FINAL SUPPORTING STATEMENT FOR
NRC FORM 237, "REQUEST FOR ACCESS AUTHORIZATION"
(3150-0050)
EXTENSION
Description of the Information Collection
Title 10 of the Code of Federal Regulations (10 CFR) Part 11, "Criteria and Procedures for Determining Eligibility for Access to or Control Over Special Nuclear Material" and Part 25, "Access Authorization for Licensee Personnel," establish requirements that licensee personnel requiring access to either special nuclear material or classified information must have an investigation of their background, and U.S. Nuclear Regulatory Commission (NRC) Management Directive 12.3, "Personnel Security Program" establishes requirements that NRC contractors, subcontractors and other non-NRC individuals requiring access to classified information must have an investigation of their background. The reporting requirements associated with NRC Form 237, “Request for Access Authorization,” affect approximately 80 licensee facilities and 7 contractor companies.
JUSTIFICATION
Need For and Practical Utility of the Collection of Information
A completed NRC Form 237 is required to obtain or renew access to Special Nuclear Material (10 CFR 11.15(a) (2) and (c) (1)) or Classified Information (10 CFR 25.17(c) and 25.21(c) (1) and (2)) for licensee personnel. It is also used to request NRC access authorizations for personnel of NRC contractors, subcontractors, or other individuals who are not applicants for employment with NRC. The signature of the authorizing official and the approval of the NRC sponsoring official must appear on the form. The information on the form will be reviewed by NRC Division of Facilities and Security (DFS) personnel. Any questions about the validity or appropriateness of the request may be referred to the NRC office exercising contractual, licensing, or regulatory authority over the requesters before processing the access authorization request.
In addition to the signatures mentioned above, the form contains the name of the applicant, the level of access authorization requested, the applicant's date of birth, other appropriate remarks (e.g., previous clearance history), and an identification of enclosures (e.g., completed personnel security packet). A personnel security packet received without this form or without the authorizing official's signature will result in no action being taken on the access authorization request. This information collection for access authorizations benefits NRC and the Federal government by affording a greater degree of control over who is granted access to special nuclear material or classified information.
Agency Use of Information
The information on NRC Form 237 is forwarded to DFS for administrative review and processing for access authorization. If the individual for whom access is being sought currently has an active access authorization with another Federal agency, DFS may request certification of this access authorization from the agency concerned. Upon receipt of this certification, DFS will reply to the requester indicating that the requested access authorization has been granted. This process normally can be completed within 30 days. If the individual for whom access is being sought does not have an active access authorization with another Federal agency, DFS will take action to obtain the type of investigation necessary to support the level of access sought.
Upon favorable review of the completed investigation, DFS will notify the requester of the access authorization approval. If after review of the investigation, DFS determines that there is a question of the individual’s eligibility for NRC access authorization, the "due process" provisions of 10 CFR Parts 10 and 11 may be invoked.
Reduction of Burden Through Information Technology
There are no legal obstacles to reducing the burden associated with this information collection. The NRC encourages respondents to use information technology when it would be beneficial to them. NRC issued a regulation (68 FR 58791) on October 10, 2003, consistent with the Government Paperwork Elimination Act, which allows its licensees, vendors, applicants, and members of the public the option to make submissions electronically via CD-ROM, e-mail, special Web-based interface, or other means. Because this form requires a signature by the requesting agency (authorizing official), there is currently no electronic means for submission. It is estimated that none (0%) of the potential responses are filed electronically.
Effort to Identify Duplication and Use Similar Information
No sources of similar information are available. There is no duplication of requirements. NRC has in place an ongoing program to examine all information collections with the goal of eliminating all duplication and/or unnecessary information collections.
Effort to Reduce Small Business Burden
None of the licensees affected by the use of the NRC Form 237 qualify as small business enterprises or entities. The burden associated with this form is so minimal that there would be no significant burden on a contractor, if they qualified as a small business enterprise or entity.
Consequences to Federal Program or Policy Activities if the Collection Is Not Conducted or Is Conducted Less Frequently
Since the collection of information is only required when one applies for access to special nuclear material or classified information, there is no established frequency for collection. In most cases, this is a one time event and less frequent collection would mean eliminating the collection altogether. If the information is not collected, the assurance that only individuals who are properly authorized have access to
classified information or special nuclear material would be reduced. Thus, less frequent collection may endanger the United States common defense and national security.
Circumstances Which Justify Variation from OMB Guidelines
Not applicable.
Consultations Outside the NRC
The opportunity for public comment on the information collections requirements was published in the Federal Register on April 16, 2013 (78 FR 22561). No comments were received.
Payment or Gift to Respondents
Not applicable.
Confidentiality of Information
Confidential and proprietary information is protected in accordance with NRC Regulations at 10 CFR 9.17(a) and 10 CFR 2.390(b).
Personal Information provided on the NRC Form 237 is handled and protected in accordance with NRC directives and provisions of the Privacy Act of 1974. Information is maintained in a system of records designated as NRC-39 and described in the Federal Register in NRC’s “Republication of Systems of Records Notices” on November 8, 2012 (77 FR 67203). The form does not contain a Privacy Act Statement because such a statement is not required on forms that are completed by a third party. The NRC Form 237 is completed by the agency or firm employing the individuals, or by the NRC sponsoring office or division.
Justification for Sensitive Questions
Not applicable.
Estimated Burden and Burden Hour Cost
An estimated 12 minutes (based on staff experience) is required to complete each NRC Form 237. A total of 770 responses are estimated annually, resulting in a total annual burden to the public of 154 hours (770 responses X 12 minutes ÷ 60). The estimated annual cost shared among the 87 licensees/contractors is $42,196 (154 hours X $274 per hour for professional effort).
Estimate of Other Additional Costs
Not applicable.
Estimated Annualized Cost to the Federal Government
The annual cost to NRC is estimated to be $28,336 ($7,238 clerical effort + $21,098 profession effort). The cost was calculated as follows:
Annual clerical effort
770 forms X 12 minutes/form = 9,240 min. ÷ 60 = 154 hrs. X $47 per hr. = $7,238
Annual professional effort
770 forms X 6 minutes/form = 4,620 min. ÷ 60 = 77 hrs. X $274 per hr. = $21,098
This cost is fully recovered through fee assessment to NRC licensees pursuant to 10 CFR Parts 11 and 25.
Reasons for Change in Burden or Cost
The burden has increased from 84 hours and 420 responses to 154 hours and 770 responses, an increase of 70 hours and 350 responses. The burden estimate is based on a review of the actual number of NRC Form 237s received over the past three years. The NRC staff attributes the increase to an increase in the number of licensee facilities affected by the information collection (from 67 facilities to 80 facilities).
In addition, costs have increased due to an increase in the fee rate from $257/hr to $274/hr.
Publication for Statistical Use
Data from this information collection is not published for statistical purposes. Statistical methods cannot be used in the collection of information since each instance relates to an individual applying for access to special nuclear material or classified information.
Reason for Not Displaying the Expiration Date
The expiration date is displayed.
Exceptions to the Certification Statement
None.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
Not applicable.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | FINAL SUPPORTING STATEMENT |
| Author | keb1 |
| File Modified | 0000-00-00 |
| File Created | 2021-01-28 |