b)(4) as paragraphs (b)(2) and (b)(3),
respectively;
■ c. Add paragraph (c)(5);
■ d. In paragraph (d), add the words
‘‘§ 4.7b and with’’ after ‘‘in accordance
with’’; and
■ e. Revise paragraph (e).
The addition and revision read as
follows:
■
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■
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*
*
*
*
(c) * * *
(5) Unaccompanied baggage must be
listed on CBP Form 1302, or transmitted
via an electronic data interchange
system approved by CBP.
*
*
*
*
*
(e) Passenger List. (1) The Passenger
List must be completed in accordance
with § 4.7b, § 4.50, and with the
requirements of applicable DHS
regulations administered by CBP (8 CFR
part 231).
*
*
*
*
*
■ 10. Amend § 4.50 as follows:
■ a. In paragraph (a), remove the second
sentence;
■ b. Add paragraph (c).
The addition reads as follows:
§ 4.50
Passenger lists.
*
*
*
*
*
(c) By the act of submitting the data
elements required on CBP Form I–418
via an electronic data interchange
system approved by CBP, the master
certifies that CBP baggage declaration
requirements have been made known to
incoming passengers; that any required
CBP baggage declarations have been or
will simultaneously be filed as required
by law and regulation with the proper
CBP officer; that the responsibilities of
the vessel operator have been or will be
done as required by law or regulation
before the proper CBP officer; and that
there are no steerage passengers on
board the vessel.
§ 4.81
[Amended]
11. In § 4.81, amend paragraph (d) by
removing the phrase‘‘, or Customs and
Immigration Form I–418 with attached
Customs Form 5129,’’.
■ 12. In § 4.85 amend paragraph (c)(1)
by:
■ a. In the third sentence, removing the
words ‘‘a Passenger List, Customs and
Immigration Form I–418, in such
number of copies as may be required for
local Customs purposes, of any cargo or
passengers on board manifested for
discharge at that port,’’; and
■ b. Adding a sentence following the
third sentence.
The addition reads as follows:
■
§ 4.85 Vessels with residue cargo for
domestic ports.
*
*
*
*
*
(c) * * *
(1) * * * The master must also
update the data elements required on
CBP Form I–418 that were electronically
submitted via an electronic data
interchange system approved by CBP for
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any passengers on board that are
manifested for discharge at that port.
* * *
*
*
*
*
*
§ 4.91
[Amended]
13. In § 4.91 amend paragraph (c) by
removing, in the second sentence, the
words ‘‘Passenger List, Customs and
Immigration Form I–418’’ and adding in
their place ‘‘updated data elements
required on CBP Form I–418 that were
submitted electronically via an
electronic data interchange system
approved by CBP’’
■
Alejandro N. Mayorkas,
Secretary, U.S. Department of Homeland
Security.
[FR Doc. 2021–27571 Filed 12–27–21; 8:45 am]
BILLING CODE 9111–14–P
NUCLEAR REGULATORY
COMMISSION
10 CFR Parts 11, 25, and 95
[NRC–2020–0133]
RIN 3150–AK49
Access Authorization Fees
Nuclear Regulatory
Commission.
ACTION: Direct final rule.
AGENCY:
The U.S. Nuclear Regulatory
Commission (NRC) is amending its
regulations to update the access
authorization fees charged to NRC
licensees for work performed under the
Material Access Authorization Program
and the Information Access Authority
Program. The change in fees is due to an
increase in the review time for each
application for access authorization.
This amendment is prompted by a
recent audit of fees performed by an
external certified public accounting and
financial management services firm and
ensures that the NRC continues to
recover the full costs of processing
access authorization requests from NRC
licensees. The direct final rule also
makes two administrative changes to
revise definitions to include new
naming conventions for background
investigation case types and to specify
the electronic process for completing
security forms.
DATES: The final rule is effective March
14, 2022, unless significant adverse
comments are received by January 27,
2022. If the direct final rule is
withdrawn as a result of such
comments, timely notification of the
withdrawal will be published in the
Federal Register. Comments received
SUMMARY:
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after this date will be considered if it is
practical to do so, but the NRC is able
to ensure consideration only for
comments received on or before this
date. Comments received on this direct
final rule will also be considered to be
comments on a companion proposed
rule published in the Proposed Rules
section of this issue of the Federal
Register.
You may submit comments
by any of the following methods;
however, the NRC encourages electronic
comment submission through the
Federal rulemaking website:
• Federal rulemaking website: Go to
https://www.regulations.gov and search
for Docket ID NRC–2020–0133. Address
questions about NRC dockets to Dawn
Forder; telephone: 301–415–3407;
email: Dawn.Forder@nrc.gov. For
technical questions, contact the
individual listed in the FOR FURTHER
INFORMATION CONTACT section of this
document.
• Email comments to:
Rulemaking.Comments@nrc.gov. If you
do not receive an automatic email reply
confirming receipt, then contact us at
301–415–1677.
• Mail comments to: Secretary, U.S.
Nuclear Regulatory Commission,
Washington, DC 20555–0001, ATTN:
Rulemakings and Adjudications Staff.
For additional direction on obtaining
information and submitting comments,
see ‘‘Obtaining Information and
Submitting Comments’’ in the
SUPPLEMENTARY INFORMATION section of
this document.
ADDRESSES:
FOR FURTHER INFORMATION CONTACT:
Emily Robbins, Office of
Administration, telephone: 301–415–
7000, email: Emily.Robbins@nrc.gov or
Vanessa Cox, Office of Nuclear Material
Safety and Safeguards, telephone: 301–
415–8342, email: Vanessa.Cox@nrc.gov.
Both are staff of the U.S. Nuclear
Regulatory Commission, Washington DC
20555–0001.
SUPPLEMENTARY INFORMATION:
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Table of Contents
I. Obtaining Information and Submitting
Comments
II. Rulemaking Procedure
III. Background
IV. Discussion
V. Section-by-Section Analysis
VI. Regulatory Flexibility Certification
VII. Regulatory Analysis
VIII. Backfitting and Issue Finality
IX. Plain Writing
X. National Environmental Policy Act
XI. Paperwork Reduction Act Statement
XII. Congressional Review Act
XIII. Voluntary Consensus Standards
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I. Obtaining Information and
Submitting Comments
A. Obtaining Information
Please refer to Docket ID NRC–2020–
0133 when contacting the NRC about
the availability of information for this
action. You may obtain publicly
available information related to this
action by any of the following methods:
• Federal Rulemaking website: Go to
https://www.regulations.gov and search
for Docket ID NRC–2020–0133.
• NRC’s Agencywide Documents
Access and Management System
(ADAMS): You may obtain publicly
available documents online in the
ADAMS Public Documents collection at
https://www.nrc.gov/reading-rm/
adams.html. To begin the search, select
‘‘Begin Web-based ADAMS Search.’’ For
problems with ADAMS, please contact
the NRC’s Public Document Room (PDR)
reference staff at 1–800–397–4209, at
301–415–4737, or by email to
pdr.resource@nrc.gov. The ADAMS
accession number for each document
referenced (if it is available in ADAMS)
is provided the first time that it is
mentioned in this document.
• NRC’s PDR: You may examine and
purchase copies of public documents,
by appointment, at the NRC’s PDR,
Room P1 B35, One White Flint North,
11555 Rockville Pike, Rockville,
Maryland 20852. To make an
appointment to visit the PDR, please
send an email to PDR.Resource@nrc.gov
or call 1–800–397–4209 or 301–415–
4737, between 8:00 a.m. and 4:00 p.m.
(ET), Monday through Friday, except
Federal holidays.
B. Submitting Comments
The NRC encourages electronic
comment submission through the
Federal rulemaking website (https://
www.regulations.gov). Please include
Docket ID NRC–2020–0133 in your
comment submission.
The NRC cautions you not to include
identifying or contact information that
you do not want to be publicly
disclosed in your comment submission.
The NRC will post all comment
submissions at https://
www.regulations.gov as well as enter the
comment submissions into ADAMS.
The NRC does not routinely edit
comment submissions to remove
identifying or contact information.
If you are requesting or aggregating
comments from other persons for
submission to the NRC, then you should
inform those persons not to include
identifying or contact information that
they do not want to be publicly
disclosed in their comment submission.
Your request should state that the NRC
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does not routinely edit comment
submissions to remove such information
before making the comment
submissions available to the public or
entering the comment into ADAMS.
II. Rulemaking Procedure
Because the NRC considers this action
to be non-controversial, the NRC is
using the ‘‘direct final rule process’’ for
this rule. This amendment is effective
on March 14, 2022. However, if the NRC
receives significant adverse comments
on this direct final rule by January 27,
2022, then the NRC will publish a
document that withdraws this action
and will address the comments received
in a subsequent final rule as a response
to the companion proposed rule
published in the Proposed Rules section
of this issue of the Federal Register.
Absent significant modifications to the
proposed revisions requiring
republication, the NRC will not initiate
a second comment period on this action.
A significant adverse comment is a
comment where the commenter
explains why the rule would be
inappropriate, including challenges to
the rule’s underlying premise or
approach, or would be ineffective or
unacceptable without a change. A
comment is adverse and significant if it
meets the following criteria:
(1) The comment opposes the rule and
provides a reason sufficient to require a
substantive response in a notice-andcomment process. For example, a
substantive response is required under
the following circumstances:
(a) The comment causes the NRC to
reevaluate (or reconsider) its position or
conduct additional analysis;
(b) The comment raises an issue
serious enough to warrant a substantive
response to clarify or complete the
record; or
(c) The comment raises a relevant
issue that was not previously addressed
or considered by the NRC.
(2) The comment proposes a change
or an addition to the rule, and it is
apparent that the rule would be
ineffective or unacceptable without
incorporation of the change or addition.
(3) The comment causes the NRC to
make a change (other than editorial) to
the rule.
For detailed instructions on filing
comments, please see the ADDRESSES
section of this document.
III. Background
Certain individuals employed by NRC
licensees or their contractors require
access to special nuclear material
(plutonium, uranium-233, and uranium
enriched in the isotopes uranium-233 or
uranium-235), restricted data, or
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national security information. These
individuals obtain an access
authorization from the NRC. When a
licensee requests access authorization
for an employee or a contractor, the
NRC initiates an investigation of the
individual seeking access authorization.
Based on the results of that
investigation, the NRC determines
whether permitting that individual to
have access to special nuclear material,
restricted data, or national security
information would create a security risk.
The Defense Counterintelligence and
Security Agency (DCSA) conducts the
access authorization background
investigations for the NRC and sets the
rates charged for these investigations.
The combined cost of the DCSA
background investigation and any
related NRC processing activities (NRC
processing fee) is recovered from the
licensee through an access authorization
fee assessed by the NRC. It is the NRC’s
practice to publish the fee schedule for
special nuclear material access
authorization in § 11.15(e) of title 10 of
the Code of Federal Regulations (10
CFR) and the corresponding fee
schedule for restricted data and national
security information access
authorization in appendix A to 10 CFR
part 25. Both schedules are based on
rates charged by DCSA for conducting
the access authorization background
investigations (DCSA investigation
billing rates).
IV. Discussion
Updated Access Authorization Fees
This direct final rule amends 10 CFR
parts 11, 25, and 95, along with
appendix A to 10 CFR part 25. The NRC
is revising the processing fee charged to
licensees for work performed under the
Material Access Authorization Program
(MAAP) and the Information Access
Authority Program (IAAP) from 55.8
percent of the DCSA investigation
billing rates to 90.2 percent. A
September 2019 NRC audit of actual inhouse costs incurred in processing
licensee applications for access
authorization showed an increase in the
Current
DCSA investigation billing
rate for
standard T5
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$5,465
any given request is determined using
the following formula: The DCSA
investigation billing rates on the day the
NRC receives the application + the NRC
processing fee = the NRC material
access authorization fee. The provisions
in this direct final rule set the NRC
processing fee; the fee is determined by
multiplying the DCSA investigation
billing rate on the day the NRC receives
the application by 90.2 percent (i.e.,
DCSA rate × 90.2 percent).
Public Law 115–439, the Nuclear
Energy Innovation and Modernization
Act (42 U.S.C. 2215), requires the NRC
to recover through fees the full cost
incurred in providing a service or thing
of value. As noted previously, the DCSA
investigation billing rates are pulled
directly from the current DCSA fee
schedule for investigations. The tables
in revised § 11.15(e)(3) and appendix A
to 10 CFR part 25 cross-reference each
type of NRC access authorization
request to the appropriate investigation
service listed in the DCSA’s
investigation billing rates schedule. For
example, a licensee seeking a special
nuclear material ‘‘NRC–U’’ access
authorization requiring a Tier 5 (T5)
investigation is directed by the table in
§ 11.15(e)(3) to calculate the NRC
processing fee based on the DCSA
investigation billing rates for a
‘‘standard’’ T5 investigation. According
to the current DCSA investigation
billing rates schedule (FIN 20–04, ‘‘FY
2021 and FY 2022 Investigations
Reimbursable Billing Rates,’’ June 30,
2020), the DCSA charges $5,465 for a
‘‘standard’’ T5 investigation. The table
instructs the licensee to calculate the
NRC’s application processing fee by
multiplying $5,465 by 90.2 percent,
which equals $4,929.43. The licensee
then rounds the NRC’s processing fee to
the nearest dollar, or $4,929, and adds
that amount to the DCSA investigation
billing rate of $5,465 to determine the
total NRC access authorization fee:
$10,394.
The following table illustrates the
calculation process:
Plus NRC application processing fee
Equals total
NRC access
authorization
fee for NRC-U
application
DCSA rate NRC fee × 90.2% = (rounded to nearest $)
$5,465 × 90.2% = $ 4,929,43 (rounded to $4,929) ...................................................................................................
Licensees applying for restricted data
or national security information access
authorization follow a similar
procedure. The table in appendix A to
10 CFR part 25 cross-references each
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NRC’s review time for each application.
The audit also showed that the NRC was
not recovering its full-cost fees for the
time spent processing the increased
number of complex applications;
despite a 2016 biennial review
indicating increasing costs, the NRC had
not adjusted its fees since 2012.
In addition, all requests for
reciprocity will be charged a flat fee rate
of $95.00. Previously, the NRC did not
charge a fee for reciprocity requests
because certain applications from
individuals with current Federal access
authorizations were processed
expeditiously and at a reduced cost.
This flat fee will be aligned with the
level of effort that has recently been
expended by DCSA to process
reciprocity requests and accounts for
inflation as well as recovery of the
appropriate cost for conducting this
work. In cases where reciprocity is not
acceptable and it is necessary to perform
a background investigation, then the
NRC will charge the appropriate fee
based on the DCSA investigation billing
rate. This direct final rule continues to
allow licensees to calculate the NRC
access authorization fee for any given
application by referencing the current
DCSA investigation billing rates
schedule for background investigation
services. Reimbursable billing rates for
personnel background investigations are
published by DCSA in a Federal
Investigations Notice (FIN). The current
DCSA investigation billing rates are
published on the DCSA website and are
available at https://www.dcsa.mil/mc/
pv/gov_hr_security/billing_rates/. The
NRC’s licensees can also obtain the
current DCSA investigation billing rates
schedule by contacting the NRC’s
Personnel Security Branch, Division of
Facilities and Security, Office of
Administration by email at Licensee_
Access_Authorization_Fee.Resource@
nrc.gov.
The fee-calculation formula is
designed to recover the NRC’s actual inhouse processing costs for each
application received from a licensee.
The NRC’s access authorization fee for
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type of ‘‘Q’’ or ‘‘L’’ access authorization
to the corresponding DCSA
investigation type. The DCSA
investigation billing rate for the type of
investigation referenced is determined
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= $10,394
by consulting the current DCSA
investigation billing rates schedule. This
rate is then used in the formula to
calculate the correct NRC access
authorization fee for the type of
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application submitted. Copies of the
current NRC access authorization fees
can be obtained by contacting the NRC’s
Personnel Security Branch, Division of
Facilities and Security, Office of
Administration by email to Licensee_
Access_Authorization_Fee.Resource@
nrc.gov. 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
the DCSA’s most recently published
investigation billing rates schedule.
Administrative Changes
In Federal Investigations Notice
Number 16–07, dated September 26,
2016 (https://www.dcsa.mil/Portals/91/
Documents/pv/GovHRSec/FINs/FY16/
fin-16-07.pdf), the Office of Personnel
Management (OPM) implemented the
Federal Investigative Standards
according to the phased Federal
Investigative Standards Implementation
Plan issued by the Suitability and
Security Executive Agents. In
accordance with the plan, the Access
National Agency Check with Inquiries
was renamed to Tier 3 (T3) and the
National Agency Check with Law and
Credit was renamed to Tier 3
reinvestigation (T3R). The T3
investigation is required for positions
designated as non-critical sensitive and/
or requiring eligibility for ‘‘L’’ or ‘‘R’’
access or access to Confidential or
Secret information. The T3R is the
reinvestigation product for the same
positions. The Single Scope Background
Investigation was renamed to Tier 5 (T5)
and the Single Scope Background
Investigation-Periodic Reinvestigation
was renamed to Tier 5R (T5R). The T5
investigation is required for positions
designated as critical sensitive, special
sensitive, and/or requiring eligibility for
‘‘Q’’ or ‘‘U’’ access or access to Top
Secret or Sensitive Compartmented
Information. The T5R is the
reinvestigation product required for the
same positions. This direct final rule
revises the definitions in 10 CFR parts
11, 25, and 95 to include the new
naming conventions for background
investigations case types. The
definitions for the NRC ‘‘R’’ and NRC
‘‘U’’ special nuclear material access
authorizations include the renamed
investigation types Tier 3 and Tier 5,
respectively. Also, the definitions for
NRC ‘‘L’’ and NRC ‘‘Q’’ access
authorizations include the renamed
investigation types Tier 3 and Tier 5,
respectively.
In 2005, the OPM implemented the
Electronic Questionnaires for
Investigative Processing (e-QIP) system,
which allows applicants to
electronically enter, update, and release
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their personal investigative data over a
secure internet connection to an
employing agency for review and
approval. The e-QIP system is a webbased automated system that facilitates
the processing of standard investigative
forms used when conducting
background investigations for Federal
security, suitability, fitness, and
credentialing purposes. The NRC allows
applicants to complete their security
form, the Questionnaire for National
Security Positions, Standard Form 86
(SF–86), electronically through the (eQIP) system to minimize errors and
expedite processing. This direct final
rule updates 10 CFR parts 11 and 25 to
clarify that the NRC uses the e-QIP
system for applicants to provide their
personal investigative data.
V. Section-by-Section Analysis
The following paragraphs describe the
specific changes in this direct final rule.
Section 11.7
Definitions
This direct final rule revises the
definitions in § 11.7 for NRC-‘‘R’’
special nuclear material access
authorization and NRC-‘‘U’’ special
nuclear material access authorization to
include the new naming conventions for
background investigations case types.
Section 11.8 Information Collection
Requirements: OMB Approval
This direct final rule revises § 11.8 to
add a new paragraph (c) to clarify that
the information collections for the
electronic form ‘‘Electronic
Questionnaire for Investigations
Processing (e-QIP), Questionnaire for
National Positions—Standard Form 86
(SF–86)’’ are approved under OMB
control number 3206–0005.
Section 11.15 Application for Special
Nuclear Material Access Authorization
This direct final rule revises
paragraphs (b)(1) and (c)(1)(ii) to specify
the electronic form of the SF–86.
This direct final rule revises
paragraph (e)(1) to revise the NRC
processing fee charged to licensees for
work performed under the MAAP from
55.8 percent of the DCSA investigation
billing rates to 90.2 percent.
This direct final rule revises
paragraph (e)(3) to (1) change the NRC
processing fee charged to licensees for
work performed under the MAAP from
55.8 percent of the DCSA investigation
billing rates to 90.2 percent, (2) indicate
that MAAP requests for reciprocity will
be charged at a flat fee rate of $95.00,
and (3) include the new naming
conventions for background
investigations case types.
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This direct final rule revises
paragraph (e)(4) to clarify that certain
applications from individuals with
current Federal access authorizations
may be processed expeditiously and at
a reduced cost.
This direct final rule revises
paragraph (f)(1) to include the new
naming conventions for background
investigations case types.
Section 11.16 Cancellation of Request
for Special Nuclear Material Access
Authorization
This direct final rule revises § 11.16 to
include the new naming conventions for
background investigations case types.
Section 25.5
Definitions
This direct final rule revises the
definitions for ‘‘L’’ access authorization
and ‘‘Q’’ access authorization to include
the new naming conventions for
background investigations case types.
Section 25.8 Information Collection
Requirements: OMB Approval
This direct final rule revises
§ 25.8(c)(2) to clarify that the
information collections for the
electronic form ‘‘Electronic
Questionnaire for Investigations
Processing (e-QIP), Questionnaire for
National Positions—Standard Form 86
(SF–86)’’ are approved under OMB
control number 3206–0005.
Section 25.17 Approval for Processing
Applicants for Access Authorization
This direct final rule revises
paragraph (d)(1)(i) to specify the
electronic form of the SF–86.
This direct final rule revises
paragraph (f)(1) to change the NRC
processing fee charged to licensees for
work performed under the IAAP from
55.8 percent of the DCSA investigation
billing rates to 90.2 percent.
This direct final rule revises
paragraph (f)(3) to indicate that IAAP
requests for reciprocity will be charged
a flat fee rate of $95.00.
Appendix A to 10 CFR Part 25—Fees for
NRC Access Authorization
This direct final rule revises the table
in appendix A to 10 CFR part 25 to
include the new naming conventions for
background investigations case types.
Section 95.5
Definitions
This direct final rule revises the
definitions for NRC ‘‘L’’ access
authorization and NRC ‘‘Q’’ access
authorization to include the new
naming conventions for background
investigations case types.
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VI. Regulatory Flexibility Certification
Under the Regulatory Flexibility Act
(5 U.S.C. 605(b)), the Commission
certifies that this direct final rule
amending 10 CFR parts 11, 25, and 95
does not have a significant economic
impact on a substantial number of small
entities. This direct final rule applies to
those licensees who use, process, store,
transport, or deliver to a carrier for
transport, formula quantities of special
nuclear material (as defined in 10 CFR
part 73) or generate, receive, safeguard,
and store National Security Information
or Restricted Data (as defined in 10 CFR
part 95). Two licensees, both fuel cycle
facilities, are currently required to
comply with 10 CFR part 11. Seventyeight licensees and other organizations,
mostly power reactors and fuel cycle
facilities, are currently required to
comply with 10 CFR part 25. None of
these licensees are ‘‘small entities’’ as
defined in the Regulatory Flexibility Act
or the size standards established by the
NRC (§ 2.810). This direct final rule also
applies to contractors of those licensees
required to comply with this direct final
rule who use, process, store, transport,
or deliver to a carrier for transport,
formula quantities of special nuclear
material (as defined in 10 CFR part 73)
or generate, receive, safeguard, and store
National Security Information or
Restricted Data (as defined in 10 CFR
part 95). Some of these contractors may
be ‘‘small entities’’ as defined in the
Regulatory Flexibility Act or the NRC’s
size standards. However, some of these
contractors are reimbursed through the
contract for the cost of securing access
authorization. There are not a
substantial number of unreimbursed
‘‘small entity’’ contractors who apply for
access authorization, nor is the NRC
aware of any significant impact on these
unreimbursed ‘‘small entity’’
contractors.
VII. Regulatory Analysis
A regulatory analysis has not been
prepared for this direct final rule. This
direct final rule ensures that the NRC
recovers the full cost of application
processing from licensees submitting
access authorization requests, as is
required by statute (42 U.S.C. 2214(b)).
The formula method for calculating
these fees continues to provide an
efficient and effective mechanism for
updating the NRC access authorization
fees in response to changes in the
underlying DCSA investigation billing
rates schedule for required personnel
background investigations. The Nuclear
Energy Innovation and Modernization
Act (42 U.S.C. 2215) requires the NRC
to recover through fees the full cost
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incurred in providing a service or thing
of value. These amendments will
neither impose new safety requirements
nor relax existing ones and, therefore,
do not call for the sort of safety/cost
analysis described in the NRC’s
regulatory analysis guidelines in
NUREG/BR–0058, Revision 4,
‘‘Regulatory Analysis Guidelines of the
U.S. Nuclear Regulatory Commission,’’
dated September 2004 (ADAMS
Accession No. ML042820192).
VIII. Backfitting and Issue Finality
The NRC has determined that the
backfit rule does not apply to this direct
final rule and that a backfit analysis is
not required. Collection of fees to
recover the NRC’s costs is required by
statute (42 U.S.C. 2214(b)). Therefore,
changes to rules designating the amount
to be collected are not subject to the
backfitting provisions or issue finality
provisions in 10 CFR chapter I.
IX. Plain Writing
The Plain Writing Act of 2010 (Pub.
L. 111–274) requires Federal agencies to
write documents in a clear, concise, and
well-organized manner. The NRC has
written this document to be consistent
with the Plain Writing Act as well as the
Presidential Memorandum, ‘‘Plain
Language in Government Writing,’’
published June 10, 1998 (63 FR 31885).
X. National Environmental Policy Act
The NRC has determined that this
final rule is the type of action described
in 10 CFR 51.22(c)(1), which is
categorically excluded from
environmental review. Therefore,
neither an environmental impact
statement nor environmental assessment
has been prepared for this final rule.
XI. Paperwork Reduction Act
Statement
This direct final rule does not contain
new or amended information collection
requirements subject to the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501
et seq.). Existing requirements were
approved by the Office of Management
and Budget (OMB), Approval Numbers
3150–0046 and 3150–0062.
Public Protection Notification
The NRC may not conduct or sponsor,
and a person is not required to respond
to, a request for information or an
information collection requirement
unless the requesting document
displays a currently valid OMB control
number.
73635
the NRC has determined that this action
is not a major rule and has verified this
determination with the Office of
Information and Regulatory Affairs of
the Office of Management and Budget.
XIII. Voluntary Consensus Standards
The National Technology Transfer
and Advancement Act of 1995, Public
Law 104–113, requires that Federal
agencies use technical standards that are
developed or adopted by voluntary
consensus standards bodies unless the
use of such a standard is inconsistent
with applicable law or is otherwise
impractical. In this direct final rule, the
NRC will revise the formula for
calculating the NRC’s access
authorization fee charged to licensees
for work performed under MAAP and
IAAP from 55.8 percent of the DCSA
investigation billing rate for an
investigation of a given type to 90.2
percent. In addition, MAAP requests for
reciprocity will be charged a flat fee rate
of $95.00. This action does not
constitute the establishment of a
standard that contains generally
applicable requirements.
List of Subjects
10 CFR Part 11
Hazardous materials transportation,
Investigations, Nuclear energy, Nuclear
materials, Penalties, Reporting and
recordkeeping requirements, Security
measures, Special nuclear material.
10 CFR Part 25
Classified information, Criminal
penalties, Investigations, Penalties,
Reporting and recordkeeping
requirements, Security measures.
10 CFR Part 95
Classified information, Criminal
penalties, Penalties, Reporting and
recordkeeping requirements, Security
measures.
For the reasons set forth 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. 552 and 553,
the NRC is adopting the following
amendments to 10 CFR parts 11, 25, and
95:
PART 11—CRITERIA AND
PROCEDURES FOR DETERMINING
ELIGIBILITY FOR ACCESS TO OR
CONTROL OVER SPECIAL NUCLEAR
MATERIAL
XII. Congressional Review Act
1. The authority citation for part 11
continues to read as follows:
In accordance with the Congressional
Review Act of 1996 (5 U.S.C. 801–808),
Authority: Atomic Energy Act of 1954,
secs. 161, 223 (42 U.S.C. 2201, 2273); Energy
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■
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Reorganization Act of 1974, sec. 201 (42
U.S.C. 5841); 44 U.S.C. 3504 note.
Section 11.15(e) also issued under 31
U.S.C. 9701; 42 U.S.C. 2214.
2. In § 11.7, revise the definitions for
NRC-‘‘R’’ special nuclear material
access authorization and NRC-‘‘U’’
special nuclear material access
authorization to read as follows:
■
§ 11.7
Definitions.
*
*
*
*
*
NRC-‘‘R’’ special nuclear material
access authorization means an
administrative determination based
upon a Tier 3 background investigation
that an individual in the course of
employment is eligible to work at a job
falling within the criterion of
§ 11.11(a)(2).
NRC-‘‘U’’ special nuclear material
access authorization means an
administrative determination based
upon a Tier 5 background investigation
that an individual in the course of
employment is eligible to work at a job
falling within the criterion of
§ 11.11(a)(1) or § 11.13.
*
*
*
*
*
■ 3. § In 11.8, add paragraph (c) to read
as follows:
§ 11.8 Information collection
requirements: OMB approval.
*
*
*
*
*
(c) In § 11.15, the SF–86, ‘‘Electronic
Questionnaire for Investigations
Processing (e-QIP), Questionnaire for
National Positions—Standard Form 86,’’
is approved under control number
3206–0005.
■ 4. In § 11.15, revise paragraphs (b)(1),
(c)(1)(ii), (e)(1), (3), and (4), and (f)(1) to
read as follows:
§ 11.15 Application for special nuclear
material access authorization.
*
*
*
*
(b) * * *
(1) Electronic Questionnaire for
Investigations Processing (e-QIP),
Questionnaire for National Security
Positions—Standard Form 86 (SF–86);
*
*
*
*
*
(c)(1) * * *
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*
(ii) The Electronic Questionnaire for
Investigations Processing (e-QIP),
Questionnaire for National Security
Positions—Standard Form 86 (SF–86);
*
*
*
*
*
(e) * * *
(1) Each application for a special
nuclear material access authorization,
renewal, or change in level must be
accompanied by a remittance, payable
to the U.S. Nuclear Regulatory
Commission, which is equal to the NRC
material access authorization fee. This
fee must be determined using the
following formula: The DCSA
investigation billing rates on the day of
NRC receipt of the application + the
NRC processing fee = the NRC material
access authorization fee. The NRC
processing fee is determined by
multiplying the DCSA investigation
billing rate on the day of NRC receipt of
the application by 90.2 percent (i.e.,
DCSA rate × 90.2 percent).
*
*
*
*
*
(3) The NRC’s Material Access
Authorization Program (MAAP) is
considered reimbursable work
representing services provided to an
organization for which the NRC is
entitled payment. The NRC is
authorized to receive and retain fees
from licensees for services performed.
The NRC’s Office of the Chief Financial
Officer periodically reviews the fees
charged for MAAP and makes
recommendations on revising those
charges to reflect costs incurred by the
NRC in providing those services. The
reviews are performed using cost
analysis techniques to determine the
direct and indirect costs. Based on this
review, all MAAP requests for
reciprocity will be charged a flat fee rate
of $95.00 as referenced in paragraph
(e)(4)(i) of this section. This flat fee
would be aligned with the level of effort
that has recently been expended by
DCSA to process reciprocity requests,
and accounts for inflation as well as
recovery of the appropriate cost for
conducting this work. Copies of the
current NRC material access
authorization fee may be obtained by
contacting the NRC’s Personnel Security
Branch, Division of Facilities and
Security, Office of Administration by
email to: Licensee_Access_
Authorization_Fee.Resource@nrc.gov.
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
the DCSA’s most recently published
investigation billing rates schedule.
(4) Certain applications from
individuals having current Federal
access authorizations may be processed
expeditiously and at a reduced cost
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.
(i) Applications for reciprocity will be
processed at the NRC flat fee rate of $95
per request as referenced in the
following table:
The NRC application fee for
an access authorization of
type . . .
(A) NRC–R based on certification of comparable investigation 1 .......................
(B) NRC–U based on certification of comparable investigation 2 .......................
(ii) Applicants shall, in cases where
reciprocity is not acceptable and it is
necessary to perform a background
investigation, be charged the
appropriate fee as referenced in the
following table. Applicants shall
calculate the access authorization fee
according to the stated formula (i.e.,
DCSA rate × 90.2 percent).
(A) NRC–R initial 1 ..........................................................
(B) NRC–R renewal 1 ......................................................
(C) NRC–U initial ............................................................
(D) NRC–U initial (expedited processing) ......................
(E) NRC–U renewal 1 ......................................................
Tier
Tier
Tier
Tier
Tier
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(T3) (Standard Service) .......................................
Reinvestigation (T3R) (Standard Service) ...........
(T5) (Standard Service) .......................................
(T5) (Priority Handling) ........................................
Reinvestigation (T5R) (Standard Service) ...........
Fmt 4700
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95
the NRC determines, based on its review
of available data, that a Tier 3 investigation is
necessary, the appropriate NRC–R fee will be
assessed as shown in paragraph (e)(4)(ii) of
this section before the conduct of the investigation.
2 If the NRC determines, based on its review
of available data, that a Tier 5 investigation is
necessary, the appropriate NRC–U fee will be
assessed as shown in paragraph (e)(4)(ii) of
this section before the conduct of the
investigation.
Is the sum of the current DCSA investigation billing
rate charged for an investigation of type . . .
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$95
1 If
The NRC application fee for an access authorization of
type . . .
3
3
5
5
5
NRC fee rate
E:\FR\FM\28DER1.SGM
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Plus the NRC’s processing
fee (rounded to the nearest
dollar), which is equal to the
DCSA investigation billing
rate for the type of investigation referenced multiplied by
. . .
(%)
90.2
90.2
90.2
90.2
90.2
Federal Register / Vol. 86, No. 246 / Tuesday, December 28, 2021 / Rules and Regulations
The NRC application fee for an access authorization of
type . . .
Is the sum of the current DCSA investigation billing
rate charged for an investigation of type . . .
(F) NRC–U renewal 1 (expedited processing) ................
Tier 5 Reinvestigation (T5R) (Priority Handling) ............
73637
Plus the NRC’s processing
fee (rounded to the nearest
dollar), which is equal to the
DCSA investigation billing
rate for the type of investigation referenced multiplied by
. . .
(%)
90.2
1 If
the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the appropriate NRC–U fee will be assessed before the conduct of the investigation.
(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 T5 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.
*
*
*
*
*
§ 11.16
[Amended]
5. In § 11.16, fourth sentence:
a. Remove the designation ‘‘ ‘‘U’’ ’’ and
add in its place the designation ‘‘ ‘‘U’’ or
‘‘R’’ ’’; and
■ b. Remove the designation ‘‘single
scope’’ and add in its place the
designation ‘‘Tier 5’’.
■
■
PART 25—ACCESS AUTHORIZATION
Authority: Atomic Energy Act of 1954,
secs. 145, 161, 223, 234 (42 U.S.C. 2165,
2201, 2273, 2282); Energy Reorganization Act
of 1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C.
3504 note; E.O. 10865, 25 FR 1583, as
amended, 3 CFR, 1959–1963 Comp., p. 398;
E.O. 12829, 58 FR 3479, 3 CFR, 1993 Comp.,
p. 570; E.O. 13526, 75 FR 707, 3 CFR, 2009
Comp., p. 298; E.O. 12968, 60 FR 40245, 3
CFR, 1995 Comp., p. 391.
Section 25.17(f) and Appendix A also
issued under 31 U.S.C. 9701; 42 U.S.C. 2214.
7. In § 25.5, revise the definitions for
‘‘L’’ access authorization and ‘‘Q’’
access authorization to read as follows:
■
Definitions.
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*
*
*
*
*
‘‘L’’ access authorization means an
access authorization granted by the
Commission that is normally based on
a Tier 3 (T3) investigation conducted by
the Defense Counterintelligence and
Security Agency (DCSA).
*
*
*
*
*
‘‘Q’’ access authorization means an
access authorization granted by the
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20:57 Dec 27, 2021
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§ 25.8 Information collection
requirements: OMB approval.
*
*
*
*
*
(c) * * *
(2) In §§ 25.17(c), 25.21(c), 25.27(b),
25.29, and 25.31, the ‘‘Electronic
Questionnaire for Investigations
Processing (e-QIP), Questionnaire for
National Positions—Standard Form 86
(SF–86)’’ is approved under control
number 3206–0005.
*
*
*
*
*
■ 9. In § 25.17, revise paragraphs
(d)(1)(i) and (f)(1), (3), and (4) to read as
follows:
§ 25.17 Approval for processing applicants
for access authorization.
6. The authority citation for part 25
continues to read as follows:
■
§ 25.5
Commission normally based on a Tier 5
(T5) investigation conducted by the
Defense Counterintelligence and
Security Agency, the Federal Bureau of
Investigation, or other U.S. Government
agency that conducts personnel security
investigations.
*
*
*
*
*
■ 8. In § 25.8, revise paragraph (c)(2) to
read as follows:
*
*
*
*
*
(d)(1) * * *
(i) Electronic Questionnaire for
Investigations Processing (e-QIP),
Questionnaire for National Security
Positions—Standard Form 86 (SF–86).
*
*
*
*
*
(f) * * *
(1) Each application for access
authorization, renewal, or change in
level must be accompanied by a
remittance, payable to the U.S. Nuclear
Regulatory Commission, which is equal
to the NRC access authorization fee.
This fee must be determined using the
following formula: The DCSA
investigation billing rates on the day the
NRC receives the application + the NRC
processing fee = the NRC access
authorization fee. The NRC processing
fee is determined by multiplying the
DCSA investigation billing rate on the
day the NRC receives the application by
90.2 percent (i.e., DCSA rate × 90.2
percent).
*
*
*
*
*
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(3) The NRC’s Information Access
Authority Program (IAAP) is considered
reimbursable work representing services
provided to an organization for which
the NRC is entitled payment. The NRC
is authorized to receive and retain fees
from licensees for services performed.
The NRC’s Office of the Chief Financial
Officer periodically reviews the fees
charged for IAAP and makes
recommendations on revising those
charges to reflect costs incurred by the
NRC in providing those services. The
reviews are performed using cost
analysis techniques to determine the
direct and indirect costs. Based on this
review, the IAAP fees are adjusted to
reflect the current cost for the program.
IAAP requests for reciprocity will be
charged a flat fee rate of $95.00 as
referenced in paragraph (f)(4) of this
section. This flat fee is aligned with the
level of effort that has been expended by
DCSA to process reciprocity requests,
and accounts for inflation as well as
recovery of the appropriate cost for
conducting the investigations. Copies of
the current NRC access authorization fee
may be obtained by contacting the
NRC’s Personnel Security Branch,
Division of Facilities and Security,
Office of Administration by email at:
Licensee_Access_Authorization_
Fee.Resource@nrc.gov. Any change in
the NRC’s access authorization fee will
be applicable to each access
authorization request received on or
after the effective date of the DCSA’s
most recently published investigation
billing rates schedule.
(4) Certain applications from
individuals having current Federal
access authorizations may be processed
more expeditiously and at less cost
because the Commission, at its
discretion, may decide to accept the
certification of access authorization and
investigative data from other Federal
Government agencies that grant
personnel access authorizations.
(i) Applications for reciprocity will be
processed at the NRC flat fee rate of $95
per request, as referenced in the
following table:
E:\FR\FM\28DER1.SGM
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73638
Federal Register / Vol. 86, No. 246 / Tuesday, December 28, 2021 / Rules and Regulations
The NRC application fee for an access authorization of type . . .
NRC fee rate
(A) NRC–L based on certification of comparable investigation 1 ........................................................................................................
(B) NRC–Q based on certification of comparable investigation 2 .......................................................................................................
$95
95
1 If the NRC determines, based on its review of available data, that a Tier 3 investigation is necessary, the appropriate NRC–L fee will be assessed as shown in appendix A to this part before the conduct of the investigation.
2 If the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the appropriate NRC–Q fee will be assessed as shown in appendix A to this part before the conduct of the investigation.
(ii) Applicants shall, in cases where
reciprocity is not acceptable and it is
necessary to perform a background
investigation, be charged the
appropriate fee referenced in appendix
A to this part. Applicants shall calculate
the access authorization fee according to
the stated formula (i.e., DCSA rate × 90.2
percent).
10. Revise appendix A to part 25 to
read as follows:
■
Appendix A to Part 25—Fees for NRC
Access Authorization
The NRC application fee for an access authorization of
type . . .
Is the sum of the current DCSA investigation billing
rate charged for an investigation of type . . .
Plus the NRC’s processing
fee (rounded to the nearest
dollar), which is equal to the
investigation billing rate for
the type of investigation referenced multiplied by . . .
(%)
Initial ‘‘L’’ access authorization 1 .....................................
Reinstatement of ‘‘L’’ access authorization 2 ..................
Renewal of ‘‘L’’ access authorization 1 ...........................
Initial ‘‘Q’’ access authorization ......................................
Initial ‘‘Q’’ access authorization (expedited processing)
Reinstatement of ‘‘Q’’ access authorization 2 .................
Renewal of ‘‘Q’’ access authorization1 ...........................
Renewal of ‘‘Q’’ access authorization 1 ..........................
Tier 3 (T3) (Standard Service) .......................................
No fee assessed for most applications ..........................
Tier 3 Reinvestigation (T3R) (Standard Service) ...........
Tier 5 (T5) (Standard Service) .......................................
T5 (Priority Handling) .....................................................
No fee assessed for most applications ..........................
Tier 5 Reinvestigation (T5R) (Standard Service) ...........
Tier 5 Reinvestigation (T5R) (Priority Handling) ............
90.2
................................................
90.2
90.2
90.2
................................................
90.2
90.2
1 If the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the appropriate fee for an Initial ‘‘Q’’ access authorization will be assessed before the conduct of investigation.
2 Full fee will only be charged if an investigation is required.
(T5) investigation conducted by the
Defense Counterintelligence and
Security Agency, the Federal Bureau of
Investigation, or other U.S. Government
agency that conducts personnel security
investigations.
*
*
*
*
*
PART 95—FACILITY SECURITY
CLEARANCE AND SAFEGUARDING
OF NATIONAL SECURITY
INFORMATION AND RESTRICTED
DATA
11. The authority citation for part 95
continues to read as follows:
■
Authority: Atomic Energy Act of 1954,
secs. 145, 161, 223, 234 (42 U.S.C. 2165,
2201, 2273, 2282); Energy Reorganization Act
of 1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C.
3504 note; E.O. 10865, as amended, 25 FR
1583, 3 CFR, 1959–1963 Comp., p. 398; E.O.
12829, 58 FR 3479, 3 CFR, 1993 Comp., p.
570; E.O. 12968, 60 FR 40245, 3 CFR, 1995
Comp., p. 391; E.O. 13526, 75 FR 707, 3 CFR,
2009 Comp., p. 298.
12. In § 95.5, revise the definitions for
NRC ‘‘L’’ access authorization and NRC
‘‘Q’’ access authorization to read as
follows:
■
§ 95.5
Definitions.
khammond on DSKJM1Z7X2PROD with RULES
*
*
*
*
*
NRC ‘‘L’’ access authorization means
an access authorization granted by the
Commission that is normally based on
a Tier 3 (T3) investigation or a Tier 3
reinvestigation (T3R) conducted by the
Defense Counterintelligence and
Security Agency.
NRC ‘‘Q’’ access authorization means
an access authorization granted by the
Commission normally based on a Tier 5
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20:57 Dec 27, 2021
Jkt 256001
Dated: December 21, 2021.
For the Nuclear Regulatory Commission.
Daniel H. Dorman,
Executive Director for Operations.
[FR Doc. 2021–28116 Filed 12–27–21; 8:45 am]
Matching Payment Account Act. The
civil monetary penalties being adjusted
are those negotiated by the Commission
or imposed by a court for certain
statutory violations, and those imposed
by the Commission for late filing of or
failure to file certain reports required by
the Federal Election Campaign Act. The
adjusted civil monetary penalties are
calculated according to a statutory
formula and the adjusted amounts will
apply to penalties assessed after the
effective date of these rules.
BILLING CODE 7590–01–P
DATES:
FEDERAL ELECTION COMMISSION
FOR FURTHER INFORMATION CONTACT:
The final rules are effective on
December 28, 2021.
11 CFR Part 111
[Notice 2021–20]
Civil Monetary Penalties Annual
Inflation Adjustments
Federal Election Commission.
ACTION: Final rule.
AGENCY:
As required by the Federal
Civil Penalties Inflation Adjustment Act
of 1990, the Federal Election
Commission is adjusting for inflation
the civil monetary penalties established
under the Federal Election Campaign
Act, the Presidential Election Campaign
Fund Act, and the Presidential Primary
SUMMARY:
PO 00000
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Mr.
Robert M. Knop, Assistant General
Counsel, Mr. Joseph P. Wenzinger,
Attorney, or Ms. Terrell D. Stansbury,
Paralegal, Office of General Counsel,
(202) 694–1650 or (800) 424–9530.
The
Federal Civil Penalties Inflation
Adjustment Act of 1990 (the ‘‘Inflation
Adjustment Act’’),1 as amended by the
Federal Civil Penalties Inflation
Adjustment Act Improvements Act of
SUPPLEMENTARY INFORMATION:
1 Public Law 101–410, 104 Stat. 890 (codified at
28 U.S.C. 2461 note), amended by Debt Collection
Improvement Act of 1996, Public Law 104–134,
31001(s)(1), 110 Stat. 1321, 1321–373; Federal
Reports Elimination Act of 1998, Public Law 105–
362, 1301, 112 Stat. 3280.
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]]>Agencies
[Federal Register Volume 86, Number 246 (Tuesday, December 28, 2021)]
[Rules and Regulations]
[Pages 73631-73638]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-28116]
-----------------------------------------------------------------------
NUCLEAR REGULATORY COMMISSION
10 CFR Parts 11, 25, and 95
[NRC-2020-0133]
RIN 3150-AK49
Access Authorization Fees
AGENCY: Nuclear Regulatory Commission.
ACTION: Direct final rule.
-----------------------------------------------------------------------
SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is amending its
regulations to update the access authorization fees charged to NRC
licensees for work performed under the Material Access Authorization
Program and the Information Access Authority Program. The change in
fees is due to an increase in the review time for each application for
access authorization. This amendment is prompted by a recent audit of
fees performed by an external certified public accounting and financial
management services firm and ensures that the NRC continues to recover
the full costs of processing access authorization requests from NRC
licensees. The direct final rule also makes two administrative changes
to revise definitions to include new naming conventions for background
investigation case types and to specify the electronic process for
completing security forms.
DATES: The final rule is effective March 14, 2022, unless significant
adverse comments are received by January 27, 2022. If the direct final
rule is withdrawn as a result of such comments, timely notification of
the withdrawal will be published in the Federal Register. Comments
received
[[Page 73632]]
after this date will be considered if it is practical to do so, but the
NRC is able to ensure consideration only for comments received on or
before this date. Comments received on this direct final rule will also
be considered to be comments on a companion proposed rule published in
the Proposed Rules section of this issue of the Federal Register.
ADDRESSES: You may submit comments by any of the following methods;
however, the NRC encourages electronic comment submission through the
Federal rulemaking website:
Federal rulemaking website: Go to https://www.regulations.gov and search for Docket ID NRC-2020-0133. Address
questions about NRC dockets to Dawn Forder; telephone: 301-415-3407;
email: [email protected]. For technical questions, contact the
individual listed in the FOR FURTHER INFORMATION CONTACT section of
this document.
Email comments to: [email protected]. If you do
not receive an automatic email reply confirming receipt, then contact
us at 301-415-1677.
Mail comments to: Secretary, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, ATTN: Rulemakings and
Adjudications Staff.
For additional direction on obtaining information and submitting
comments, see ``Obtaining Information and Submitting Comments'' in the
SUPPLEMENTARY INFORMATION section of this document.
FOR FURTHER INFORMATION CONTACT: Emily Robbins, Office of
Administration, telephone: 301-415-7000, email: [email protected]
or Vanessa Cox, Office of Nuclear Material Safety and Safeguards,
telephone: 301-415-8342, email: [email protected]. Both are staff of
the U.S. Nuclear Regulatory Commission, Washington DC 20555-0001.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Obtaining Information and Submitting Comments
II. Rulemaking Procedure
III. Background
IV. Discussion
V. Section-by-Section Analysis
VI. Regulatory Flexibility Certification
VII. Regulatory Analysis
VIII. Backfitting and Issue Finality
IX. Plain Writing
X. National Environmental Policy Act
XI. Paperwork Reduction Act Statement
XII. Congressional Review Act
XIII. Voluntary Consensus Standards
I. Obtaining Information and Submitting Comments
A. Obtaining Information
Please refer to Docket ID NRC-2020-0133 when contacting the NRC
about the availability of information for this action. You may obtain
publicly available information related to this action by any of the
following methods:
Federal Rulemaking website: Go to https://www.regulations.gov and search for Docket ID NRC-2020-0133.
NRC's Agencywide Documents Access and Management System
(ADAMS): You may obtain publicly available documents online in the
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``Begin Web-based ADAMS
Search.'' For problems with ADAMS, please contact the NRC's Public
Document Room (PDR) reference staff at 1-800-397-4209, at 301-415-4737,
or by email to [email protected]. The ADAMS accession number for
each document referenced (if it is available in ADAMS) is provided the
first time that it is mentioned in this document.
NRC's PDR: You may examine and purchase copies of public
documents, by appointment, at the NRC's PDR, Room P1 B35, One White
Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. To make
an appointment to visit the PDR, please send an email to
[email protected] or call 1-800-397-4209 or 301-415-4737, between
8:00 a.m. and 4:00 p.m. (ET), Monday through Friday, except Federal
holidays.
B. Submitting Comments
The NRC encourages electronic comment submission through the
Federal rulemaking website (https://www.regulations.gov). Please
include Docket ID NRC-2020-0133 in your comment submission.
The NRC cautions you not to include identifying or contact
information that you do not want to be publicly disclosed in your
comment submission. The NRC will post all comment submissions at
https://www.regulations.gov as well as enter the comment submissions
into ADAMS. The NRC does not routinely edit comment submissions to
remove identifying or contact information.
If you are requesting or aggregating comments from other persons
for submission to the NRC, then you should inform those persons not to
include identifying or contact information that they do not want to be
publicly disclosed in their comment submission. Your request should
state that the NRC does not routinely edit comment submissions to
remove such information before making the comment submissions available
to the public or entering the comment into ADAMS.
II. Rulemaking Procedure
Because the NRC considers this action to be non-controversial, the
NRC is using the ``direct final rule process'' for this rule. This
amendment is effective on March 14, 2022. However, if the NRC receives
significant adverse comments on this direct final rule by January 27,
2022, then the NRC will publish a document that withdraws this action
and will address the comments received in a subsequent final rule as a
response to the companion proposed rule published in the Proposed Rules
section of this issue of the Federal Register. Absent significant
modifications to the proposed revisions requiring republication, the
NRC will not initiate a second comment period on this action.
A significant adverse comment is a comment where the commenter
explains why the rule would be inappropriate, including challenges to
the rule's underlying premise or approach, or would be ineffective or
unacceptable without a change. A comment is adverse and significant if
it meets the following criteria:
(1) The comment opposes the rule and provides a reason sufficient
to require a substantive response in a notice-and-comment process. For
example, a substantive response is required under the following
circumstances:
(a) The comment causes the NRC to reevaluate (or reconsider) its
position or conduct additional analysis;
(b) The comment raises an issue serious enough to warrant a
substantive response to clarify or complete the record; or
(c) The comment raises a relevant issue that was not previously
addressed or considered by the NRC.
(2) The comment proposes a change or an addition to the rule, and
it is apparent that the rule would be ineffective or unacceptable
without incorporation of the change or addition.
(3) The comment causes the NRC to make a change (other than
editorial) to the rule.
For detailed instructions on filing comments, please see the
ADDRESSES section of this document.
III. Background
Certain individuals employed by NRC licensees or their contractors
require access to special nuclear material (plutonium, uranium-233, and
uranium enriched in the isotopes uranium-233 or uranium-235),
restricted data, or
[[Page 73633]]
national security information. These individuals obtain an access
authorization from the NRC. When a licensee requests access
authorization for an employee or a contractor, the NRC initiates an
investigation of the individual seeking access authorization. Based on
the results of that investigation, the NRC determines whether
permitting that individual to have access to special nuclear material,
restricted data, or national security information would create a
security risk.
The Defense Counterintelligence and Security Agency (DCSA) conducts
the access authorization background investigations for the NRC and sets
the rates charged for these investigations. The combined cost of the
DCSA background investigation and any related NRC processing activities
(NRC processing fee) is recovered from the licensee through an access
authorization fee assessed by the NRC. It is the NRC's practice to
publish the fee schedule for special nuclear material access
authorization in Sec. 11.15(e) of title 10 of the Code of Federal
Regulations (10 CFR) and the corresponding fee schedule for restricted
data and national security information access authorization in appendix
A to 10 CFR part 25. Both schedules are based on rates charged by DCSA
for conducting the access authorization background investigations (DCSA
investigation billing rates).
IV. Discussion
Updated Access Authorization Fees
This direct final rule amends 10 CFR parts 11, 25, and 95, along
with appendix A to 10 CFR part 25. The NRC is revising the processing
fee charged to licensees for work performed under the Material Access
Authorization Program (MAAP) and the Information Access Authority
Program (IAAP) from 55.8 percent of the DCSA investigation billing
rates to 90.2 percent. A September 2019 NRC audit of actual in-house
costs incurred in processing licensee applications for access
authorization showed an increase in the NRC's review time for each
application. The audit also showed that the NRC was not recovering its
full-cost fees for the time spent processing the increased number of
complex applications; despite a 2016 biennial review indicating
increasing costs, the NRC had not adjusted its fees since 2012.
In addition, all requests for reciprocity will be charged a flat
fee rate of $95.00. Previously, the NRC did not charge a fee for
reciprocity requests because certain applications from individuals with
current Federal access authorizations were processed expeditiously and
at a reduced cost. This flat fee will be aligned with the level of
effort that has recently been expended by DCSA to process reciprocity
requests and accounts for inflation as well as recovery of the
appropriate cost for conducting this work. In cases where reciprocity
is not acceptable and it is necessary to perform a background
investigation, then the NRC will charge the appropriate fee based on
the DCSA investigation billing rate. This direct final rule continues
to allow licensees to calculate the NRC access authorization fee for
any given application by referencing the current DCSA investigation
billing rates schedule for background investigation services.
Reimbursable billing rates for personnel background investigations are
published by DCSA in a Federal Investigations Notice (FIN). The current
DCSA investigation billing rates are published on the DCSA website and
are available at https://www.dcsa.mil/mc/pv/gov_hr_security/billing_rates/. The NRC's licensees can also obtain the current DCSA
investigation billing rates schedule by contacting the NRC's Personnel
Security Branch, Division of Facilities and Security, Office of
Administration by email at
[email protected].
The fee-calculation formula is designed to recover the NRC's actual
in-house processing costs for each application received from a
licensee. The NRC's access authorization fee for any given request is
determined using the following formula: The DCSA investigation billing
rates on the day the NRC receives the application + the NRC processing
fee = the NRC material access authorization fee. The provisions in this
direct final rule set the NRC processing fee; the fee is determined by
multiplying the DCSA investigation billing rate on the day the NRC
receives the application by 90.2 percent (i.e., DCSA rate x 90.2
percent).
Public Law 115-439, the Nuclear Energy Innovation and Modernization
Act (42 U.S.C. 2215), requires the NRC to recover through fees the full
cost incurred in providing a service or thing of value. As noted
previously, the DCSA investigation billing rates are pulled directly
from the current DCSA fee schedule for investigations. The tables in
revised Sec. 11.15(e)(3) and appendix A to 10 CFR part 25 cross-
reference each type of NRC access authorization request to the
appropriate investigation service listed in the DCSA's investigation
billing rates schedule. For example, a licensee seeking a special
nuclear material ``NRC-U'' access authorization requiring a Tier 5 (T5)
investigation is directed by the table in Sec. 11.15(e)(3) to
calculate the NRC processing fee based on the DCSA investigation
billing rates for a ``standard'' T5 investigation. According to the
current DCSA investigation billing rates schedule (FIN 20-04, ``FY 2021
and FY 2022 Investigations Reimbursable Billing Rates,'' June 30,
2020), the DCSA charges $5,465 for a ``standard'' T5 investigation. The
table instructs the licensee to calculate the NRC's application
processing fee by multiplying $5,465 by 90.2 percent, which equals
$4,929.43. The licensee then rounds the NRC's processing fee to the
nearest dollar, or $4,929, and adds that amount to the DCSA
investigation billing rate of $5,465 to determine the total NRC access
authorization fee: $10,394.
The following table illustrates the calculation process:
------------------------------------------------------------------------
Plus NRC application Equals total
processing fee NRC access
Current DCSA investigation ---------------------------- authorization
billing rate for standard T5 DCSA rate NRC fee x 90.2% fee for NRC-U
= (rounded to nearest $) application
------------------------------------------------------------------------
$5,465 $5,465 x 90.2% = $ = $10,394
4,929,43 (rounded to
$4,929).
------------------------------------------------------------------------
Licensees applying for restricted data or national security
information access authorization follow a similar procedure. The table
in appendix A to 10 CFR part 25 cross-references each type of ``Q'' or
``L'' access authorization to the corresponding DCSA investigation
type. The DCSA investigation billing rate for the type of investigation
referenced is determined by consulting the current DCSA investigation
billing rates schedule. This rate is then used in the formula to
calculate the correct NRC access authorization fee for the type of
[[Page 73634]]
application submitted. Copies of the current NRC access authorization
fees can be obtained by contacting the NRC's Personnel Security Branch,
Division of Facilities and Security, Office of Administration by email
to [email protected]. 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 the
DCSA's most recently published investigation billing rates schedule.
Administrative Changes
In Federal Investigations Notice Number 16-07, dated September 26,
2016 (https://www.dcsa.mil/Portals/91/Documents/pv/GovHRSec/FINs/FY16/fin-16-07.pdf), the Office of Personnel Management (OPM) implemented
the Federal Investigative Standards according to the phased Federal
Investigative Standards Implementation Plan issued by the Suitability
and Security Executive Agents. In accordance with the plan, the Access
National Agency Check with Inquiries was renamed to Tier 3 (T3) and the
National Agency Check with Law and Credit was renamed to Tier 3
reinvestigation (T3R). The T3 investigation is required for positions
designated as non-critical sensitive and/or requiring eligibility for
``L'' or ``R'' access or access to Confidential or Secret information.
The T3R is the reinvestigation product for the same positions. The
Single Scope Background Investigation was renamed to Tier 5 (T5) and
the Single Scope Background Investigation-Periodic Reinvestigation was
renamed to Tier 5R (T5R). The T5 investigation is required for
positions designated as critical sensitive, special sensitive, and/or
requiring eligibility for ``Q'' or ``U'' access or access to Top Secret
or Sensitive Compartmented Information. The T5R is the reinvestigation
product required for the same positions. This direct final rule revises
the definitions in 10 CFR parts 11, 25, and 95 to include the new
naming conventions for background investigations case types. The
definitions for the NRC ``R'' and NRC ``U'' special nuclear material
access authorizations include the renamed investigation types Tier 3
and Tier 5, respectively. Also, the definitions for NRC ``L'' and NRC
``Q'' access authorizations include the renamed investigation types
Tier 3 and Tier 5, respectively.
In 2005, the OPM implemented the Electronic Questionnaires for
Investigative Processing (e-QIP) system, which allows applicants to
electronically enter, update, and release their personal investigative
data over a secure internet connection to an employing agency for
review and approval. The e-QIP system is a web-based automated system
that facilitates the processing of standard investigative forms used
when conducting background investigations for Federal security,
suitability, fitness, and credentialing purposes. The NRC allows
applicants to complete their security form, the Questionnaire for
National Security Positions, Standard Form 86 (SF-86), electronically
through the (e-QIP) system to minimize errors and expedite processing.
This direct final rule updates 10 CFR parts 11 and 25 to clarify that
the NRC uses the e-QIP system for applicants to provide their personal
investigative data.
V. Section-by-Section Analysis
The following paragraphs describe the specific changes in this
direct final rule.
Section 11.7 Definitions
This direct final rule revises the definitions in Sec. 11.7 for
NRC-``R'' special nuclear material access authorization and NRC-``U''
special nuclear material access authorization to include the new naming
conventions for background investigations case types.
Section 11.8 Information Collection Requirements: OMB Approval
This direct final rule revises Sec. 11.8 to add a new paragraph
(c) to clarify that the information collections for the electronic form
``Electronic Questionnaire for Investigations Processing (e-QIP),
Questionnaire for National Positions--Standard Form 86 (SF-86)'' are
approved under OMB control number 3206-0005.
Section 11.15 Application for Special Nuclear Material Access
Authorization
This direct final rule revises paragraphs (b)(1) and (c)(1)(ii) to
specify the electronic form of the SF-86.
This direct final rule revises paragraph (e)(1) to revise the NRC
processing fee charged to licensees for work performed under the MAAP
from 55.8 percent of the DCSA investigation billing rates to 90.2
percent.
This direct final rule revises paragraph (e)(3) to (1) change the
NRC processing fee charged to licensees for work performed under the
MAAP from 55.8 percent of the DCSA investigation billing rates to 90.2
percent, (2) indicate that MAAP requests for reciprocity will be
charged at a flat fee rate of $95.00, and (3) include the new naming
conventions for background investigations case types.
This direct final rule revises paragraph (e)(4) to clarify that
certain applications from individuals with current Federal access
authorizations may be processed expeditiously and at a reduced cost.
This direct final rule revises paragraph (f)(1) to include the new
naming conventions for background investigations case types.
Section 11.16 Cancellation of Request for Special Nuclear Material
Access Authorization
This direct final rule revises Sec. 11.16 to include the new
naming conventions for background investigations case types.
Section 25.5 Definitions
This direct final rule revises the definitions for ``L'' access
authorization and ``Q'' access authorization to include the new naming
conventions for background investigations case types.
Section 25.8 Information Collection Requirements: OMB Approval
This direct final rule revises Sec. 25.8(c)(2) to clarify that the
information collections for the electronic form ``Electronic
Questionnaire for Investigations Processing (e-QIP), Questionnaire for
National Positions--Standard Form 86 (SF-86)'' are approved under OMB
control number 3206-0005.
Section 25.17 Approval for Processing Applicants for Access
Authorization
This direct final rule revises paragraph (d)(1)(i) to specify the
electronic form of the SF-86.
This direct final rule revises paragraph (f)(1) to change the NRC
processing fee charged to licensees for work performed under the IAAP
from 55.8 percent of the DCSA investigation billing rates to 90.2
percent.
This direct final rule revises paragraph (f)(3) to indicate that
IAAP requests for reciprocity will be charged a flat fee rate of
$95.00.
Appendix A to 10 CFR Part 25--Fees for NRC Access Authorization
This direct final rule revises the table in appendix A to 10 CFR
part 25 to include the new naming conventions for background
investigations case types.
Section 95.5 Definitions
This direct final rule revises the definitions for NRC ``L'' access
authorization and NRC ``Q'' access authorization to include the new
naming conventions for background investigations case types.
[[Page 73635]]
VI. Regulatory Flexibility Certification
Under the Regulatory Flexibility Act (5 U.S.C. 605(b)), the
Commission certifies that this direct final rule amending 10 CFR parts
11, 25, and 95 does not have a significant economic impact on a
substantial number of small entities. This direct final rule applies to
those licensees who use, process, store, transport, or deliver to a
carrier for transport, formula quantities of special nuclear material
(as defined in 10 CFR part 73) or generate, receive, safeguard, and
store National Security Information or Restricted Data (as defined in
10 CFR part 95). Two licensees, both fuel cycle facilities, are
currently required to comply with 10 CFR part 11. Seventy-eight
licensees and other organizations, mostly power reactors and fuel cycle
facilities, are currently required to comply with 10 CFR part 25. None
of these licensees are ``small entities'' as defined in the Regulatory
Flexibility Act or the size standards established by the NRC (Sec.
2.810). This direct final rule also applies to contractors of those
licensees required to comply with this direct final rule who use,
process, store, transport, or deliver to a carrier for transport,
formula quantities of special nuclear material (as defined in 10 CFR
part 73) or generate, receive, safeguard, and store National Security
Information or Restricted Data (as defined in 10 CFR part 95). Some of
these contractors may be ``small entities'' as defined in the
Regulatory Flexibility Act or the NRC's size standards. However, some
of these contractors are reimbursed through the contract for the cost
of securing access authorization. There are not a substantial number of
unreimbursed ``small entity'' contractors who apply for access
authorization, nor is the NRC aware of any significant impact on these
unreimbursed ``small entity'' contractors.
VII. Regulatory Analysis
A regulatory analysis has not been prepared for this direct final
rule. This direct final rule ensures that the NRC recovers the full
cost of application processing from licensees submitting access
authorization requests, as is required by statute (42 U.S.C. 2214(b)).
The formula method for calculating these fees continues to provide an
efficient and effective mechanism for updating the NRC access
authorization fees in response to changes in the underlying DCSA
investigation billing rates schedule for required personnel background
investigations. The Nuclear Energy Innovation and Modernization Act (42
U.S.C. 2215) requires the NRC to recover through fees the full cost
incurred in providing a service or thing of value. These amendments
will neither impose new safety requirements nor relax existing ones
and, therefore, do not call for the sort of safety/cost analysis
described in the NRC's regulatory analysis guidelines in NUREG/BR-0058,
Revision 4, ``Regulatory Analysis Guidelines of the U.S. Nuclear
Regulatory Commission,'' dated September 2004 (ADAMS Accession No.
ML042820192).
VIII. Backfitting and Issue Finality
The NRC has determined that the backfit rule does not apply to this
direct final rule and that a backfit analysis is not required.
Collection of fees to recover the NRC's costs is required by statute
(42 U.S.C. 2214(b)). Therefore, changes to rules designating the amount
to be collected are not subject to the backfitting provisions or issue
finality provisions in 10 CFR chapter I.
IX. Plain Writing
The Plain Writing Act of 2010 (Pub. L. 111-274) requires Federal
agencies to write documents in a clear, concise, and well-organized
manner. The NRC has written this document to be consistent with the
Plain Writing Act as well as the Presidential Memorandum, ``Plain
Language in Government Writing,'' published June 10, 1998 (63 FR
31885).
X. National Environmental Policy Act
The NRC has determined that this final rule is the type of action
described in 10 CFR 51.22(c)(1), which is categorically excluded from
environmental review. Therefore, neither an environmental impact
statement nor environmental assessment has been prepared for this final
rule.
XI. Paperwork Reduction Act Statement
This direct final rule does not contain new or amended information
collection requirements subject to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.). Existing requirements were approved by the
Office of Management and Budget (OMB), Approval Numbers 3150-0046 and
3150-0062.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an information collection
requirement unless the requesting document displays a currently valid
OMB control number.
XII. Congressional Review Act
In accordance with the Congressional Review Act of 1996 (5 U.S.C.
801-808), the NRC has determined that this action is not a major rule
and has verified this determination with the Office of Information and
Regulatory Affairs of the Office of Management and Budget.
XIII. Voluntary Consensus Standards
The National Technology Transfer and Advancement Act of 1995,
Public Law 104-113, requires that Federal agencies use technical
standards that are developed or adopted by voluntary consensus
standards bodies unless the use of such a standard is inconsistent with
applicable law or is otherwise impractical. In this direct final rule,
the NRC will revise the formula for calculating the NRC's access
authorization fee charged to licensees for work performed under MAAP
and IAAP from 55.8 percent of the DCSA investigation billing rate for
an investigation of a given type to 90.2 percent. In addition, MAAP
requests for reciprocity will be charged a flat fee rate of $95.00.
This action does not constitute the establishment of a standard that
contains generally applicable requirements.
List of Subjects
10 CFR Part 11
Hazardous materials transportation, Investigations, Nuclear energy,
Nuclear materials, Penalties, Reporting and recordkeeping requirements,
Security measures, Special nuclear material.
10 CFR Part 25
Classified information, Criminal penalties, Investigations,
Penalties, Reporting and recordkeeping requirements, Security measures.
10 CFR Part 95
Classified information, Criminal penalties, Penalties, Reporting
and recordkeeping requirements, Security measures.
For the reasons set forth 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. 552 and 553, the NRC is adopting
the following amendments to 10 CFR parts 11, 25, and 95:
PART 11--CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR
ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL
0
1. The authority citation for part 11 continues to read as follows:
Authority: Atomic Energy Act of 1954, secs. 161, 223 (42 U.S.C.
2201, 2273); Energy
[[Page 73636]]
Reorganization Act of 1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C.
3504 note.
Section 11.15(e) also issued under 31 U.S.C. 9701; 42 U.S.C.
2214.
0
2. In Sec. 11.7, revise the definitions for NRC-``R'' special nuclear
material access authorization and NRC-``U'' special nuclear material
access authorization to read as follows:
Sec. 11.7 Definitions.
* * * * *
NRC-``R'' special nuclear material access authorization means an
administrative determination based upon a Tier 3 background
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).
NRC-``U'' special nuclear material access authorization means an
administrative determination based upon a Tier 5 background
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)(1) or Sec. 11.13.
* * * * *
0
3. Sec. In 11.8, add paragraph (c) to read as follows:
Sec. 11.8 Information collection requirements: OMB approval.
* * * * *
(c) In Sec. 11.15, the SF-86, ``Electronic Questionnaire for
Investigations Processing (e-QIP), Questionnaire for National
Positions--Standard Form 86,'' is approved under control number 3206-
0005.
0
4. In Sec. 11.15, revise paragraphs (b)(1), (c)(1)(ii), (e)(1), (3),
and (4), and (f)(1) to read as follows:
Sec. 11.15 Application for special nuclear material access
authorization.
* * * * *
(b) * * *
(1) Electronic Questionnaire for Investigations Processing (e-QIP),
Questionnaire for National Security Positions--Standard Form 86 (SF-
86);
* * * * *
(c)(1) * * *
(ii) The Electronic Questionnaire for Investigations Processing (e-
QIP), Questionnaire for National Security Positions--Standard Form 86
(SF-86);
* * * * *
(e) * * *
(1) Each application for a special nuclear material access
authorization, renewal, or change in level must be accompanied by a
remittance, payable to the U.S. Nuclear Regulatory Commission, which is
equal to the NRC material access authorization fee. This fee must be
determined using the following formula: The DCSA investigation billing
rates on the day of NRC receipt of the application + the NRC processing
fee = the NRC material access authorization fee. The NRC processing fee
is determined by multiplying the DCSA investigation billing rate on the
day of NRC receipt of the application by 90.2 percent (i.e., DCSA rate
x 90.2 percent).
* * * * *
(3) The NRC's Material Access Authorization Program (MAAP) is
considered reimbursable work representing services provided to an
organization for which the NRC is entitled payment. The NRC is
authorized to receive and retain fees from licensees for services
performed. The NRC's Office of the Chief Financial Officer periodically
reviews the fees charged for MAAP and makes recommendations on revising
those charges to reflect costs incurred by the NRC in providing those
services. The reviews are performed using cost analysis techniques to
determine the direct and indirect costs. Based on this review, all MAAP
requests for reciprocity will be charged a flat fee rate of $95.00 as
referenced in paragraph (e)(4)(i) of this section. This flat fee would
be aligned with the level of effort that has recently been expended by
DCSA to process reciprocity requests, and accounts for inflation as
well as recovery of the appropriate cost for conducting this work.
Copies of the current NRC material access authorization fee may be
obtained by contacting the NRC's Personnel Security Branch, Division of
Facilities and Security, Office of Administration by email to:
[email protected]. 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 the
DCSA's most recently published investigation billing rates schedule.
(4) Certain applications from individuals having current Federal
access authorizations may be processed expeditiously and at a reduced
cost 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.
(i) Applications for reciprocity will be processed at the NRC flat
fee rate of $95 per request as referenced in the following table:
------------------------------------------------------------------------
The NRC application fee for an access authorization of
type . . . NRC fee rate
------------------------------------------------------------------------
(A) NRC-R based on certification of comparable $95
investigation \1\......................................
(B) NRC-U based on certification of comparable 95
investigation \2\......................................
------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a
Tier 3 investigation is necessary, the appropriate NRC-R fee will be
assessed as shown in paragraph (e)(4)(ii) of this section before the
conduct of the investigation.
\2\ If the NRC determines, based on its review of available data, that a
Tier 5 investigation is necessary, the appropriate NRC-U fee will be
assessed as shown in paragraph (e)(4)(ii) of this section before the
conduct of the investigation.
(ii) Applicants shall, in cases where reciprocity is not acceptable
and it is necessary to perform a background investigation, be charged
the appropriate fee as referenced in the following table. Applicants
shall calculate the access authorization fee according to the stated
formula (i.e., DCSA rate x 90.2 percent).
----------------------------------------------------------------------------------------------------------------
Plus the NRC's processing
fee (rounded to the nearest
Is the sum of the current DCSA dollar), which is equal to
The NRC application fee for an access investigation billing rate the DCSA investigation
authorization of type . . . charged for an investigation of billing rate for the type of
type . . . investigation referenced
multiplied by . . . (%)
----------------------------------------------------------------------------------------------------------------
(A) NRC-R initial \1\.......................... Tier 3 (T3) (Standard Service)... 90.2
(B) NRC-R renewal \1\.......................... Tier 3 Reinvestigation (T3R) 90.2
(Standard Service).
(C) NRC-U initial.............................. Tier 5 (T5) (Standard Service)... 90.2
(D) NRC-U initial (expedited processing)....... Tier 5 (T5) (Priority Handling).. 90.2
(E) NRC-U renewal \1\.......................... Tier 5 Reinvestigation (T5R) 90.2
(Standard Service).
[[Page 73637]]
(F) NRC-U renewal \1\ (expedited processing)... Tier 5 Reinvestigation (T5R) 90.2
(Priority Handling).
----------------------------------------------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the
appropriate NRC-U fee will be assessed before the conduct of the investigation.
(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 T5 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.
* * * * *
Sec. 11.16 [Amended]
0
5. In Sec. 11.16, fourth sentence:
0
a. Remove the designation `` ``U'' '' and add in its place the
designation `` ``U'' or ``R'' ''; and
0
b. Remove the designation ``single scope'' and add in its place the
designation ``Tier 5''.
PART 25--ACCESS AUTHORIZATION
0
6. The authority citation for part 25 continues to read as follows:
Authority: Atomic Energy Act of 1954, secs. 145, 161, 223, 234
(42 U.S.C. 2165, 2201, 2273, 2282); Energy Reorganization Act of
1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C. 3504 note; E.O. 10865, 25
FR 1583, as amended, 3 CFR, 1959-1963 Comp., p. 398; E.O. 12829, 58
FR 3479, 3 CFR, 1993 Comp., p. 570; E.O. 13526, 75 FR 707, 3 CFR,
2009 Comp., p. 298; E.O. 12968, 60 FR 40245, 3 CFR, 1995 Comp., p.
391.
Section 25.17(f) and Appendix A also issued under 31 U.S.C.
9701; 42 U.S.C. 2214.
0
7. In Sec. 25.5, revise the definitions for ``L'' access authorization
and ``Q'' access authorization to read as follows:
Sec. 25.5 Definitions.
* * * * *
``L'' access authorization means an access authorization granted by
the Commission that is normally based on a Tier 3 (T3) investigation
conducted by the Defense Counterintelligence and Security Agency
(DCSA).
* * * * *
``Q'' access authorization means an access authorization granted by
the Commission normally based on a Tier 5 (T5) investigation conducted
by the Defense Counterintelligence and Security Agency, the Federal
Bureau of Investigation, or other U.S. Government agency that conducts
personnel security investigations.
* * * * *
0
8. In Sec. 25.8, revise paragraph (c)(2) to read as follows:
Sec. 25.8 Information collection requirements: OMB approval.
* * * * *
(c) * * *
(2) In Sec. Sec. 25.17(c), 25.21(c), 25.27(b), 25.29, and 25.31,
the ``Electronic Questionnaire for Investigations Processing (e-QIP),
Questionnaire for National Positions--Standard Form 86 (SF-86)'' is
approved under control number 3206-0005.
* * * * *
0
9. In Sec. 25.17, revise paragraphs (d)(1)(i) and (f)(1), (3), and (4)
to read as follows:
Sec. 25.17 Approval for processing applicants for access
authorization.
* * * * *
(d)(1) * * *
(i) Electronic Questionnaire for Investigations Processing (e-QIP),
Questionnaire for National Security Positions--Standard Form 86 (SF-
86).
* * * * *
(f) * * *
(1) Each application for access authorization, renewal, or change
in level must be accompanied by a remittance, payable to the U.S.
Nuclear Regulatory Commission, which is equal to the NRC access
authorization fee. This fee must be determined using the following
formula: The DCSA investigation billing rates on the day the NRC
receives the application + the NRC processing fee = the NRC access
authorization fee. The NRC processing fee is determined by multiplying
the DCSA investigation billing rate on the day the NRC receives the
application by 90.2 percent (i.e., DCSA rate x 90.2 percent).
* * * * *
(3) The NRC's Information Access Authority Program (IAAP) is
considered reimbursable work representing services provided to an
organization for which the NRC is entitled payment. The NRC is
authorized to receive and retain fees from licensees for services
performed. The NRC's Office of the Chief Financial Officer periodically
reviews the fees charged for IAAP and makes recommendations on revising
those charges to reflect costs incurred by the NRC in providing those
services. The reviews are performed using cost analysis techniques to
determine the direct and indirect costs. Based on this review, the IAAP
fees are adjusted to reflect the current cost for the program. IAAP
requests for reciprocity will be charged a flat fee rate of $95.00 as
referenced in paragraph (f)(4) of this section. This flat fee is
aligned with the level of effort that has been expended by DCSA to
process reciprocity requests, and accounts for inflation as well as
recovery of the appropriate cost for conducting the investigations.
Copies of the current NRC access authorization fee may be obtained by
contacting the NRC's Personnel Security Branch, Division of Facilities
and Security, Office of Administration by email at:
[email protected]. Any change in the
NRC's access authorization fee will be applicable to each access
authorization request received on or after the effective date of the
DCSA's most recently published investigation billing rates schedule.
(4) Certain applications from individuals having current Federal
access authorizations may be processed more expeditiously and at less
cost because the Commission, at its discretion, may decide to accept
the certification of access authorization and investigative data from
other Federal Government agencies that grant personnel access
authorizations.
(i) Applications for reciprocity will be processed at the NRC flat
fee rate of $95 per request, as referenced in the following table:
[[Page 73638]]
------------------------------------------------------------------------
The NRC application fee for an access authorization of
type . . . NRC fee rate
------------------------------------------------------------------------
(A) NRC-L based on certification of comparable $95
investigation \1\......................................
(B) NRC-Q based on certification of comparable 95
investigation \2\......................................
------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a
Tier 3 investigation is necessary, the appropriate NRC-L fee will be
assessed as shown in appendix A to this part before the conduct of the
investigation.
\2\ If the NRC determines, based on its review of available data, that a
Tier 5 investigation is necessary, the appropriate NRC-Q fee will be
assessed as shown in appendix A to this part before the conduct of the
investigation.
(ii) Applicants shall, in cases where reciprocity is not acceptable
and it is necessary to perform a background investigation, be charged
the appropriate fee referenced in appendix A to this part. Applicants
shall calculate the access authorization fee according to the stated
formula (i.e., DCSA rate x 90.2 percent).
0
10. Revise appendix A to part 25 to read as follows:
Appendix A to Part 25--Fees for NRC Access Authorization
----------------------------------------------------------------------------------------------------------------
Plus the NRC's processing
fee (rounded to the nearest
Is the sum of the current DCSA dollar), which is equal to
The NRC application fee for an access investigation billing rate charged the investigation billing
authorization of type . . . for an investigation of type . . . rate for the type of
investigation referenced
multiplied by . . . (%)
----------------------------------------------------------------------------------------------------------------
Initial ``L'' access authorization \1\......... Tier 3 (T3) (Standard Service).... 90.2
Reinstatement of ``L'' access authorization \2\ No fee assessed for most ...........................
applications.
Renewal of ``L'' access authorization \1\...... Tier 3 Reinvestigation (T3R) 90.2
(Standard Service).
Initial ``Q'' access authorization............. Tier 5 (T5) (Standard Service).... 90.2
Initial ``Q'' access authorization (expedited T5 (Priority Handling)............ 90.2
processing).
Reinstatement of ``Q'' access authorization \2\ No fee assessed for most ...........................
applications.
Renewal of ``Q'' access authorization\1\....... Tier 5 Reinvestigation (T5R) 90.2
(Standard Service).
Renewal of ``Q'' access authorization \1\...... Tier 5 Reinvestigation (T5R) 90.2
(Priority Handling).
----------------------------------------------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the
appropriate fee for an Initial ``Q'' access authorization will be assessed before the conduct of
investigation.
\2\ Full fee will only be charged if an investigation is required.
PART 95--FACILITY SECURITY CLEARANCE AND SAFEGUARDING OF NATIONAL
SECURITY INFORMATION AND RESTRICTED DATA
0
11. The authority citation for part 95 continues to read as follows:
Authority: Atomic Energy Act of 1954, secs. 145, 161, 223, 234
(42 U.S.C. 2165, 2201, 2273, 2282); Energy Reorganization Act of
1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C. 3504 note; E.O. 10865, as
amended, 25 FR 1583, 3 CFR, 1959-1963 Comp., p. 398; E.O. 12829, 58
FR 3479, 3 CFR, 1993 Comp., p. 570; E.O. 12968, 60 FR 40245, 3 CFR,
1995 Comp., p. 391; E.O. 13526, 75 FR 707, 3 CFR, 2009 Comp., p.
298.
0
12. In Sec. 95.5, revise the definitions for NRC ``L'' access
authorization and NRC ``Q'' access authorization to read as follows:
Sec. 95.5 Definitions.
* * * * *
NRC ``L'' access authorization means an access authorization
granted by the Commission that is normally based on a Tier 3 (T3)
investigation or a Tier 3 reinvestigation (T3R) conducted by the
Defense Counterintelligence and Security Agency.
NRC ``Q'' access authorization means an access authorization
granted by the Commission normally based on a Tier 5 (T5) investigation
conducted by the Defense Counterintelligence and Security Agency, the
Federal Bureau of Investigation, or other U.S. Government agency that
conducts personnel security investigations.
* * * * *
Dated: December 21, 2021.
For the Nuclear Regulatory Commission.
Daniel H. Dorman,
Executive Director for Operations.
[FR Doc. 2021-28116 Filed 12-27-21; 8:45 am]
BILLING CODE 7590-01-P
