U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

MD 12.3 NRC PERSONNEL SECURITY PROGRAM DT-13-18

Volume 12: Security

Approved By: Cynthia A. Carpenter, Director

Office of Administration

Date Approved: October 8, 2013

Expiration Date: October 8, 2018 

Issuing Office: Office of Administration

Division of Facilities and Security

Contact Name: Janice Kelsh

301-415-7747

Linda Watson

301-415-7409

EXECUTIVE SUMMARY

Directive and Handbook 12.3 are being revised to reflect changes in the personnel security 

program, specifically, implementation of Executive Orders 13467 and 13488; Homeland 

Security Presidential Directive-12 (HSPD-12); Presidential Policy Directive 19; and the Office 

of Personnel Management’s policy changes on investigative products. Changes also have 

been made to the NRC Drug-Free Workplace Plan.

TABLE OF CONTENTS

I. POLICY.............................................................................................................................. 2

II. OBJECTIVE....................................................................................................................... 2

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY........... 3

A. Commission.................................................................................................................. 3

B. Executive Director for Operations (EDO) ...................................................................... 3

C. Deputy Executive Director for Corporate Management (DEDCM)................................. 3

D. General Counsel (GC).................................................................................................. 4

E. Office of the Inspector General (OIG) ........................................................................... 4

F. Director, Office of International Programs (OIP)............................................................ 4

G. Director, Office of Administration (ADM) ....................................................................... 4

H. Director, Office of Investigations (OI)............................................................................ 5

I. Chief Human Capital Officer (CHCO) ........................................................................... 5

J. Director, Office of Nuclear Security and Incident Response (NSIR).............................. 5
MD 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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K. Office Directors and Regional Administrators ............................................................... 5

L. Director, Division of Facilities and Security (DFS), ADM............................................... 6

IV. APPLICABILITY ................................................................................................................ 6

V. DIRECTIVE HANDBOOK .................................................................................................. 7

VI. EXCEPTIONS OR DEVIATIONS ....................................................................................... 7

VII. REFERENCES................................................................................................................... 7

I. POLICY

A. It is the policy of the U.S. Nuclear Regulatory Commission to establish a personnel 

security program to ensure that determinations are made in accordance with pertinent 

laws, Executive orders (E.O.), management directives (MD), and applicable directives of

other Federal agencies for the following: 

1. NRC access authorization (security clearance); 

2. NRC employment clearance (pre-appointment investigation waiver, Section 145b of 

the Atomic Energy Act of 1954 (AEA), as amended); 

3. Unescorted access to nuclear power facilities for NRC employees or contractors; 

4. Access to special nuclear material by NRC licensees; 

5. Access to unclassified Safeguards Information (SGI); 

6. Access to sensitive NRC information, technology systems, or data; 

7. Unescorted access to NRC facilities; 

8. Visits involving classified National Security Information (NSI), Restricted Data (RD), 

or Sensitive Compartmented Information (SCI); and 

9. Provision of information to foreign regulatory assignees. 

B. It is also NRC policy that its workplace be free from illegal use, possession, or 

distribution of controlled substances.

II. OBJECTIVE

Provide assurance that NRC employees, consultants, contractors, and licensees are reliable 

and trustworthy to have access to NRC facilities, classified information, sensitive NRC 

information and equipment, nuclear power facilities, and special nuclear material. 
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III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY

A. Commission

1. Performs the Commission functions specified in Title 10 of the Code of Federal 

Regulations (CFR) Part 10, “Criteria and Procedures for Determining Eligibility for 

Access to Restricted Data or National Security Information or an Employment 

Clearance,” for personnel security clearance cases subject to personnel security 

hearing procedures.

2. Only the Commission may grant temporary access authorization for access to 

Restricted Data (RD). 

B. Executive Director for Operations (EDO)

The Executive Director for Operations (EDO) approves the sensitivity criteria to be used 

in determining whether individual contractor employees require information technology 

(IT) Level I or Level II approval for access to NRC IT systems or access to sensitive 

information.

C. Deputy Executive Director for Corporate Management (DEDCM)

1. Performs the functions assigned to the Deputy Executive Director for Corporate 

Management (DEDCM) in accordance with 10 CFR Part 10, including the granting, 

suspension, denial, or revocation of access authorization (see 64 Federal Register

15636, “Conformance to National Policies for Access to and Protection of Classified 

Information,” April 1, 1999). 

2. Grants exemptions to 10 CFR Part 25, “Access Authorization,” and Part 95, “Facility 

Security Clearance and Safeguarding of National Security Information and Restricted 

Data,” when a finding can be made that the requested exemption does not endanger 

the common defense and security, as authorized by the Office of the Secretary 

(SECY) in SECY-80-387, “Delegation of Authority to Grant Exemptions to 

10 CFR Parts 25 and 95.” 

3. Performs the functions of the designated NRC senior agency official in accordance 

with the provisions of Section 6.1(a) of E.O. 12968, “Access to Classified 

Information,” to direct and administer the NRC's Personnel Security Program, 

including active oversight and implementation of continuing security education and 

awareness programs, and ensure that the order is effectively carried out. 

4. Approves NRC's employment of individuals before the security investigation is 

completed, as required by Section 145b of the AEA, provided that the individual is 

not granted access to classified NSI, the requesting office clearly demonstrates a 

need for the individual, and an affirmative recommendation is made by the Director 

of the Division of Facilities and Security (DFS), Office of Administration (ADM). 
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5. Grants access, in accordance with the authority in Section 145b of the AEA, to RD 

and other NRC classified information to designated members of Congress (no 

investigation to be conducted). This access, as authorized by SECY-81-291,

“Approval Under Section 145b of the Atomic Energy Act of 1954, as Amended, to 

Grant Access to Restricted Data and Other NRC Classified Information to 

Designated Members of Congress (No Investigation To Be Conducted),” applies to 

members of Congress serving on NRC congressional oversight subcommittees. 

6. Establishes, in accordance with the authority in Section 145g of the AEA, standards 

and specifications in writing as to the scope and extent of investigations, the reports 

of which NRC will use to make the determination that permitting a person access to 

RD will not endanger the common defense and security. 

D. General Counsel (GC) 

1. Performs the functions assigned to the General Counsel (GC) in accordance with 10 

CFR Part 10, including appointment of hearing counsel and concurrence in the 

issuance of subpoenas. 

2. Performs legal review of matters related to personnel security. 

E. Office of the Inspector General (OIG)

Provides DFS, ADM, with information obtained in audits and investigations that is 

relevant to security issues consistent with 10 CFR 1.12, “Office of the Inspector 

General.” 

F. Director, Office of International Programs (OIP)

1. Approves or disapproves the assignment of foreign regulatory employees to NRC 

after security approval from DFS, ADM, and coordination with the office to which the 

person is temporarily assigned.

2. Provides assistance, when needed, to the Office of Nuclear Security and Incident 

Response (NSIR), Division of Security Operations (DSO), for certifying security 

assurances of foreign nationals requiring access to classified information.

G. Director, Office of Administration (ADM)

1. Performs the functions assigned to ADM in accordance with 10 CFR Part 10, 

including appointing the NRC hearing examiner, serving as the official contact 

between the individual and the agency, and concurring on written communication 

between the Director of DFS, ADM and the DEDCM relative to clearance, 

suspension, and denials. 

2. Oversees the NRC personnel security program as carried out by DFS, ADM.
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3. Serves as the agency drug program coordinator and oversees the drug testing 

program.

H. Director, Office of Investigations (OI)

1. Coordinates with DFS, ADM whenever information derived from DFS, ADM files 

alone and not corroborated by other means is used in OI reports. 

2. Provides security-related information to DFS, ADM developed on licensees, licensee 

applicants, licensee contractors, or vendor personnel who currently have or are in 

the process of obtaining a “Q,” “L,” or reciprocal level access authorization or other 

security determination. 

I. Chief Human Capital Officer (CHCO) 

1. Concurs in a request for a pre-appointment investigation waiver in Section 145b of 

the AEA, in accordance with Management Directive 10.1, “Appointments, General 

Employment Issues, Details, and Position Changes.”

2. Prepares appropriate personnel actions when an NRC employee’s clearance is 

suspended and/or revoked.

J. Director, Office of Nuclear Security and Incident Response (NSIR)

1. Informs ADM of any changes to the access authorization program requirements for 

NRC-licensed facilities to ensure comparability between licensee and NRC 

programs.

2. Certifies that a foreign national who requires access to classified information has the 

appropriate security assurance through his or her government.

K. Office Directors and Regional Administrators

1. Ensure that NRC employees, NRC contractor personnel, and any other personnel 

under their jurisdiction are cognizant of and comply with the provisions of MD 12.3, 

as appropriate. 

2. Ensure that NRC licensee and licensee-related personnel under their jurisdiction are 

cognizant of and comply with the personnel security provisions of 10 CFR Parts 10, 

25, and 95. 

3. Advise DFS, ADM of any information that indicates noncompliance with MD 12.3 or 

that is otherwise pertinent to the proper protection of classified information, SGI, 

sensitive unclassified information, or NRC property. 

4. Notify DFS, ADM of individuals under their jurisdiction who possess an access 

authorization, or for whom an access authorization has been requested, who are 
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hospitalized or otherwise treated for an illness or mental condition that may cause 

defects in their judgment, trustworthiness, or reliability, and of any subsequent 

developments as required by the handbook to this directive. 

5. Notify DFS, ADM of persons under their jurisdiction possessing access 

authorizations who are disabled for a prolonged period (6 months or more), are 

deceased, have terminated employment, require change of access authorization, or 

who are subject to any circumstance that may affect their continued eligibility for 

access authorization. 

6. Report immediately to OIG and DFS, ADM all alleged or suspected incidents of 

employee or contractor fraud, misconduct, unauthorized disclosure, or misuse of 

automated information systems. 

L. Director, Division of Facilities and Security (DFS), ADM 

1. Plans, develops, establishes, and administers policies, standards, and procedures 

for the overall NRC personnel security program, including denial or revocation in 

cases involving substantially derogatory information falling within 10 CFR 10.11, 

“Criteria,” when the case has not been favorably resolved through an interview or 

other investigation. 

2. Administers the visitor control program, including incoming and outgoing visits 

requiring access to classified NSI, the assignment of foreign regulatory employees to 

the NRC in coordination with OIP, and the acceptance and issuance of security 

assurances to and from foreign governments. 

3. Serves as the NRC central point of contact with the Federal Bureau of Investigation, 

the Office of Personnel Management, and other investigative agencies on NRC 

personnel security matters. 

4. Recommends to the DEDCM approval of Section 145b waiver of the Atomic Energy 

Act of 1954 for employing an individual before the completion of the security 

investigation. 

5. Supplies OIG with the personnel security information necessary to conduct 

investigations and audits.

IV. APPLICABILITY

MD 12.3 applies to all NRC employees, licensees, consultants, experts, panel members, 

applicants for employment, and other persons designated by the DEDCM, as well as to all 

NRC contractors and subcontractors to whom it applies as a condition of a contract or a 

purchase order.
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V. DIRECTIVE HANDBOOK

Handbook 12.3 provides guidelines for personnel security, classified visits, foreign 

assignees, and drug testing.

VI. EXCEPTIONS OR DEVIATIONS

Exceptions to or deviations from MD 12.3 may be granted by the Director of DFS, ADM, in 

writing, except for those areas in which the responsibility or authority is vested solely with 

the Commission, the DEDCM, or the Director of ADM, and is nondelegable, or for matters 

specifically required by law, E.O., or directive to be referred to other management officials.

VII. REFERENCES

Code of Federal Regulations

10 CFR 1.12, “Office of the Inspector General.”

10 CFR Part 7, “Advisory Committees.”

10 CFR Part 10, “Criteria and Procedures for Determining Eligibility for Access to 

Restricted Data or National Security Information or an Employment Clearance.” 

10 CFR Part 11, “Criteria and Procedures for Determining Eligibility for Access to or 

Control Over Special Nuclear Material.” 

10 CFR Part 25, “Access Authorization.”

10 CFR 73.21, “Protection of Safeguards Information: Performance Requirements.” 

10 CFR Part 95, “Facility Security Clearance and Safeguarding of National Security 

Information and Restricted Data.”

32 CFR Part 147, “Adjudicative Guidelines for Determining Eligibility for Access to 

Classified Information.”

Department of Health and Human Services 

Mandatory Guidelines for Federal Workplace Drug Testing Programs, at

http://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-26726.pdf. 

Executive Orders

10450, “Security Requirements for Government Employment,” April 27, 1953, as 

amended.

10865, “Safeguarding Classified Information Within Industry,” February 20, 1960, as 

amended.

12564, “Drug-Free Federal Workplace,” September 15, 1986.
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12968, “Access to Classified Information,” August 2, 1995.

13467, “Reforming Processes Related to Suitability for Government Employment, 

Fitness for Contractor Employees, and Eligibility for Access to Classified National 

Security Information,” June 30, 2008.

13488, “Granting Reciprocity on Excepted Service and Federal Contractor Employee 

Fitness and Reinvestigating Individuals in Positions of Public Trust,” January 16, 2009.

13526, “Classified National Security Information,” December 29, 2009.

Federal Register Notice

“Conformance to National Policies for Access to and Protection of Classified Information” 

(April 1, 1999, 64 FR 15636).

Nuclear Regulatory Commission Documents

Management Directive— 

3.1, “Freedom of Information Act.”

3.2, “Privacy Act.”

3.4, “Release of Information to the Public.”

10.1, “Appointments, General Employment Issues, Details, and Position 

Changes.”

10.122, “Employee Assistance and Wellness Services Program.”

11.1, “NRC Acquisition of Supplies and Services.”

12.1, “NRC Facility Security Program.”

12.2, “NRC Classified Information Security Program.”

12.6, “NRC Sensitive Unclassified Information Security Program.”

NRC Forms Library on SharePoint:

http://portal.nrc.gov/nrcformsportal/default.asp. 

NRC System of Records NRC-35, “Drug Testing Program Records—NRC,” at 

http://www.nrc.gov/reading-rm/foia/privacy-systems.html. 

NRC System of Records NRC-39, “Personnel Security Files and Associated Records—

NRC,” at http://www.nrc.gov/reading-rm/foia/privacy-systems.html. 

NUREG/BR-0134, “NRC Drug-Free Workplace Plan,” Revision 2, March 2007.

NUREG/BR-0136, “The NRC Drug Testing Manual,” August 2008.
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SECY-80-387, “Delegation of Authority to Grant Exemptions to 10 CFR Parts 25 and 

95,” August 15, 1980.

SECY- 81-291, “Approval Under Section 145b of the Atomic Energy Act of 1954, as 

Amended, to Grant Access to Restricted Data and Other NRC Classified Information to 

Designated Members of Congress (No Investigation To Be Conducted),” May 5, 1981.

Yellow Announcement 08-040, “General Notice of NRC Drug Testing Program Changes 

and Notice of Employee Awareness Sessions,” as the revised NRC Drug-Free 

Workplace Plan (August 2007) at 

http://www.internal.nrc.gov/announcements/yellow/2008/2008-040.html. 

Other Documents

Agreement Between the United States of America and the International Atomic Energy 

Agency for the Application of Safeguards in the United States (and Protocol Thereto), 

November 18, 1977, at http://www.state.gov/t/isn/5209.htm. 

Homeland Security Presidential Directive-12 (HSPD-12), August 27, 2004. 

Presidential Policy Directive 19, “Protecting Whistleblowers with Access to Classified 

Information,” October 10, 2012.

Treaty on the Non-Proliferation of Nuclear Weapons, March 5, 1970. 

United States Code

Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).

Controlled Substances Act (CSA), Title II of the Comprehensive Drug Abuse Prevention 

and Control Act of 1970, Pub. L. No. 91-513, 84 Stat. 1236 (October 27, 1970) (22 

U.S.C. et seq.). 

Fair Credit Reporting Act of 1970 (15 U.S.C. 1681 et seq.). 

Freedom of Information Act of 1966 (5 U.S.C. 522).

Inspector General Act (5 U.S.C. App. 3).

Privacy Act of 1974, as amended (5 U.S.C. 552a).

Section 503 of the Supplemental Appropriation Act of 1987, Pub. L. 100-71, July 11, 

1987.
U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH) 

DH 12.3 NRC PERSONNEL SECURITY PROGRAM DT-13-18

Volume 12: Security

Approved By: Cynthia A. Carpenter, Director

Office of Administration

Date Approved: October 8, 2013

Expiration Date: October 8, 2018

Issuing Office: Office of Administration

Division of Facilities and Security

Contact Name: Janice Kelsh

301-415-7747

Linda Watson

301-415-7409

EXECUTIVE SUMMARY

Directive and Handbook 12.3 are being revised to reflect changes in the personnel security 

program, specifically, implementation of Executive Orders 13467 and 13488; Homeland 

Security Presidential Directive-12 (HSPD-12); Presidential Policy Directive 19; and the Office 

of Personnel Management’s policy changes on investigative products. Changes also have 

been made to the NRC Drug-Free Workplace Plan.

TABLE OF CONTENTS

I. NRC ACCESS TYPES....................................................................................................... 3

A. Introduction................................................................................................................... 3

B. Position Sensitivity Criteria ........................................................................................... 4

C. Access Authorization Requests .................................................................................... 5

D. Contractual Language for Unescorted Access by NRC Contractors ............................. 9

E. Access to Safeguards Information (SGI) by NRC Contractors ....................................10

F. Access to NRC Information Technology (IT) Systems or Sensitive 

Information by NRC Contractors or Consultants .........................................................11

G. Contractors Requiring Building Access (BA) to NRC Facilities....................................13

II. INVESTIGATIONS AND DETERMINING ELIGIBILITY FOR ACCESS 

AUTHORIZATION............................................................................................................15

A. Investigations .............................................................................................................15

B. Reciprocity of “Q” and “L” Access Authorization..........................................................15
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C. Reopening of Canceled Cases ...................................................................................16

D. Pre-Appointment Investigation Waiver with No Access to Classified 

Information .................................................................................................................16

E. Circumstances Affecting Eligibility for Access Authorization .......................................17

F. Determination of Eligibility for Access Authorization ...................................................18

G. Temporary Access to Classified Information...............................................................18

H. Access Authorization for Dual Citizens .......................................................................19

I. Access Authorization for Non-U.S. Citizens ................................................................19

J. Personnel Reporting Responsibilities .........................................................................20

K. Reinvestigation Program ............................................................................................23

L. Termination of Access Authorization...........................................................................24

M. Clearance Suspension and Revocation ......................................................................24

N. Termination of Contractor Unescorted Building Access (BA), Information 

Technology (IT) Access, Power Reactor Access, and Safeguards 

Information (SGI) Access............................................................................................25

O. Badging Requirements in Homeland Security Presidential Directive-12 

(HSPD-12)..................................................................................................................25

III. CONTROL OF VISITS INVOLVING CLASSIFIED INFORMATION ................................. 25

A. Introduction.................................................................................................................25

B. General ......................................................................................................................26

C. Outgoing Visits by NRC Employees, Contractors, and Licensees...............................27

D. Incoming Visitors ........................................................................................................28

E. Visits Involving Access to Sensitive Compartmented Information (SCI)......................30

F. Visits Involving Access to Classified Information by Foreign Nationals 

Sponsored by Foreign Governments or International Organizations...........................30

G. Visits to Foreign Governments or Activities by NRC Personnel ..................................31

H. Records of Visit Requests ..........................................................................................31

IV. ASSIGNMENT OF FOREIGN REGULATORY EMPLOYEES TO THE NRC ...................31

A. Introduction.................................................................................................................31

B. Activity Plans ..............................................................................................................31

C. Assignments...............................................................................................................31

D. Background Check .....................................................................................................33

E. Assignee Agreements................................................................................................. 33

F. Security Plans ............................................................................................................34

G. Assignee Responsibilities ...........................................................................................35

H. Evaluation of Assignees .............................................................................................35
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V. NRC’S DRUG-FREE WORKPLACE PLAN .....................................................................35

A. General ......................................................................................................................35

B. NRC’s Drug Testing Program .....................................................................................36

C. Deferral of Drug Testing .............................................................................................37

D. Drug Testing when an Employee is Working under the NRC’s Flexiplace 

Program .....................................................................................................................37

E. Positive Drug Test Result ...........................................................................................37

EXHIBITS

Exhibit 1 Security Orientation Briefing for New NRC and Contractor 

Employees.........................................................................................................38

Exhibit 2 Standard Operating Procedures for Pre-Employment Screening of 

NRC Applicants ................................................................................................. 39

Exhibit 3 “Q,” “L(H),” and “L” Reinvestigation Program Requirements ..............................41

Exhibit 4 Security Clearances/Access Types....................................................................43

I. NRC ACCESS TYPES

A. Introduction 

1. The U.S. Nuclear Regulatory Commission reviews and makes eligibility 

determinations for NRC access authorization and/or employment clearance (in 

accordance with Executive Order (E.O.) 12968, “Access to Classified Information,” 

and E.O. 10450, “Security Requirements for Government Employment”), unescorted 

access to nuclear power facilities, access to Safeguards Information (SGI) (in 

accordance with E.O. 10865, “Safeguarding Classified Information Within Industry”), 

access to sensitive NRC information technology systems or data, and unescorted 

access to NRC facilities. 

2. Exhibits 1 through 4 are provided to explain in greater detail the requirements of 

Management Directive (MD) 12.3.

3. Exhibit 4 lists security clearances/access types and investigative requirements for 

those with authorized access and an established need-to-know. 

4. Personnel security and associated records maintained in accordance with the 

provisions of the NRC personnel security program are protected from public 

disclosure in accordance with the provisions of the Inspector General Act
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(5 U.S.C. App.), the Privacy Act of 1974, as amended (in accordance with MD 3.1, 

“Freedom of Information Act”; MD 3.2, “Privacy Act”; and MD 3.4, “Release of 

Information to the Public”), and are subject to the routine uses specified for NRC 

System of Records NRC-39, “Personnel Security Files and Associated RecordsNRC.” 

B. Position Sensitivity Criteria 

Position sensitivity criteria determine whether a person in a particular NRC position 

requires a “Q” or a high public trust “L(H)” security clearance on the basis of a Single 

Scope Background Investigation (SSBI) by the Office of Personnel Management (OPM) 

or the Federal Bureau of Investigation (FBI), or an “L” security clearance, as a minimum, 

on the basis of an Access National Agency Check with Inquiries (ANACI). 

1. Special Sensitive Positions of a High Degree of Importance or Sensitivity for 

Sensitive Compartmented Information (SCI) 

People in positions of a high degree of importance or designated as special-sensitive 

require an NRC “Q” access authorization based on an OPM or FBI SSBI in 

accordance with Section 145f of the Atomic Energy Act of 1954 (AEA), as amended.

These positions include— 

(a) The Chairman, 

(b) An NRC Commissioner, 

(c) The Inspector General, and 

(d) Any person who requires access to sensitive compartmented information. 

2. Positions of a Critical-Sensitive Designation that Require a “Q” Clearance 

People in certain critical-sensitive positions must have an NRC “Q” access 

authorization based on an SSBI. Functions considered critical-sensitive and requiring 

a “Q” clearance have one or more of the following characteristics:

(a) Access to Secret or Top Secret-Restricted Data or Top Secret National Security 

Information. 

(b) Access to Confidential Restricted Data involving broad naval nuclear propulsion 

program policy or direction. 

(i) Examples of Confidential Restricted Data involving broad naval nuclear 

propulsion policy or direction include preliminary safety analysis reports, final 

safety analysis reports, and any amendments to those reports. 

(ii) This does not apply to information associated with the transportation, storage, 

or disposal of naval nuclear propulsion fuel or components that are classified 

as Confidential Restricted Data.
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3. Positions of High Public Trust that Require an “L(H)” Clearance 

People in positions of high public trust require an “L(H)” access authorization based 

on an OPM SSBI. The types of functions considered to be of high public trust— 

(a) Final approval of plans, policies, or programs that directly affect the overall 

operations and direction of the NRC. 

(b) Responsibility for the planning, direction, and implementation of a computer 

security program; major responsibility for the direction, planning, and design of a 

computer system, including the hardware and software; the capability to access a 

computer system during its operation or maintenance in a way that could cause, 

or that has a relatively high risk of causing, grave damage; or the capability to 

realize a significant personal gain from computer access. 

(c) Duties performed by resident inspectors.

(d) Other duties requiring high public trust as determined on an as needed basis by 

the Deputy Executive Director for Corporate Management (DEDCM). 

4. “L” Positions of a Noncritical-Sensitive Designation

People in any NRC position not covered by Sections I.B.1 through 3 of this handbook 

require an NRC “L” access authorization based on an ANACI investigation.

C. Access Authorization Requests 

1. Employees 

(a) Requests for access authorizations (“Q,” “L(H),” or “L”) for NRC employees, 

applicants for NRC employment (anyone who has received an authorized 

conditional offer of employment), and NRC experts, panel members, and 

consultants must be submitted through the Office of the Chief Human Capital 

Officer (OCHCO) or the regional Human Resources Branch, as appropriate, to 

the Office of Administration (ADM).

(b) An NRC official in OCHCO or the regional Human Resources Branch is 

responsible for submitting NRC Form 236, “Personnel Security Clearance 

Request and Notification,” on the NRC Forms Library on SharePoint, available at 

http://portal.nrc.gov/nrcformsportal/default.asp to the Personnel Security Branch 

(PSB), Division of Facilities and Security (DFS), ADM, with a completed security 

forms packet. Upon favorable review of the access authorization request 

package, PSB will return the approved NRC Form 236 to OCHCO or the regional 

Human Resources Branch, as appropriate, indicating the level of access being 

authorized or documenting the temporary waiver of a clearance. If the outcome 

of the review is less than favorable, PSB will notify OCHCO or the regional 

Human Resources Branch. 
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(c) An applicant for an NRC access authorization must be a U.S. citizen and meet 

the investigative coverage requirements for U.S. residency for the immediate 

period before the date the applicant signed the security forms. For “Q” and “L(H)” 

clearances, the applicant must meet the immediate 10-year U.S. residency

coverage requirement. For “L” clearances, the requirement is the immediate 

7-year U.S. residency coverage period. All NRC employees must have a security 

clearance or a temporary waiver of a clearance (see Section 145b of the AEA). 

The temporary waiver is normally granted to new employees while an 

investigation is being conducted to meet the requirements for a security 

clearance. The temporary waiver does not permit employees access to classified 

information. A pre-employment review of an applicant’s background is conducted 

by PSB to provide the basis for the temporary waiver. A background 

investigation, conducted by OPM, provides the basis for granting a clearance.

(d) For "Q" and “L(H)" clearances, the required investigation will cover the last 10 

years. For "L" clearances, the investigation will cover the last 7 years. Applicants 

living overseas for extensive periods (1 year or more, excluding formal 

educational purposes) during the 7- or 10-year periods cannot be investigated in 

a timely manner in most cases. For this reason, applicants who have lived 

overseas for an extended period of time are not eligible for interim access 

authorization due to the difficulty in obtaining investigative coverage overseas. 

This may also result in a delay or the inability to process the final access 

authorization approval or clearance.

(e) A security orientation briefing must be given to NRC employees and consultants 

requiring access authorizations when they enter duty status. This briefing will 

normally be given by a representative of PSB, or in a regional office by a regional 

security representative (see Exhibit 1).

2. Contractors (Information Technology (IT) and Building Access (BA))

(a) An NRC contractor, subcontractor, or other individual who is not an NRC 

employee (for example, other Government agency personnel or licensees) 

requiring access to the local area network (LAN) and/or unescorted building 

access (BA) must submit a request for such access on NRC Form 89, “Badge 

Request.” A contractor requiring a national security clearance is processed using

NRC Form 237, “Request for Access Authorization.” The requester must forward 

this form to PSB, or, if otherwise indicated, to the approving official of the NRC 

office sponsoring the activity that requires NRC access authorization. Instructions 

are printed on the reverse side of NRC Form 237. See Section I.C.3 of this 

handbook, "Security Forms Packet for an Access Authorization Request."

(b) At contractor facilities at which NRC is not the cognizant security authority (CSA), 

access authorizations will be requested following the procedures of the CSA. 
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(c) A foreign ownership, control, or influence (FOCI) review must be completed by 

the Office of Nuclear Security and Incident Response (NSIR) with a favorable 

determination on a company before granting personnel security clearances. An 

FOCI is not required for IT access or BA. (For further guidance on FOCI, refer to 

MD 12.1, “NRC Facility Security Program,” and MD 12.2, “NRC Classified 

Information Security Program.”)

(d) All contractors requiring an NRC access authorization or a national security 

clearance must meet the investigative coverage requirements for U.S. residency 

for the immediate period before the date the contractor signed the security forms. 

For all access authorizations or “L” clearances, the requirement is the immediate 

7-year U.S. residency coverage period. For “Q” and “L(H)” clearances, the 

contractor must meet the immediate 10-year U.S. residency coverage 

requirement. A pre-employment review of a contractor’s background is 

conducted by PSB to provide the basis for an interim access authorization 

approval. A background investigation conducted by OPM provides the basis for 

granting a final access approval or clearance. Applicants living overseas for 

extensive periods (1 year or more, excluding formal educational purposes) during 

the 7- or 10-year periods cannot be investigated in a timely manner. For this 

reason, applicants who have lived overseas for an extended period of time are 

not eligible for interim access authorization due to the difficulty in obtaining 

investigative coverage overseas. This may also result in a delay or the inability to 

process the final access authorization approval or clearance.

(e) Foreign nationals (non-U.S. citizens) are not eligible for a national security 

clearance. However, at the discretion of the DEDCM, foreign nationals may be 

processed for access authorizations with access to classified information limited 

to the specific programs, projects, contracts, licenses, or grants for which there is 

a need for access, if they meet the 7- or 10-year U.S. residency requirements

(see Section II.I of this handbook for additional details). 

(f) A security orientation briefing must be given to NRC contractors granted national 

security clearances. This briefing will normally be given by a representative of 

PSB, or in a regional office by a regional security representative (see Exhibit 1 to 

this handbook). 

3. Security Forms Packet for an Access Authorization Request 

(a) Unless otherwise indicated, each request for access authorization must be 

accompanied by a properly completed security forms packet containing the 

following: 

(i) Signature pages from the Electronic Questionnaires for Investigations 

Processing (e-QIP). Applicants must complete Standard Form (SF)-86, 

“Questionnaire for National Security Positions” (QSP) (initiated by PSB in
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e-QIP), except BA applicants who are required to complete SF-85, 

"Questionnaire for Non-Sensitive Positions.” 

(ii) Two applicant fingerprint cards (SF-87 for Federal employee applicants or 

FD-258, “FBI Fingerprint Card,” for contractors) (available from OCHCO or 

PSB), or equivalent electronic fingerprint images. 

(iii) NRC Form 176, “Security Acknowledgment/Access Authorization.” 

(iv) Résumé (for NRC applicants; not required for contractors). 

(v) NRC Form 236 (for NRC employees) and NRC Form 237 (for contractors or 

licensees). 

(vi) OF-306, “Declaration for Federal Employment” (available from OCHCO or 

PSB) (required for NRC employees and BA contractors). 

(vii) Reference checks (not required for contractors or licensees).

(viii) Education verification (not required for contractors or licensees). 

(ix) NRC Form 448, “Request for Appointment of a Consultant, Expert, or 

Member” (for consultants; not required for contractors, NRC applicants, or 

licensees). 

(x) NRC Form 89 (for NRC contractors; not required for NRC employees, 

licensees, or consultants). 

(b) PSB will return requests for access authorization to the requester if— 

(i) All security forms are not completed and signed as required. 

(ii) The printed content of the security or release form is altered. 

(iii) Required information is not provided. 

(iv) The forms are illegible. 

(v) The “Certification and Authorization for Release of Information” pages on the 

SF-86 are not signed. 

(c) Information entered on the forms in the security packet will be used in 

conjunction with any other relevant information to determine an applicant’s initial 

or continued eligibility for an access authorization, an employment clearance, 

unescorted access to nuclear power facilities, access to SGI, or access to 

sensitive NRC IT systems, data, or facilities. 

4. Cancelled or Withdrawn Request 

When a request for an applicant's access authorization is to be withdrawn or 

cancelled, PSB should be notified immediately by telephone or e-mail so that the 

investigation may be promptly discontinued. The notification should contain the full 
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name of the applicant, the date of the request, and the type of access authorization 

being cancelled. Telephone notifications must be promptly confirmed in writing to 

PSB. 

D. Contractual Language for Unescorted Access by NRC Contractors 

1. Sponsoring Office Responsibilities for Unescorted Access of NRC Contractors 

(a) The NRC sponsoring office must decide whether performance in accordance with

an NRC contract, interagency agreement (IAA), or memorandum of 

understanding (MOU) will involve unescorted access to nuclear power facilities, 

access to SGI, access to NRC IT systems or sensitive information, or BA. For 

these contracts, the sponsoring office must state on the appropriate procurement 

request document that— 

(i) “This contract requires unescorted access to nuclear power facilities by 

contractor employees,” or “This contract requires contractor access to nuclear 

power reactor SGI,” or “This contract requires access to NRC information 

technology systems or sensitive information.” 

(ii) “This contract requires continuous unescorted access (in excess of 30 

calendar days) to NRC Headquarters or regional office facilities, or otherwise 

requires NRC photo-identification or keycard badges.” 

(b) Include NRC Form 187, “Contract Security and/or Classification Requirements,” 

available on the NRC Forms Library on SharePoint, according to the

requirements of MD 11.1, “NRC Acquisition of Supplies and Services.” (See MD 

12.1 for escort and badge responsibilities, and security requirements outlined in 

the MD 11.1, Handbook.) 

2. Unescorted Access at Nuclear Power Reactor Facilities 

Individual contractors requiring unescorted access to protected and vital areas of 

nuclear power facilities (and IT Level II access, if applicable) will be approved in 

accordance with the following procedures:

(a) Interim Approval 

Interim approvals may be obtained by two methods:

(i) For the first method, the contractor employee must submit to PSB through the 

NRC COR a completed personnel security forms packet, including an SF-86.

DFS will conduct criminal history and credit checks. On the basis of the result 

of these checks, DFS will determine the contractor employee’s eligibility for 

interim access and will indicate “objection” or “no objection” to the sponsoring 

office, pending completion of the required background investigation.
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(ii) For the second method, the contractor employee will be fingerprinted by the 

facility and those fingerprints will be submitted to the NRC's Criminal History 

Program for processing. In addition, the applicant will be subject to the utility's 

access authorization program. 

(b) Final Approval 

Final access approval will be granted after— 

(i) The required investigation on the applicant has been completed and has 

received a favorable adjudicative review, resulting in NRC's endorsement of 

the applicant's unescorted access at all nuclear facilities, as long as the 

individual employee is employed on the contract, and provided no new issue 

or information is developed that may bring the applicant’s eligibility into 

question. 

(ii) The contractor has obtained unescorted access authorization (other than 

interim access) at the specific facility through that utility's access authorization 

program. 

(iii) The applicant possesses a valid Federal Government-issued security 

clearance as verified by DFS. 

(c) Resolving Questions of Eligibility 

The investigation described in Section I.D.2(b)(i) of this handbook may involve an 

ANACI or other investigation as PSB deems necessary. PSB, DFS, ADM, will 

resolve any question regarding the contractor employee's eligibility for 

unescorted access to protected or vital areas of nuclear power facilities before 

granting a final approval.

(d) Notification of Unusual Circumstances 

Contractors who possess interim or final unescorted access to nuclear power 

facilities or access to SGI are subject to the reporting requirements set forth in 

Section II.J of this handbook. The security officer or designee must promptly 

report the circumstances to the Director of DFS.

E. Access to Safeguards Information (SGI) by NRC Contractors 

The NRC sponsoring office must decide whether performance in accordance with an 

NRC contract will involve access to SGI. This access may require a National Agency 

Check with Inquiry (NACI) or other investigation as PSB deems necessary. On the basis 

of the review of the applicant's security forms by PSB, and/or the receipt of adverse 

information by NRC, the individual may be denied access to SGI until a final 

determination of eligibility for access is made. SGI access for contractor employees may 
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be granted in accordance with licensee programs. See MD 12.6, “NRC Sensitive 

Unclassified Information Security Program,” for further information.

F. Access to NRC Information Technology (IT) Systems or Sensitive Information by 

NRC Contractors or Consultants 

1. The Executive Director for Operations approves the sensitivity criteria to be used in 

determining whether individual contractor employees require IT Level I or Level II 

approval for access to NRC IT systems or sensitive information. An IT Level I or 

Level II approval requires a background investigation. IT Level I or Level II access is 

also required for contractors working offsite with sensitive unclassified information.

2. Before starting work, contractors requiring IT access (either Level I or Level II) must 

be granted either an interim access or a final access based on a background 

investigation. A pre-employment review of an applicant’s background is conducted 

by PSB to provide the basis for interim access. A more thorough investigation 

covering the last 7 years, conducted by OPM, provides the basis for granting final 

access. Applicants living overseas for extensive periods (1 year or more, excluding 

formal educational purposes) during the 7-year period cannot be investigated in a 

timely manner. For this reason, applicants who have lived overseas for an extended 

period of time are not eligible for interim access authorization due to the difficulty in 

obtaining investigative coverage overseas. This may also result in a delay or the 

inability to process the final access authorization approval or clearance.

(a) IT Level I 

IT Level I involves responsibility for the planning, direction, and implementation of 

a computer security program; major responsibility for the direction, planning, and 

design of a computer system, including the hardware and software; the capability 

to access a computer system during its operation or maintenance in a way that 

could cause or that has a relatively high risk of causing grave damage; or the 

capability to realize a significant personal gain from computer access. These

positions may involve— 

(i) Responsibility for the development, direction, implementation, and 

administration of NRC computer security programs, including direction and 

control of risk analysis or threat assessment. 

(ii) Significant involvement in life-critical or mission-critical systems. 

(iii) Responsibility for preparing or approving data for input into a system that 

does not necessarily involve personal access to the system but creates a high 

risk for grave damage or realizing significant personal gain. 
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(iv) Relatively high-risk assignments associated with or directly involving the 

accounting, disbursement, or authorization for disbursement from systems of 

either— 

• Dollar amounts of $10 million per year or greater; or 

• Lesser amounts if the activities of the individual are not subject to 

technical review by higher authority at the IT Level I to ensure the integrity 

of the system. 

(v) Positions involving major responsibility for the direction, planning, design, 

testing, maintenance, operation, monitoring, and/or management of systems 

hardware and software. 

(vi) Other positions that involve relatively high risk for causing grave damage or 

realizing significant personal gain. 

(b) IT Level II 

IT Level II includes all other individuals with access to IT systems or sensitive 

information, including those needing an NRC LAN account.

3. Individual contractor employees requiring access will be approved for access in 

accordance with the following procedures. 

(a) Interim Approval

(i) The contractor employee will submit a completed personnel security forms 

packet to PSB through the NRC COR (see Section I.C.3 of this handbook). 

(ii) The COR will forward the completed security forms packet to PSB for preemployment checks. 

(iii) PSB will conduct criminal history and credit checks, review form SF-86, 

“Questionnaire for National Security Positions,” and determine the contractor 

employee's eligibility for interim access. PSB will issue a memorandum 

reflecting interim approval or disapproval to the COR and sponsoring office, 

pending completion of the required background investigation. 

(b) Resolving Questions of Eligibility 

On the basis of PSB review of the contractor employee's security forms, 

background investigation, and/or the receipt of issue information, the Chief of 

PSB may deny a contractor employee access to NRC IT systems or sensitive 

information until a final determination of eligibility for access is made.

(c) Final Approval or Disapproval 

Upon receipt of the complete OPM background investigation, PSB will adjudicate 

the case. A final letter will be issued by PSB to the contracting officer’s 
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representative (COR) and sponsoring office indicating approval or denial for IT 

Level I or Level II access.

G. Contractors Requiring Building Access (BA) to NRC Facilities 

1. The number of escorted contractors working in the building should be minimized. 

The NRC sponsoring office must decide whether performance in accordance with an 

NRC contract, purchase order, IAA, MOU, or similar agreement will involve 

unescorted BA (in excess of 30 calendar days) or requires an NRC photoidentification or keycard badge to NRC headquarters buildings or regional office 

facilities. If it is determined that the work will take more than 30 calendar days, or that 

the work requires a photo-identification badge, approval for unescorted BA must be 

received by PSB before the onsite work begins. For these contractual or other similar 

arrangements or agreements requiring unescorted BA to NRC facilities, the COR 

and sponsoring office must include NRC Form 187 with Section 5.F. checked. 

2. Individual contractor employees or other individuals requiring BA will be approved for 

continuous unescorted access in accordance with the following procedures: 

(a) Contractor Building Access Procedures 

Approval for granting contractors unescorted BA must be based on 10 years of 

investigative coverage in the United States. Contractors with less than 5 years of 

investigative coverage in the United States may be granted unescorted BA with 

restrictions specified by PSB, such as going through lobby visitor screening 

procedures before each entry to the building.

(b) Interim Building Access Approval or Denial 

(i) The contractor will submit the following information to PSB through the NRC 

headquarters or regional COR: a completed e-QIP SF-85,

OF-306, two FD-258s (or electronic fingerprints), and NRC Form 89. All 

foreign nationals or naturalized citizens must provide original legal residence 

documentation (for example, a naturalization certificate or a resident card) in 

person to PSB. For regional offices, the OCHCO representative may conduct 

this verification and forward it to PSB. 

(ii) On the basis of PSB review of the applicant's security forms and credit and 

criminal history, PSB will determine the applicant's eligibility for interim access 

and will issue a memorandum reflecting interim approval or denial to the 

COR, pending completion of the required preliminary checks.
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(c) Final Approval or Denial 

Final unescorted BA approval will be granted under one of the following 

conditions:

(i) Upon receipt of the complete OPM background investigation, PSB will 

adjudicate the case. A final letter will be issued by PSB to the COR and 

sponsoring office indicating approval or denial for BA. 

(ii) As determined by PSB, the applicant possesses a valid NRC access 

approval, security clearance, or equivalent investigation conducted by an 

authorized Federal investigative agency (the investigation must be within the 

most recent 5 years). 

(d) Reinvestigation for Building Access (BA) and Childcare Contractor Cases

(i) BA is valid for 10 years from the initial approval date, provided that the 

individual remains employed in accordance with an NRC contract, MOU, IAA, 

or similar arrangement. Each individual who is approved for unescorted BA

must be recertified every 10 years from the date of the initial approval and 

each subsequent reinvestigation. 

(ii) Childcare BA approvals are valid for 5 years from the date of initial approval, 

provided the individual remains employed in accordance with the NRC 

Childcare Contract. Each individual who is approved for unescorted access in 

accordance with the NRC Childcare Contract must be recertified every 5 

years from the date of the initial approval and each subsequent 

reinvestigation.

(iii) For each subsequent recertification, the contractor will submit a new e-QIP

SF-85 and two FD-258s to PSB, through the NRC headquarters or regional 

COR, for each individual who requires reinvestigation. With timely application 

and in the absence of any adverse information, the individual will maintain 

unescorted BA pending reinvestigation. If the contractor fails to submit a 

timely application, unescorted BA approval will expire at the end of the 5-year 

period and the individual will be denied unescorted access to NRC facilities. 

(e) Resolving Questions of Eligibility 

Any questions regarding the individual's final eligibility for continuous unescorted 

BA to NRC facilities on the basis of the OPM investigation will be resolved 

between the individual and PSB. PSB will contact the individual to obtain further 

information in an effort to mitigate any concerns that may affect the approval to 

continue the individual’s unescorted access. The individual is provided an 

opportunity to give additional information and to appeal a denial of building 

access to the director of DFS.
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3. A contractor employee or other individual requiring unescorted BA will not be 

provided unescorted access to NRC facilities until being approved for interim or final 

access in accordance with these procedures.

4. NRC CORs may be issued a security infraction, as described in MD 12.1 for 

situations in their which contractors do not follow the access procedures of MD 12.3. 

Examples may include when a contractor requires access for more than 30 calendar 

days and does not receive access approval from PSB, or when a contractor is 

denied access and is subsequently escorted into the building for work.

5. Any exception to the requirements of this section requires the approval of the 

Director of DFS. For example, the need to escort contractors to work within NRC 

space for more than 30 calendar days may warrant a possible exception. Other 

possible exceptions may include situations in which escort requirements could be 

relaxed if the escort would be subjected to hazardous conditions.

II. INVESTIGATIONS AND DETERMINING ELIGIBILITY FOR ACCESS 

AUTHORIZATION

A. Investigations 

1. The hiring or employing office, in coordination with OCHCO and the Director, DFS, 

must determine the position sensitivity, using the criteria specified in Section I.B of 

this handbook, before requesting access authorization for the following individuals: 

NRC employees, applicants for employment, consultants, experts, and panel 

members. The access authorization or similar access approval level or type of 

investigation required for NRC contractor and subcontractor employees will usually 

be determined on the basis of the employee’s classified access requirements; 

access to SGI, NRC IT systems, or sensitive information; or need for unescorted 

access to nuclear power facilities, NRC headquarters, or regional office facilities. 

2. Instead of an OPM report of investigation, NRC may accept an investigation for a 

position of high public trust from another Federal Government department or agency 

that conducts personnel security investigations (current within the most recent

5 years), provided that an equivalent investigation and access authorization have

been granted to the individual on the basis of an investigation and report.

B. Reciprocity of “Q” and “L” Access Authorization 

1. An NRC “Q,” “L,” and an “L(H)” access authorization may be granted by NRC if a 

pre-existing equivalent investigation is less than 5 years old, meets the required level 

of the clearance requested, and is linked with separation of employment of 2 years or 

less. An SF-86 may be required. 
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2. Except when an agency has substantial information indicating that an employee may 

not satisfy the eligibility standards for an access authorization, background 

investigations and eligibility determinations conducted by other competent Federal 

authorities will be accepted. 

C. Reopening of Canceled Cases 

A canceled case is any request that is canceled before the investigation is completed. If 

more than 90 days have passed since the security forms originally submitted were 

signed, an individual will be required to update, re-sign, re-date, and resubmit the 

security forms to reopen the canceled case.

D. Pre-Appointment Investigation Waiver with No Access to Classified Information 

1. The DEDCM is authorized to approve the employment of an individual before 

completion of the security investigation and the reports required by Section 145b of 

the AEA. This authority may not be redelegated and is limited to situations in which 

the individual will not have access to classified information. Also, there must be an 

affirmative recommendation from the Director of DFS and a clear need shown by the 

requesting organization to use the services of that individual while the required 

security investigation is pending. 

2. All waivers must be submitted on NRC Form 236 and must meet the following 

criteria:

(a) The waiver must be requested by the office director, the deputy office director, or 

his or her designee; or by the regional administrator, the deputy regional 

administrator, or his or her designee. 

(b) The waiver must be justified by indicating that a serious delay or interference to 

an essential NRC operation or program will occur unless the individual is 

employed with a waiver as soon as possible. 

(c) The waiver must indicate that the hiring office will establish administrative 

controls to ensure that the individual will not have access to classified National 

Security Information (NSI) or Restricted Data (RD) until the appropriate access 

authorization is granted. 

(d) The waiver must be concurred on by the CHCO, or his or her designee; the 

Director of DFS; and if regional personnel are involved, the Human Resources 

Branch. 

3. OCHCO and PSB must process all Section 145b AEA requests under Exhibit 2 of 

this handbook. OCHCO or the regional Human Resources Branch, when applicable, 

must provide PSB with the results of pre-employment checks (reference checks)
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conducted for NRC applicants who are being considered for employment under 

Section 145b of the AEA. 

4. An exception to personal reference checking for consultants or experts may be 

recommended to OCHCO by the office director or the regional administrator in those 

cases in which the consultant or expert is known to be highly regarded and 

respected in the professional community. This recommendation must be reflected on 

NRC Form 236. 

5. In the case of students being considered for temporary summer appointments, 

personal reference checks must be conducted under the procedures specified in 

Exhibit 2 of this handbook. 

E. Circumstances Affecting Eligibility for Access Authorization 

1. The circumstances that may affect a person’s initial or continued eligibility for NRC 

access authorization, employment clearance, unescorted access to nuclear power 

facilities, access to SGI, or access to NRC IT systems or sensitive information are 

listed in 10 CFR 10.11, “Criteria,” and 32 CFR Part 147, “Adjudicative Guidelines for 

Determining Eligibility for Access to Classified Information.” These matters must be 

promptly reported to the Director of DFS by the person’s designated employment 

official. In addition, the individual must adhere to the requirements of Section II.J of 

this handbook.

2. In the case of contractor personnel, the circumstances must be reported promptly to 

the Director of DFS by the contracting officer, the COR, or other person so 

designated. 

3. The reporting requirements of Section II.J.11 of this handbook do not excuse an 

individual from the requirement to report to PSB an arrest as required by the QSP 

(SF-86), the security acknowledgment (NRC Form 176), or other forms signed by the 

individual. The arrest must be reported within 5 workdays. 

4. Individuals are encouraged and expected to report any information that raises doubts 

as to whether another individual's continued eligibility for access to classified 

information is clearly consistent with national security. 

5. NRC employees and designated management officials are encouraged to seek 

information and assistance available from the NRC Employee Assistance Program 

Manager in accordance with MD 10.122, “Employee Assistance and Wellness 

Services Program,” concerning issues that may affect an individual's eligibility for 

security clearance, including sources of assistance about financial matters, mental 

health, and substance abuse. NRC contractor personnel and others may seek 

assistance from similar financial, health, and substance abuse organizations in the 

local community. 
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F. Determination of Eligibility for Access Authorization

1. Except as provided for in Section II.I of this handbook, an NRC “L,” “L(H),” or “Q” 

access authorization (security clearance) will be granted only to employees and 

contractors who are U.S. citizens, for whom an appropriate investigation has been 

completed, and whose personal and professional history affirmatively indicates: 

loyalty to the United States, strength of character, trustworthiness, honesty, 

reliability, discretion, and sound judgment, as well as freedom from conflicting 

allegiances and potential for coercion, and willingness and ability to abide by 

regulations governing the use, handling, and protection of classified information. The 

determination of eligibility for access authorization will be consistent with 10 CFR 

Part 10. 

2. Applicants for NRC security clearances at the “L,” “L(H),” or “Q” level will be required 

to sign an SF-312, “Classified Information Nondisclosure Agreement,” (available from 

PSB) before the granting of the security clearance. 

3. The SF-312 is executed in accordance with Executive Orders (E.O.s) 12968 and 

13526. Additionally, 10 CFR 25.23 and 95.33 also apply to licensee personnel. The 

SF-312 is an agreement between the UNITED STATES and an individual who is 

cleared for access to NSI. Before an individual is granted a security clearance, he or 

she must attend a security briefing and execute an SF-312. The term “individual” 

refers to all NRC employees, contractors, licensees, and those who the Commission 

deems as needing access to classified information requiring an NRC access 

authorization. Those requiring a badge will be issued one indicating the level of 

access granted after they sign the SF-312. 

4. The determination of eligibility for contractor access will be consistent with 10 CFR

Part 10. BA contractors will be afforded due process if derogatory information is 

developed that could result in BA being denied or revoked. The contractor employee 

must be provided written notification of the grounds for the denial or revocation by 

the Chief of PSB. The Director of DFS makes the final determination for BA in the 

best interest of NRC.

G. Temporary Access to Classified Information 

1. Only the Commission may grant temporary access authorization for access to RD. 

2. Requests for temporary access to classified information must be forwarded to PSB in 

the same manner as requests for access authorization and must include the forms 

and information specified in Section I.C of this handbook. These requests also must 

include a justification from the NRC sponsoring office that a serious delay or 

interference in an operation or project essential to an NRC program may be 

experienced unless the designated individual is granted immediate access to 

classified information. 
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3. OCHCO or the regional Human Resources Branch, as appropriate, must provide 

PSB with the results of the pre-employment checks on NRC applicants who are 

being considered for temporary access to classified information authorization (see 

Exhibit 2 to this handbook for the scope of the required pre-employment checks). 

4. If PSB evaluation of the information developed on an individual is unfavorable, PSB

will inform the requesting office and, if applicable, OCHCO of its determination in the 

matter. 

H. Access Authorization for Dual Citizens 

A dual citizen is a U.S. citizen who concurrently holds citizenship with a foreign country. 

When adequately supported, a dual citizen may be processed for an "L," "L(H)," or "Q" 

access authorization. In addition, the investigative coverage must be obtainable for the 

immediate 10-year retrospective period.

I. Access Authorization for Non-U.S. Citizens 

1. As provided for in E.O. 12968, where there are compelling reasons in furtherance of 

the NRC's mission, individuals who possess a special expertise may, at the 

discretion of the DEDCM, be granted an NRC “L,” “L(H),” or “Q” access authorization 

with access to classified information limited to the specific programs, projects, 

contracts, licenses, certificates, or grants for which there is a need for access. These 

individuals will not be eligible for access to any greater level of classified information 

than the U.S. Government has determined may be releasable to the country of which 

the subject is currently a citizen, and limited access may be approved only if the 

previous 10 years of the subject's life has been within the United States and can be 

appropriately investigated. This clearance will only be valid at the NRC as specified 

in E.O. 12968, Section 2.6. 

2. An interview with the applicant will be conducted and include the following: 

(a) The individual’s statement and disclosure of national allegiance; 

(b) The applicant’s intent as to permanent residence in the United States; 

(c) The applicant’s general attitude toward the United States versus the other

country of the applicant's citizenship; 

(d) The applicant’s eligibility and intention to maintain dual citizenship (if the 

applicant is a dual citizen);

(e) The applicant’s previous civilian or military service with a foreign government, if 

any;

(f) The names of the applicant’s family or other relatives who live abroad or are 

employed by a foreign government; and 
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(g) The names and addresses of U.S. citizens who can furnish information as to the 

applicant's background and activities outside the United States. 

3. A verbatim transcript or detailed summary of the interview will be maintained and 

provided to the applicant upon request. 

4. If PSB concludes that adequate support exists to initiate the investigation, the 

pertinent record will be forwarded to the investigation agency. An SSBI will be 

required for an “L” or “Q” access authorization. 

5. If PSB concludes that there are significant issues in the case that will require further 

review, the NRC sponsor will be informed. 

J. Personnel Reporting Responsibilities 

1. All NRC employees, consultants, experts, panel members, contractors, and 

licensees are required to abide by the security reporting requirements; the 

responsibility is an important part of the "continuing evaluation" process to maintain 

eligibility for an NRC security clearance/access authorization. Individuals must report 

to PSB the following information 5 days of an event occurring. Failure to timely report 

the following information could result in disciplinary action and/or affect eligibility for a 

security clearance: 

(a) Arrests, charges, or detentions; 

(b) Involvement in civil court actions; 

(c) Change in marital status (including legal separation); 

(d) Change of name; 

(e) Change in cohabitation; 

(f) Outside employment that creates a conflict of interest; 

(g) Foreign national contacts including business or personal contacts; 

(h) Travel to a foreign country for which the U.S. Department of State has issued a 

travel warning (travel warnings can be found at http://travel.state.gov/travel/); 

(i) Any arrests and detentions, issues with customs or law enforcement, or concerns 

that you were being followed or monitored while on official or unofficial travel;

(j) Travel to a foreign country where a passport other than a U.S. passport is used 

to enter or leave the country;

(k) Enrollment in a drug or alcohol treatment program; 
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(l) Changes in financial status (notice of debt collection, bankruptcy, collection 

activity, foreclosure, Federally guaranteed loans, tax liens, or failure to file or pay 

Federal or State taxes); or

(m)Treatment for emotional, mental, or personality disorders (except marriage, grief, 

or family counseling). NOTE: Employees are encouraged to seek help for mental 

health and/or addictions issues. This treatment is not automatically adverse to 

maintaining a national security clearance. 

2. Employees will be required to acknowledge these reporting requirements annually to 

encourage compliance.

3. In addition, employees have an obligation to promptly report any information that 

raises doubts as to whether someone's continued eligibility for access to classified 

information is clearly consistent with national security. In addition to the items listed 

above, reportable information includes, but is not limited to— 

(a) Use of intoxicating beverages habitually to excess without evidence of 

rehabilitation or reformation or being hospitalized or treated for alcohol abuse. 

(b) Use of, trafficking in, sale, transfer, or possession of a drug or other substance 

listed in the Controlled Substances Act, Title II of the Comprehensive Drug 

Abuse Prevention and Control Act of 1970, as amended (except as prescribed by 

a physician licensed to dispense drugs in the practice of medicine), without 

evidence of rehabilitation or reformation. 

(c) Commission of, attempted commission of, or conspiracy to commit any act of 

sabotage, treason, or sedition. 

(d) Holding membership in, with the intention of furthering the aims of, or actively 

participating in any foreign or domestic organization or group that advocates the 

commission of illegal acts by force or violence. 

(e) Advocating or participating in the activities of a group or organization that has as 

its goal revolution by force or violence to overthrow the Government of the United 

States, or the alteration of the form of the Government of the United States by 

unconstitutional means, with the knowledge that this support will further the goals 

of the group or organization. 

(f) Renouncing U.S. citizenship or representing a foreign nation in activities that may 

be contrary to national security of the United States. 

(g) Parent(s), brother(s), sister(s), spouse, or offspring living in a nation whose 

interests may be adverse to the interests of the United States, or in satellite 

states or occupied areas. 
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(h) Observing or having knowledge of another individual who willfully violates or 

disregards security or safeguards regulations. 

(i) Refusing to testify before a congressional committee, a Federal or State court, or 

a Federal administrative body regarding charges relevant to eligibility for NRC 

security access authorization. 

(j) Engaging in any conduct or being subject to any circumstances that tend to show 

the individual is not reliable, honest, or trustworthy and without evidence of 

reformation. 

(k) Any criminal conduct including arrests, charges (including charges that are 

dismissed), allegations or admissions of criminal conduct, and/or detentions by 

Federal, State, or other law enforcement authorities for any violation of any 

Federal, military, State, county, or municipal law, regulation, or ordinance other 

than minor traffic violations for which a fine of $300 or less was imposed, 

occurring during any period in which they hold an NRC security clearance.

(l) Being hospitalized or entering an institution for the treatment of a mental or 

emotional problem, or otherwise being treated for a mental illness or other 

condition that may cause a significant defect in judgment or reliability. 

(m)Any employment or association or change in employment or association with a 

foreign or foreign-owned interest or representatives. 

(n) Contact with persons, including foreign nationals, who seek in any way to obtain 

unauthorized access to classified information. 

(o) Effort by any individual to obtain or gain unauthorized access to classified 

information or special nuclear material.

(p) Any financial considerations that indicate an inability or an unwillingness to 

satisfy debts. Examples include— 

(i) Not meeting financial obligations, such as a mortgage foreclosure, 

bankruptcy, debt collections, charge-offs, or failure to pay State and Federal 

taxes;

(ii) Financial problems linked to gambling, drug abuse, alcoholism; or

(iii) Other financial issues. 

4. Not all reportings are deemed derogatory and affect a security clearance.

5. Individuals who marry or cohabitate in a spouse-like relationship after they have 

submitted an SF-86 must furnish PSB with an original NRC Form 354, “Data Report 

on Spouse,” available on the NRC Forms Library on SharePoint.
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K. Reinvestigation Program 

1. The NRC reinvestigation program is designed to ensure the continued eligibility for 

access authorization of individuals employed by the NRC. The program applies to all 

those who possess “Q,” “L(H),” or “L” access authorization, including— 

(a) NRC employees, consultants, experts, and panel members;

(b) Former Chairman and Commissioners who retain their clearances after 

terminating their employment when continued access to classified information is 

required in the conduct of the NRC's activities; 

(c) Congressional staff members cleared by the NRC;

(d) Employees and consultants of NRC contractors and licensees; and

(e) All others who possess an NRC access authorization. 

2. PSB must re-evaluate the continued eligibility of those individuals cleared (see 

Exhibit 3 to this handbook for “Q” and “L” reinvestigation requirements). 

3. PSB will initiate a reinvestigation every 5 years for “Q” and “L(H)” (high public trust) 

clearances and every 10 years for “L” clearances. PSB will notify the individuals who 

are to be reinvestigated and the dates by which they are to complete the security 

forms in e-QIP. In addition, PSB will advise the former Chairman and Commissioners 

who have retained their NRC security clearances, congressional staff members, and 

contractor organizations directly. 

4. Each individual must complete the security forms in e-QIP and return the forms to 

PSB by the specified date. If a Government employee or contract employee fails to 

submit the forms by the specified date, PSB will take additional steps to further notify 

the individual, up to and including notification to the division director, who may be 

administratively terminated.

5. Upon favorable review of the investigation, PSB will provide OCHCO with an Official 

Personnel Folder copy of the certification of investigation to be retained in the 

employee’s personnel file. 

6. Individuals approved for access authorizations are subject to continuous monitoring 

requirements as set forth by OPM criteria which is subject to change at OPM’s 

discretion.
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L. Termination of Access Authorization 

1. Access authorization will be terminated and a security termination statement (NRC 

Form 136, “Security Termination Statement”) must be signed when— 

(a) An NRC employee, consultant, or contractor is separated from employment with 

NRC. 

(b) A non-NRC employee is separated for a period of over 90 calendar days or more 

from activities for which he or she was granted an access authorization. 

(c) Access authorization is no longer required. 

2. Upon the voluntary or involuntary separation (for example, death) from employment 

or the revocation of clearance of a person who holds an NRC access authorization, 

the employing office at headquarters or the regional office or facility (for example, an 

NRC contractor) must, at a minimum— 

(a) Provide prompt notification of the termination of employment to PSB. 

(b) Ensure that all classified and sensitive unclassified documents charged to the 

person are accounted for and properly disposed of. 

(c) Arrange for the immediate return of badges, passes, and other forms of official 

identification to the responsible NRC security point of contact. 

(d) Notify PSB to remove the individual’s name from all access lists. 

(e) Ensure that combinations to which the person had access are changed. 

(f) Arrange for the person's name to be removed from access permissions to critical 

or sensitive areas, such as telephone closets and computer rooms. 

3. The completed and signed security termination statement must be forwarded to PSB

for retention. 

4. In the case of the disability of a person when it is apparent that the disability will 

render the individual unable to perform his or her duties for at least 6 months, the 

sponsoring office or COR must promptly notify PSB. Measures similar to those 

specified in Sections II.L.2(b) through (f) of this handbook, determined on a case-bycase basis, must be used. 

M. Clearance Suspension and Revocation 

The process for clearance suspension and/or revocation is contained in 10 CFR Part 10.

1. An NRC employee whose clearance has been suspended is subject to indefinite 

suspension pending a final determination on eligibility for continuance of his or her 

security clearance.
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2. A contractor whose clearance has been suspended will be removed from the NRC 

contract pending the outcome of the suspension review and the final determination.

3. When a licensee employee’s clearance is suspended, the licensee is notified of the 

suspension. Continued employment of the individual is at the licensee’s discretion, 

barring any access to classified information.

4. Any individual whose clearance has been suspended may not access any level of 

classified information or NRC sensitive information until a final determination is 

reached.

5. In accordance with Presidential Policy Directive (PPD) 19, “Protecting 

Whistleblowers with Access to Classified Information,” signed by President Obama 

on October 10, 2012, the U.S. Nuclear Regulatory Commission (NRC) has instituted 

a review process that permits employees to appeal actions affecting eligibility for 

access to classified information (i.e., adversely affecting their security clearance) that 

they allege have been taken in retaliation for protected disclosures (whistleblowing).

N. Termination of Contractor Unescorted Building Access (BA), Information 

Technology (IT) Access, Power Reactor Access, and Safeguards Information (SGI) 

Access

The NRC sponsoring office or COR must immediately notify DFS in writing when a 

contractor employee no longer requires unescorted access to nuclear power facilities, 

NRC headquarters, or regional office facilities; or access to SGI, NRC IT systems, or 

sensitive information.

O. Badging Requirements in Homeland Security Presidential Directive-12 (HSPD-12)

As a condition of being issued an NRC Personal Identity Verification Badge (PIV), 

Homeland Security Presidential Directive 12 (HSPD-12) requires new employees and 

contractor employees to provide two forms of identification at the time of fingerprinting 

and photo collection for the NRC badge. More detailed information can be found on the 

NRC internal Web site at http://www.internal.nrc.gov/ADM/index.html. 

III. CONTROL OF VISITS INVOLVING CLASSIFIED INFORMATION

A. Introduction 

This section provides standards and procedures for the protection of classified 

information involved in the course of visits to NRC, or visits by NRC employees and 

NRC contractors to other Government agencies and contractors.
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B. General 

1. Before disclosing classified information to any visitor, the sponsoring office must 

confirm the visitor's identity, need-to-know, and level of access authorization. 

2. NRC or contractor officials (for example, supervisors) must ensure that visit requests 

are submitted at least 7 workdays before the visit to allow for timely notification of the 

person or facility to be visited. 

3. Continuing visit approval for 1 year or less may be granted for repeated visits to the 

NRC, the U.S. Department of Energy (DOE), or other facilities. A single visit request 

form may be used if the repeated visits are to the same facility and involve the same 

individuals, the same level of classified information (for example, Secret), and the 

same type of classified information (for example, RD). 

4. Visit requests of an unusual or emergency nature for which timely notification cannot 

be given may be transmitted to PSB by facsimile, telephone, or e-mail. Telephone 

arrangements must be immediately confirmed with PSB in writing. Visit requests that 

are not in writing or that do not provide timely notification may not be accepted at 

some facilities. 

5. Classified information must not be given to individuals who possess a no clearance 

(NC) HSPD-12 badge. 

6. Access to classified information other than that authorized in the visit request must 

not be granted, regardless of the level of access authorization stipulated for the 

visitor. 

7. The NRC office, NRC contractor, or other NRC activity visited must establish 

appropriate administrative controls over the activity of approved visitors to ensure 

that they are given access only to the authorized classified information. 

8. Neither classified nor unclassified naval nuclear propulsion information may be 

disclosed to individuals who are not U.S. citizens or to others not authorized access 

to this information. 

9. If appropriate, the visitor should confirm in advance with the facility to be visited that 

necessary approvals have been received. 

10. Access to RD requires a “Q” or “L” access authorization, depending on the 

classification level of the RD, except as provided in Section I.D.1 of this handbook. 

11. Visits to NRC offices or divisions, except as indicated in Section I.C.1(a) of this 

handbook, to NRC contractors, to other NRC facilities, or to other Government 

agencies involving classified information must be requested on NRC Form 277, 

“Request for Visit or Access Approval,” or in an appropriate written request 

containing the following information: 
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(a) Identity of each visitor, including full name, social security number, citizenship, 

date of birth, place of birth, and organization with which the visitor is affiliated. 

(b) Access classification level and type of information (for example, RD or NSI). 

(c) Access authorization level (“Q,” “L,” Top Secret, Secret, or Confidential) and the 

need-to-know of each person certified by an appropriate official. 

(d) Purpose of the visit. 

(e) Name and location of facility(ies) to be visited. 

(f) Anticipated dates of visit and names of persons to be visited. (If a conference is 

involved, provide the date, place, and sponsor of the conference.) 

(g) Name, title of position, organization, and telephone number of the person who 

prepared the request.

12. Requests for visits to the NRC, NRC contractors, or other NRC facilities by 

individuals outside NRC should be faxed to (301) 415-0245 or sent to the following 

address:

U.S. Nuclear Regulatory Commission

Chief, Personnel Security Branch

Division of Facilities and Security

11555 Rockville Pike

Rockville, MD 20852

13. Classified notes or other classified records must not be released to a visitor to take 

outside the facility without the express permission of the person visited. If the visit is 

concerning a conference or other such activity, the express permission of the person 

responsible for the activity must be obtained. Also, records that are released must be 

protected in accordance with MD 12.2, “NRC Classified Information Security 

Program,” and the Freedom of Information Act of 1966 (5 U.S.C. 522). 

C. Outgoing Visits by NRC Employees, Contractors, and Licensees 

1. For visits by NRC employees, contractors, and licensees to NRC headquarters, 

regional offices, and the Technical Training Center, a request for visit or access 

approval (NRC Form 277) is not necessary. The NRC cleared individual's HSPD-12 

photo-identification badge will serve to identify the individual and the access 

authorization held. 

2. For visits to NRC contractors, licensees and their related facilities, and other 

Government agencies or their contractors, NRC cleared individuals should submit 

NRC Form 277 to PSB at least 7 workdays before the initial date of the visit. When 

acting as representatives of the Federal Government in their official capacities, NRC 
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regional inspectors, Office of Investigations (OI) and OIG investigators, and OIG 

auditors may visit a contractor or licensee facility without furnishing advance 

notification, provided these employees present appropriate NRC credentials upon 

arrival. 

3. Access to weapons data, sensitive nuclear material production information, inertial 

fusion data, advanced isotope separation technology, uranium enrichment 

technology, or naval nuclear propulsion information requires special processing and 

approval by DOE. For this reason, NRC Form 277 should be submitted to PSB at 

least 15 workdays before the initial visit date. 

4. For visits to facilities performing work on naval reactors for DOE, NRC Form 277 

should be received at least 15 workdays before the initial visit date, especially for 

visits that do not involve inspections. 

5. For visits to non-NRC facilities, an NRC Form 277 or other written request for visit or 

access approval should be completed by the NRC office or division establishing the 

individual's need-to-know and purpose of the visit, then submitted to PSB for 

verification of access authorization. PSB forwards the visit request to the facility to be 

visited. At those contractor or licensee facilities at which the NRC is not the CSA, the 

visit control procedures of the CSA will be followed. 

6. NRC consultants who plan to visit NRC employees directing or monitoring their 

consultant interests will not be required to submit NRC Form 277. The person visited 

must confirm the NRC consultant's need-to-know and required access authorization 

level before classified information is disclosed to the visitor.

D. Incoming Visitors 

NOTE: THE NRC DOES NOT ACCEPT INTERIM CLEARANCES. 

1. Required Information 

The information listed below must be provided to the NRC from the visitor’s 

employing agency on that agency’s letterhead or on a form signed by that agency’s 

security officer. The following information is required for incoming visitors: 

(a) The visitor’s full name,

(b) The visitor’s social security number, 

(c) The visitor’s date of birth, 

(d) The visitor’s place of birth, including the city and state, 

(e) The visitor’s agency affiliation, 

(f) The purpose of the visit,
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(g) The date of the visit, 

(h) The name of the person to be visited, 

(i) The type of access required, 

(j) The level of clearance, and

(k) The last investigation date and type.

2. Restricted Data (RD) 

RD in the possession of the NRC, its contractors, or in NRC facilities must not be 

released to an individual unless the individual has the appropriate NRC or DOE 

access authorization, and the need for access has been properly certified by the 

security office. 

3. National Security Information (NSI) 

Classified information (NSI), other than RD, may be furnished to individuals when 

they have the required access authorization and their need for access is confirmed 

by the NRC program office to be visited. 

4. Other Classified Information 

For incoming visitors requiring access to classified information, including RD, a 

memorandum signed by a security office representative from the requesting agency 

should be submitted to PSB for processing and approval.

5. Representatives of Other Agencies 

If authorized by the Director of DFS, representatives of other agencies (for example,

the FBI or OPM) acting in their official capacities may, upon presentation of proper 

credentials, be granted access to classified information. In case of doubt about 

identity or the level of access authorized, PSB will verify these credentials or the 

level of access by contacting a security official of the agency or activity involved.

6. Members of Congress and Congressional Staff 

Visits to the NRC, NRC contractors, or other activities associated with NRC 

programs involving access to RD or other classified information by members of 

Congress may be approved by headquarters office directors, headquarters division

directors, or by regional administrators. The identity of the visitors and their need-toknow must be established by the responsible congressional official. The proposed 

visit must be coordinated with the Director of DFS to certify access authorization and 

with the NRC Director of the Office of Congressional Affairs.
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E. Visits Involving Access to Sensitive Compartmented Information (SCI) 

1. Visitors to the NRC must have their SCI access authorization and need-to-know 

forwarded to the special security officer in NSIR. At a minimum, the information 

required for these visits should include the full name of the visitor, agency affiliation, 

purpose and date of the visit, name of the person to be visited, and the SCI 

compartments involved. This information may be provided by secure fax, telephone 

call from a known or verifiable special security officer of the agency or department 

requesting the visit, or by memorandum. If access to classified information other than 

SCI is involved, the need for this access must be certified and the required access 

authorization must be verified. 

2. NRC employees visiting other Government agencies or departments, or their 

contractors, must contact the special security officer in NSIR to have their SCI 

access authorization properly forwarded to the agency to be visited. A request for 

access to classified information other than SCI may be included with the request for 

SCI or may be processed separately in accordance with the procedure specified in 

Section III.C.2 of this handbook.

F. Visits Involving Access to Classified Information by Foreign Nationals Sponsored

by Foreign Governments or International Organizations 

1. Requests for foreign nationals to visit the NRC, NRC contractors, or other activities 

associated with NRC programs must be forwarded to the Director of DFS by NSIR, 

Division of Security Operations (DSO). Any foreign national possessing a security 

assurance (i.e., clearance) from his or her government must be officially certified to 

NSIR/DSO by an authorized official of the foreign government sponsoring the visit, 

with the assistance of the Office of International Programs (OIP), if necessary

2. If the foreign nationals do not possess security assurance, OIP will request 

NSIR/DSO, conduct investigative checks. For further guidance on the disclosure of 

classified information to foreign nationals refer to MD 12.2. 

3. Representatives of the International Atomic Energy Agency (IAEA) who are 

authorized to make visits to or inspect NRC-licensed facilities in accordance with the

Agreement Between the United States of America and the International Atomic 

Energy Agency for the Application of Safeguards in the United States (and Protocol 

Thereto), November 18, 1977, available at http://www.state.gov/t/isn/5209.htm, may 

be authorized access to classified information, except for RD, on the basis of a DFSissued disclosure authorization letter (DAL). The DAL will specify the names of the 

IAEA representatives and the classified information authorized, in addition to other 

relevant information. For further guidance on the disclosure of classified information 

to IAEA representatives, refer to MD 12.2.
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G. Visits to Foreign Governments or Activities by NRC Personnel 

1. For visits to foreign governments or activities by NRC personnel, NRC Form 277 

should be submitted to PSB for processing and coordination with OIP when 

classified information is involved. If NRC Form 277 is not available, the information 

listed in Section III.D.1 of this handbook should be submitted to PSB. 

2. These visit requests should be submitted at least 30 calendar days in advance of the 

initial visit date. 

H. Records of Visit Requests 

Records of visit requests consisting of NRC Form 277 or its equivalent, and any related 

correspondence, must be retained for 2 years after the expiration date of the visit 

authorized by the requesting office and the office of the facility visited.

IV. ASSIGNMENT OF FOREIGN REGULATORY EMPLOYEES TO THE NRC 

A. Introduction 

Guidelines are given for the prevention of unauthorized access to classified information 

or sensitive unclassified information by foreign regulatory employees assigned to the 

NRC. The responsibilities of OIP; ADM, DFS; supervisors; and employees are outlined 

below.

B. Activity Plans 

OIP, in cooperation with DFS, will establish and coordinate the assignee program and 

individual assignee activity plans that enumerate the variety of activities in which the 

assignee is expected to participate. 

C. Assignments 

1. Consideration for assignments will be given in the following order: 

(a) Nationals from developing countries building or operating U.S.-type light-water 

reactors. 

(b) Nationals from other countries with which the NRC has entered into information 

exchange and cooperation arrangements. 

(c) Nationals from the IAEA member states sponsored in accordance with the IAEA 

Fellowship Program, if different from Sections IV.C.1(a) and IV.C.1(b) of this 

handbook. 

(d) Other foreign nationals as decided on a case-by-case basis. 
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2. Within each of these categories, preference will be given, in general, to nationals 

from countries that are parties to the Treaty on the Non-Proliferation of Nuclear 

Weapons. Foreign nationals actively engaged in unsafeguarded nuclear activities in 

non-nuclear weapons states will not normally be selected. 

3. All personnel accepted for NRC assignments of should— 

(a) Be fluent in English; 

(b) Have successfully completed an NRC-approved English language foreign 

competency examination; 

(c) Have professional training, experience, or education; and

(d) Be certified as regular employees of either their national regulatory agencies or 

of other institutes or organizations responsible for performing domestic regulatory 

and safety functions. 

4. The sponsoring government, institute, or other organization must bear all costs 

associated with the assignment, including, but not limited to, the assignee's salary, 

travel, and per diem. Any questions about costs should be referred to OIP. 

Assignees should be largely self-sufficient after orientation to minimize the impact on 

NRC employees. Personal services such as assistance with housing and other 

orientation briefings will be handled by the embassy of the assignee's country or by 

local representatives of the assignee’s institution. Assignees will normally be given 

duties similar to those of NRC employees, without special “diverse experience”

assignments (i.e., the assignment will not be tailored diversify the assignee’s skills, 

but rather, duties will be similar to NRC employees who have the same position), 

except when convenient to the NRC. 

5. OIP must notify the Commission promptly whenever an application from a sensitive 

country is received to allow the Commission the opportunity to request any action 

they believe necessary while the staff is attempting to arrange placement and before 

any commitment is made. Another notification to the Commission must be prepared 

as soon as details of the proposed assignment are confirmed by the staff and at least 

5 workdays before the assignment is formally approved. Special care must be taken 

in regard to security considerations in selecting and screening foreign nationals, 

placing them within the staff, monitoring them closely, and educating their 

supervisors and co-workers. 

6. OIP will forward all formal NRC letters of invitation accepting proposed assignments 

to the U.S. Department of State in conformance with and in furtherance of U.S. laws, 

regulations, and policy directives and objectives. Letters of invitation must be 

countersigned and returned to OIP 4 weeks before the assignee's expected arrival at 

NRC. 
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7. OIP approves or disapproves the assignment of a foreign national to the NRC and 

designates the office to which the foreign national will be assigned subject to the 

concurrence of the cognizant office director or regional administrator and DFS.

8. Foreign nationals will not be assigned to the Commission, the Office of the 

Secretary, the Office of the Executive Director for Operations, office directors, or 

offices in which classified information or other sensitive information is often in use. 

Generally, assignments will not be made to branches in which large amounts of 

classified or other sensitive unclassified information is processed or stored, or to 

areas near these branches. 

D. Background Check 

Before inviting the foreign regulatory employee to join the NRC, OIP will obtain the 

required background and biographical data and submit the data to PSB with a request 

that the appropriate indices checks be conducted by the appropriate agencies (the 

Central Intelligence Agency, the FBI, and the U.S. Department of State). Information that 

creates a question as to whether assignment of the foreign national is consistent with 

national interest will be evaluated by PSB and forwarded with a recommendation to OIP. 

E. Assignee Agreements 

Foreign assignees will be required to sign a commitment patterned after the agreement 

signed by Government contract consultants agreeing not to take any proprietary 

documents away from their proper place of use and storage and not to disclose 

proprietary information or otherwise violate the conditions under which NRC employees

receive and use this information. The signing of the confidentiality agreement by the 

assignee is a condition of the assignment in accordance with the terms of the agency-toagency agreement that both the NRC and the foreign regulatory agency sign. Specific 

procedures are as follows:

1. The supervisor of an assignee will make a determination of the need for an assignee 

to have access to proprietary information. A separate determination of need will be 

made for the proprietary information related to each program area in which the 

assignee is authorized to work. The supervisor will prepare a note concerning this 

access and will maintain a listing of documents to which the assignee has access. 

Whenever work on a program area is terminated, and at the end of each assignment, 

the assignee will return all proprietary documents. The supervisor of the assignee will

ensure that all documents on the assignee's list are returned. 

2. Access to special classes of information, including details of facility security plans, 

material control and accounting information, and SGI that is subject to 10 CFR 73.21, 

must not be granted unless approved by NSIR. 
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F. Security Plans 

1. Representatives from DFS, OIP, and the office to which the foreign employee will be 

assigned will work together to define the assignment and to develop a security plan 

for each assignee. This task will be completed before the invitation letter is issued. 

The host office will be responsible for developing the plan. This plan must be 

developed and approved before the assignee arrives. Each foreign assignee will be 

required to read, agree to, and sign the security plan. The plan will require the 

approval of OIP, the host office, and DFS, and must include the following elements: 

(a) Description of the physical location of the assignment within NRC, a licensee 

facility, or another facility. 

(b) Identification of specific areas to which the assignee is to be given unescorted 

access to perform essential responsibilities. (The assignee's access should be 

consistent with the requirements of DFS and the assignments of the host office.) 

(c) Explanation of special badging required and associated restrictions. 

(d) Explanation of restrictions on the use of, or connection to, NRC computing 

resources such as LANs, other NRC computing systems, document 

management systems, and sensitive data. 

(e) Discussion of the ways in which commercial or foreign proprietary information 

must be protected if the assignment requires access to this information. 

(Assignments should normally be tailored so that they do not require access to 

this information.) 

(f) Instructions on alerting co-workers about an assignee's presence and the 

assignee's restricted access, both physical and informational, including a DFS 

counterintelligence-type briefing. 

(g) Assignment of a supervisor and an alternate to monitor the assignee's day-to-day 

activities. 

(h) Requirement for monthly or quarterly progress reports from the assignee. 

(Copies of the report are to be sent to the supervisor and other appropriate 

persons in the office to which the foreign national is assigned.) 

(i) Requirement for a mid-point (or more frequent) interview by DFS of the assignee, the 

assignee's supervisors, and, as appropriate, the assignee's co-workers to ensure that 

the assignee and supervisors are continuing to comply with the approved security 

plan. (Any problems will be reported to OIP and any other appropriate office.) 

2. If later experience indicates that the security plan requirements cannot be met, or 

conditions change that warrant a possible change in requirements, or if any other 
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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problems arise, the supervisor will immediately advise OIP and DFS. Any changes in 

the security plan must be approved by DFS and OIP. 

3. DFS will issue assignees special identification badges. These badges, while allowing 

assignees unescorted access to specific areas, are prominently marked “Assignee” 

and are color-coded red for “no access.” Foreign assignees will be required to wear 

their badges at all times. 

4. Co-workers and other NRC employees in the assignee's area also will be made 

aware of the requirement for the assignee to wear the badge at all times. Access by 

the assignee into other areas not specified in the plan will require that the assignee 

be escorted by a cleared NRC employee designated by the assignee's supervisor. 

5. The assignee's supervisor will make an initial evaluation of an assignee's work area, as 

well as a reevaluation at the midpoint of the assignment and at any time the security 

plan is amended. Any recommendations should be given to DFS for action at this time. 

G. Assignee Responsibilities 

1. Assignees will not authorize visits by other individuals to the NRC, NRC contractors, 

or other NRC facilities. 

2. Assignee duties are to be limited to those that do not require representing the NRC 

in public or acting as an official representative in meetings with NRC licensees. 

3. Assignees will be responsible for obtaining and making whatever copies of records 

or documents they wish to take with them before completion of their assignments. 

Assignees will be required to obtain the supervisor's approval before copying these 

records and will also be required to provide a list of these records to their NRC 

supervisors, OIP, and DFS. 

H. Evaluation of Assignees 

Upon completion of the assignment, OIP will provide an evaluation form to the 

supervisor. The supervisor will complete the form and send copies to OIP, DFS, and the 

cognizant office director or regional administrator. 

V. NRC’S DRUG-FREE WORKPLACE PLAN

A. General

1. NRC’s Drug-Free Workplace Plan sets forth objectives, policies, procedures, and 

implementation guidelines to achieve a drug-free Federal workplace consistent with 

the following:

(a) Executive Order 12564 and
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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(b) Section 503 of the Supplemental Appropriations Act of 1987 (Public Law 100-71).

2. NRC’s program consists of the following:

(a) An Employee Assistance Program,

(b) Supervisory training,

(c) Employee education, and

(d) Random drug testing.

3. NRC’s drug testing follows procedures specified in the Department of Health and 

Human Services (HHS) Mandatory Guidelines for Federal Workplace Drug Testing 

Programs (available at 

http://www.internal.nrc.gov/announcements/yellow/2010/2010-122.html). Current 

HHS guidelines supersede all previous issues of guidance.

B. NRC’s Drug Testing Program

1. NRC’s Drug Testing Program, which is administered by PSB includes the following 

types of testing:

(a) Random,

(b) Applicant,

(c) Reasonable suspicion,

(d) Post-accident,

(e) Voluntary, and

(f) Followup. 

2. All NRC employees and any individuals who are tentatively selected for employment 

at the NRC and who have not, immediately before selection, been subject to random 

drug testing, are included in the random drug testing pool.

3. Specific policies and procedures are reflected in the following:

(a) NRC Drug-Free Workplace Plan, available at NUREG/BR-0134, Rev. 2, dated 

March 2007, and at Yellow Announcement 08-040, “General Notice of NRC Drug 

Testing Program Changes and Notice of Employee Awareness Sessions,” as the 

revised NRC Drug-Free Workplace Plan, dated August 2007, and 

(b) NRC Drug Testing Manual, NUREG/BR-0136, August 2008. 
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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C. Deferral of Drug Testing

According to the NRC Drug-Free Workplace Plan, an employee randomly selected for 

drug testing may be deferred from testing that day if the employee meets one of the 

following criteria:

1. The employee is in a prior approved leave status.

2. The employee is in official travel status away from the test site.

3. The employee is about to embark on official travel which was scheduled before 

testing notification.

D. Drug Testing when an Employee is Working under the NRC’s Flexiplace Program

1. When an employee is working from a non-NRC worksite under the NRC’s Flexiplace 

Program, they continue to be subject to random drug testing. If notified, the 

employee is required to report to the designated drug testing office on the day of 

notification. A reasonable timeframe will be established and agreed upon by the Drug 

Testing Program manager and the donor’s supervisor.

2. Employees working full-time under the NRC’s Flexiplace Program may be directed to 

report to a preapproved subcontractor drug testing facility. Usually, the subcontractor 

drug testing facility is within a 2-hour drive from the employee’s duty location.

E. Positive Drug Test Result

1. An employee who tests positive for illegal drugs shall be subject to the provisions of 

Part VIII of the NRC's Drug-Free Workplace Plan.

2. A contractor who tests positive for illegal drugs is immediately physically removed 

from NRC-controlled space. The contractor’s badge shall be de-activated and LAN 

access denied, and he/she may not work on any NRC contract for a period of not 

less than 1 year from the date of the failed drug test. In addition, the contractor will 

not be considered for reinstatement unless the NRC’s Medical Review Officer (MRO) 

determines there is evidence of rehabilitation. 
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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Exhibit 1 Security Orientation Briefing for New NRC and Contractor Employees

A security orientation briefing must be given to NRC national security information (Q, L(H), L) 

employees, consultants, and contractors requiring access authorizations when they enter on 

duty status. This briefing will normally be given by a representative of the Division of Facilities 

and Security (DFS), Office of Administration (ADM), or in a regional office by a regional security 

representative. The briefing will include the following:

1. Information about the type of security clearances and access approvals granted by 

the NRC and the access those clearances and approvals afford after an official 

need-to-know has been established.

2. Information about the personnel security reporting responsibilities of each individual.

3. Prescribed procedures for the storage and handling of classified information and 

sensitive but unclassified information and the importance of protecting this 

information. 

4. Information about physical security aspects, the importance of visitor control, and the 

types of procedures of the particular facility for protecting Government property. 

Contractors are not allowed to escort visitors unless prior approval has been granted 

by DFS.

5. Notification to all NRC employees in regard to the random drug testing pool and the 

requirements to comply with the NRC's Drug-Free Workplace Plan.

6. Notification of the responsibilities associated with the issuance of a government 

photo identification badge (HSPD-12).

7. Information on where to obtain further guidance or assistance.

Those individuals granted access authorizations are required to complete SF-312, "Classified 

Information Non-Disclosure Agreement," which is maintained by the Personnel Security Branch, 

DFS, ADM. 
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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Exhibit 2 Standard Operating Procedures for Pre-Employment Screening of NRC 

Applicants

A. The headquarters Office of the Chief Human Capital Officer (OCHCO) specialist or the 

regional HR Officer (HRO) will obtain a current resumé and the following security forms:

1. Signature pages from the Questionnaire for National Security Positions (e-QIP, 

SF- 86, “Questionnaire for National Security Positions” (QSP)) (initiated by the Office 

of Administration (ADM), Division of Facilities and Security (DFS), Personnel 

Security Branch (PSB) in e-QIP); 

2. Two fingerprint charts; 

3. NRC Form 236, “Personnel Security Clearance Request and Notification”; 

4. NRC Form 176, “Security Acknowledgement/Access Authorization”; 

5. OF-306, “Declaration for Federal Employment” (available from OCHCO or PSB); and

6. The Fair Credit Reporting Act (FCRA) release.

B. The OCHCO specialist or the regional HRO will ensure that appropriate reference 

checks are conducted using the resumé as the source document. Once the security 

package is complete, OCHCO will forward it to PSB for processing.

C. The following additional requirements apply and will be conducted by OCHCO and 

submitted to PSB: 

1. All personnel conducting reference checks must be thoroughly familiar with the 

reference check process and appropriate reference check techniques.

2. In all cases, OCHCO will verify dates of attendance at the educational institution, the 

highest educational level attained, and the type and year of degree.

3. In cases where applicants are naturalized citizens, include a legible copy of the 

Naturalization or Citizenship Certificate.

D. The OCHCO specialist or the HRO will review the results of all the reference checks to 

determine acceptability of the applicant. If either the OCHCO specialist or the HRO has any 

doubt as to the applicant's suitability, then OCHCO and the program or regional office will 

render a determination that will be forwarded to PSB along with the rest of the security 

forms.

E. Upon receipt of the security forms, PSB will— 

1. Request fingerprint and credit checks on the selectee. 

2. Conduct applicable database checks of the selectee.
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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3. If deemed necessary, contact the selected applicant to discuss in detail the answers 

provided on the SF-86, as well as any other matters of security concern.

4. Evaluate the eligibility of the applicant for a Section 145b of the Atomic Energy Act 

(AEA) employment waiver on the basis of a review of the security package and the 

results of the applicable checks and the security interview, if conducted, and 

recommend approval or disapproval.

5. If the result of the pre-employment review does not warrant a Section 145b approval, 

OCHCO is notified to take appropriate action to determine whether to rescind the 

offer or authorize PSB to continue processing the request to OPM for the 

background investigation. Upon receipt of the report of investigation, PSB will review 

the report to mitigate any security concerns identified during the pre-employment 

review and determine the outcome of the clearance request.
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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Exhibit 3 “Q,” “L(H),” and “L” Reinvestigation Program Requirements

A. “Q” and Sensitive Compartmented Information (SCI) Reinvestigation Requirements 

For employees, consultants, experts, panel members, former senior NRC officials, 

contractors and agents of the NRC, and congressional staff members— 

1. Each individual to be reinvestigated must submit a new Questionnaire for National 

Security Positions (QSP) (e-QIP, Standard Form 86) and related forms. These forms 

will be the basis for an investigation as specified below.

2. An Office of Personnel Management (OPM) single-scope background investigation

or a periodic reinvestigation (SSBI-PR or a Phased Periodic Reinvestigation (PPR)) 

will be conducted for “Q” cleared individuals other than the following: 

(a) The Chairman,

(b) The Commissioners, and

(c) The Inspector General. 

3. The Chairman, the Commissioners, and the Inspector General are subject to a 

Federal Bureau of Investigation (re)investigation concerning their Presidential 

appointment.

4. Further investigative coverage may be undertaken on a case-by-case basis if the 

scheduled coverage is insufficient to obtain the required information.

B. “L(H)” and “L” Reinvestigation Program Requirements 

Each individual to be reinvestigated must submit a new QSP via e-QIP and related 

forms. These forms will be the basis for an investigation as follows:

1. A national agency check with law and credit (NACLC) will be conducted. The 

investigation may be expanded as necessary to determine if access is clearly 

consistent with national security.

2. Further investigative coverage may be undertaken on a case-by-case basis if the 

scheduled coverage is insufficient to obtain the required information.

C. OPM Reinvestigation Requirements

Individuals approved for access authorizations are subject to continuous monitoring 

requirements as set forth by OPM criteria which is subject to change at OPM’s 

discretion.
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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D. Fingerprints Requirement

Although not normally required for “Q,” “L(H),” or “L” reinvestigations, a new set of 

fingerprint cards will be requested every 10 years or on a case-by-case basis.
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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Exhibit 4 Security Clearances/Access Types

SECURITY 

CLEARANCES/ 

ACCESS TYPES

INVESTIGATION 

REQUIRED

AUTHORIZES ACCESS 

TO THE FOLLOWING 

INFORMATION 

(WITH AN ESTABLISHED

NEED-TO-KNOW)

Q - Top Secret (TS) Office of Personnel 

Management (OPM) 

Single-Scope Background 

Investigation (SSBI), with 

SSBI-Periodic 

Reinvestigation (SSBI-PR) 

every 5 years

TS/S/Confidential (C) National 

Security Information, Restricted 

Data 

L- High Public Trust (L(H)) 

(Secret)

OPM SSBI, with National 

Agency Check with law 

and credit (NACLC) every 

5 years

S/C National Security Information

C - Restricted Data

L - Secret (S) Access National Agency 

Check with Inquiry 

(ANACI) and NACLC for 

reinvestigations every 

10 years

S/C National Security Information

C - Restricted Data

U - Top Secret OPM SSBI, with SSBI-PR 

every 5 years

Special Nuclear Material in support 

of the Material Access 

Authorization Program (MAAP)

R – Secret NACLC, with NACLC 

reinvestigations every 

10 years

Special Nuclear Material in support 

of the MAAP

Information Technology 

(IT) Level I Access

Minimum Background 

Investigation (MBI), with 

NACLC reinvestigations 

every 10 years

NRC Sensitive IT Systems or Data 

for the development, direction, 

implementation, and administration 

of NRC computer programs 
DH 12.3 NRC PERSONNEL SECURITY PROGRAM Date Approved: 10/08/2013

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SECURITY 

CLEARANCES/ 

ACCESS TYPES

INVESTIGATION 

REQUIRED

AUTHORIZES ACCESS 

TO THE FOLLOWING 

INFORMATION 

(WITH AN ESTABLISHED

NEED-TO-KNOW)

IT Level II Access NACLC, with NACLC 

reinvestigations every 

10 years

NRC Sensitive IT Systems or 

Data, including those individuals 

needing an NRC Local Area 

Network (LAN) account

Building Access NACI, with NACLC 

reinvestigations every 

10 years

Unescorted access to NRC 

facilities for vendors, health unit, 

housekeeping personnel

Child Care Access NACI, with NACLC 

reinvestigations every 

5 years

Unescorted access to NRC 

facilities for childcare staff

Atomic Energy Act, Section 

145b, pre-appointment 

investigation waiver

Standard Form (SF)-86, 

“Questionnaire for National 

Security Positions” (QSP), 

Federal Bureau of 

Investigations Fingerprint, 

credit, employment 

references, and education 

check conducted

Safeguards Information, 

Proprietary Information, and 

Official Use Only information

Unescorted Access to

Power Plants

Access National Agency 

Check with Inquiry 

(ANACI) and NACLC for 

reinvestigations every 

10 years

Unescorted access to protected 

and vital areas of nuclear power 

facilities; access to safeguards 

information; and unescorted 

access to NRC facilities.