Nureg/br-nrc Facility Security Clearance Program: Helpful Resources For Licensees, Applicants, And Other Entities

NRC FACILITY SECURITY CLEARANCE
PROGRAM: HELPFUL RESOURCES FOR
LICENSEES, APPLICANTS, AND OTHER ENTITIES

NOVEMBER 2024

1

AVAILABILITY OF REFERENCE MATERIALS
IN NRC PUBLICATIONS
NRC Reference Material

Non-NRC Reference Material

As of November 1999, you may electronically access
NUREG-series publications and other NRC records at the
NRC’s Library at www.nrc.gov/reading-rm.html. Publicly
released records include, to name a few, NUREG-series
publications; Federal Register notices; applicant, licensee,
and vendor documents and correspondence; NRC
correspondence and internal memoranda; bulletins and
information notices; inspection and investigative reports;
licensee event reports; and Commission papers and their
attachments.

Documents available from public and special technical
libraries include all open literature items, such as books,
journal articles, transactions, Federal Register notices,
Federal and State legislation, and congressional reports.
Such documents as theses, dissertations, foreign reports
and translations, and non-NRC conference proceedings
may be purchased from their sponsoring organization.

NRC publications in the NUREG series, NRC regulations,
and Title 10, “Energy,” in the Code of Federal Regulations
may also be purchased from one of these two sources:
1. The Superintendent of Documents
U.S. Government Publishing Office
Washington, DC 20402-0001
Internet: https://bookstore.gpo.gov/
Telephone: (202) 512-1800
Fax: (202) 512-2104
2. The National Technical Information Service
5301 Shawnee Road
Alexandria, VA 22312-0002
Internet: https://www.ntis.gov/
1-800-553-6847 or, locally, (703) 605-6000
A single copy of each NRC draft report for comment is
available free, to the extent of supply, upon written
request as follows:
Address: U.S. Nuclear Regulatory Commission
Office of Administration
Digital Communications and Administrative
Services Branch
Washington, DC 20555-0001
E-mail: [email protected]
Facsimile: (301) 415-2289
Some publications in the NUREG series that are posted
at the NRC’s Web site address www.nrc.gov/reading-rm/
doc-collections/nuregs are updated periodically and may
differ from the last printed version. Although references to
material found on a Web site bear the date the material
was accessed, the material available on the date cited
may subsequently be removed from the site.

Copies of industry codes and standards used in a
substantive manner in the NRC regulatory process are
maintained at—
The NRC Technical Library
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738

These standards are available in the library for reference
use by the public. Codes and standards are usually
copyrighted and may be purchased from the originating
organization or, if they are American National Standards,
from—
American National Standards Institute
11 West 42nd Street
New York, NY 10036-8002
Internet: www.ansi.org
(212) 642-4900
Legally binding regulatory requirements are stated only in
laws; NRC regulations; licenses, including technical
specifications; or orders, not in NUREG-series publications.
The views expressed in contractor prepared publications in
this series are not necessarily those of the NRC.
The NUREG series comprises (1) technical and
administrative reports and books prepared by the staff
(NUREG–XXXX) or agency contractors (NUREG/CR–XXXX),
(2) proceedings of conferences (NUREG/CP–XXXX),
(3) reports resulting from international agreements
(NUREG/IA–XXXX),(4) brochures (NUREG/BR–XXXX), and
(5) compilations of legal decisions and orders of the
Commission and the Atomic and Safety Licensing Boards and
of Directors’ decisions under Section 2.206 of the NRC’s
regulations (NUREG-0750), (6) Knowledge Management
prepared by NRC staff or agency contractors (NUREG/KMXXXX).
DISCLAIMER: This report was prepared as an account of work
sponsored by an agency of the U.S. Government. Neither the
U.S. Government nor any agency thereof, nor any employee,
makes any warranty, expressed or implied, or assumes any
legal liability or responsibility for any third party’s use, or the
results of such use, of any information, apparatus, product, or
process disclosed in this publication, or represents that its use
by such third party would not infringe privately owned rights.

TABLE OF CONTENTS
Overview

2

Step 1:

Initial contact with the NRC

2

Step 2A:

Facility Security Clearance Package

3

Step 2B:

Personnel Clearance Process

4

Step 3:

Facility Security Clearance Approval Process

4

Appendix A: Acronyms and References

6

Appendix B: Nonpossessing Standard Practice Procedures Plan

7

Appendix C: Foreign ownership, Control, or Influence Data Sheet

12

Appendix D: Exclusion Resolution Templates

14

D.1 Highest Cleared Entity Noting Excluded Entity’s
Exclusion and Resolution to Exclude Parent Organization

14

D.2

Exclusion Resolution of Corporate Organization

15

D.3

Exclusion Resolution for LLC Member (Organization)

16

D.4 Exclusion Resolution for Certain Directors, Officers,
and LLC Members (if Person)

17

OVERVIEW
The purpose of this document is to provide licensees, applicants, and other
entities with preliminary information and resources to help navigate the
communication and application process for a U.S. Nuclear Regulatory
Commission (NRC) facility security clearance (FCL). An NRC FCL is required
before any entity is granted access to classified information. Classified
information means information that has been determined, pursuant to
Executive Order 13526, “Classified National Security Information,” dated
December 29, 2009 (or any predecessor or successor order), and the Atomic
Energy Act of 1954, as amended, to require protection against unauthorized
disclosure in the interest of national security. Classified information includes
national security information, restricted data, and formerly restricted data. NRC
requirements for the protection of classified information are set forth in Title 10
of the Code of Federal Regulations (10 CFR) Part 95, “Facility Security Clearance
and Safeguarding of National Security Information and Restricted Data,” and
10 CFR Part 25, “Access Authorization.” Additionally, NRC licensees, applicants,
and other entities are required to comply the requirements in 32 CFR Part 117,
“National Industrial Security Program Operating Manual (NISPOM).”
An NRC FCL, as defined in 10 CFR 95.5, “Definitions,” is an administrative
determination that, from a security viewpoint, an entity is eligible for access to
classified information at either the Confidential or Secret level. The purpose of
an FCL is to demonstrate that the entity can properly protect classified
information from unauthorized disclosure. There are two types of FCLs. A
possessing FCL would allow a licensee, applicant, or other entity to possess and
use classified information. A nonpossessing FCL would allow a licensee,
applicant, or other entity to have access to classified information at an
approved location. Licensees, applicants, or other entities seeking an NRC
nonpossessing FCL should follow the process outlined in this document.

STEP 1: INITIAL CONTACT WITH THE NRC
Licensees or applicants seeking a license should reach out to their assigned
project manager to begin initial discussions regarding a request for an FCL.
The applicant may be asked to formally request an FCL through a letter.
Other entities should reach out to the Office of Nuclear Security and Incident
Response, Information Security Branch, to request an FCL.
Based on this initial contact, the NRC will make a provisional determination on
whether the licensee, applicant, or other entity has a need for access to classified information in accordance with 32 CFR 117.9(c)(1). This determination will
be based on discussions during the initial contact and a review of any
2

documents requested by the NRC to support the request for access to classified
information. The determination is designed to ensure that the entity has a
legitimate need for access to classified information and that such access is
consistent with U.S. national security interests as determined by the NRC. If
the NRC makes a provisional “need-to-know” determination, the applicant
will be asked in writing to submit an FCL package in accordance with 10 CFR
95.15, “Approval for processing licensees and others for facility clearance.”
A provisional determination does not constitute a final determination that a
licensee, applicant, or other entity has a “need to know” for access to classified
information.

STEP 2A: FACILITY SECURITY CLEARANCE PACKAGE
An FCL package prepared by a licensee, applicant, or other entity should include
detailed information sufficient to allow the NRC to make a final determination
on the need for access to classified information. If the NRC substantiates the
need for access to classified information, the staff will issue a “need-to-know”
determination letter. Below is an outline of the required documents for an FCL
package submittal.
Required FCL documentation:
The NRC will review the FCL package in accordance with 10 CFR 95.17 and
32 CFR 117.9, “Entity eligibility determination for access to classified
information,” to determine that the licensee, applicant, or other entity seeking
an FCL is able to adequately protect classified information and is not subject
to improper foreign ownership, control, or influence (FOCI). Documentation
related to FOCI determinations is set forth in appendix C to this document.
A licensee, applicant, or other entity is recommended to submit the following
documentation to enable the NRC to make these determinations:
•
•
•
•
•
•

Standard Form (SF)-328, “Certificate Pertaining to Foreign Interests”
NRC 405F, “List ALL Owners, Officers, Directors, and Executive
Personnel (OODEP’s)”
◦ See step 2B for additional information on OODEP forms.
Nonpossessing Standard Practice Procedures Plan (SPPP)
◦ A copy of the SPPP template can be found in appendix B.
Nonpossessing Contract Security Classification Specification (CSCS) Data
Sheet
◦ A copy of the CSCS template can be found in appendix B.
Company Organization Chart
FOCI Data Sheet (outlines documents to be submitted for FOCI
determination)
◦ A copy of the FOCI Data Sheet can be found in appendix C.
3

•
•

Exclusion Resolution for Parent Companies (if applicable)
◦ A template exclusion resolution can be found in appendix D.
Exclusion resolution for Key Management Personnel (if applicable)
◦ A template exclusion resolution can be found in appendix D.

STEP 2B: PERSONNEL CLEARANCE PROCESS
The licensee, applicant, or other entity should reach out to the Personnel
Security Branch (PSB) at [email protected] to
begin the personnel security process. PSB handles all personnel security actions
related to NRC clearances; each applicant will pay a prescribed fee for each
personnel clearance. The initial personnel security clearances are issued to the
essential key management personnel (KMP) listed on the OODEP form. Security
clearances are issued to additional individuals as needed after the essential
KMP are cleared and the FCL has been issued. The submitted OODEP form
will list all KMP in accordance with 32 CFR 117.9(c)(5) and 10 CFR 95.18, “Key
personnel.”
KMP are defined as an applicant’s senior management official (SMO), facility
security officer (FSO), insider threat program senior official (ITPSO), and all
other entity officials who have direct or indirect authority to influence or decide
issues affecting the management or operations of the applicant or classified
contract performance. In most cases, the FSO can also hold the ITPSO role.
The NRC requires that the essential KMP (the SMO, FSO, and ITPSO) be cleared
at a level commensurate with the FCL. Those other KMP listed on the OODEP
who are not cleared at the same level of the FCL will need to be excluded from
access to classified information for which they do not possess the appropriate
clearance through an exclusion resolution. Appendix D contains sample
exclusion resolutions.

STEP 3: FACILITY SECURITY CLEARANCE APPROVAL
PROCESS
After the NRC reviews the FCL package and makes a determination, the staff will
send a written notification of the determination to the applicant as defined in
10 CFR 95.15. The approval letter will specify the level of the FCL and include a
caveat that the FCL is not considered active until the essential KMP have been
issued their personnel clearances.

4

The appendices in this resource include several templates outlined within the
previous sections. It is important to note that these templates are not
required but rather present one way of fulling the requirements of 10 CFR
Part 95. These documents may be reviewed and completed as part of the FCL
package. The SPPP and CSCS outline the security requirements required as
part of the FCL approval process. The SPPP is reviewed and signed by the FSO,
acknowledging the security requirements have been met. Exclusion
resolution templates provided by the Defense Counterintelligence and
Security Agency may be used on a case-by-case basis, as determined by the
corporate structure and KMP personnel clearance status. In certain cases, the
exclusion resolution can be tailored to meet specific requirements. In these
cases, the entity should reach out to the NRC staff for further information
before submitting the document.
Paperwork Reduction Act Statement:
This NUREG provides voluntary guidance for implementing the mandatory
information collections in 10 CFR Part 25, 10 CFR Part 95, and the NRC Insider
Threat Program that are subject to the Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et. seq.). These information collections were approved by the
Office of Management and Budget (OMB), under control numbers
3150-0046, 3150-0047 and 3150-0251, respectively. Send comments
regarding this information collection to the FOIA, Library, and Information
Collections Branch, Office of the Chief Information Officer, Mail Stop: T6A10M, U.S. Nuclear Regulatory Commission, Washington, DC 20555 0001, or
by e-mail to [email protected], and to the OMB reviewer at:
OMB Office of Information and Regulatory Affairs (3150-0046, 3150-0047 and
3150-0251), Attn: Desk Officer for the Nuclear Regulatory Commission, 725
17th Street, NW Washington, DC 20503.
Public Protection Notification:
The NRC may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless the document requesting or
requiring the collection displays a currently valid OMB control number.”

5

APPENDIX A: ACRONYMS AND REFERENCES
CFR
CSCS
FCL
FOCI
FSO
ITPSO
KMP
NISPOM
NRC
OODEP
PSB
SF
SMO
SPPP

Code of Federal Regulations
Contract Security Classification Specification
Facility Security Clearance
Foreign Ownership, Control, or Influence
Facility Security Officer
Insider Threat Program Senior Official
key management personnel
National Industrial Security Program Operating Manual
U.S. Nuclear Regulatory Commission
Owners, Officers, Directors, and Executive Personnel
Personnel Security Branch
Standard Form
Senior Management Official
Standard Practice Procedures Plan

References:
Executive Order 13526, “Classified National Security Information,”
December 29, 2009
U.S. Code of Federal Regulations
10 CFR Part 25, “Access Authorization”
10 CFR Part 95, “Facility Security Clearance and Safeguarding of
National Security Information and Restricted Data”
32 CFR Part 117, “National Industrial Security Program
Operating Manual (NISPOM)”
Templates:
NRC 405F, “List ALL Owners, Officers, Directors, and Executive
Personnel (OODEP’s)”
SF-328, “Certificate Pertaining to Foreign Interests”
Standard Practice Procedures Plan (Agencywide Documents Access
and Management System Accession No. ML24159A637)

6

APPENDIX B: NONPOSSESSING STANDARD PRACTICE
PROCEDURES PLAN (SPPP)
Standard Practice Procedures Plan
The following Standard Practice Procedures Plan applies to facilities authorized
to use but not possess classified information.
This document outlines the security responsibilities of: (Company Name)

with its principal office and place of business at (Street, City, State and ZIP Code)

doing business at the address below:

The provisions of our agreement with the U.S. Nuclear Regulatory Commission
(NRC) do not require our company to receive, store, transmit, or originate
classified information within our facility(ies). This company’s personnel will,
however, have authorized access to classified information at approved NRC
facility(ies). The NRC security clearances granted to our personnel have been
issued by NRC Headquarters.
We understand that our company will be responsible for ensuring that the
following security requirements are met:
• Initial and refresher briefings (annually) are conducted and
documented as required by Title 10 of the Code of Federal Regulations
(10 CFR) Part 95, “Facility Security Clearance and Safeguarding
of National Security Information and Restricted Data,” and that
the Standard Form SF-312, “Classified Information Nondisclosure
Agreement,” is signed and processed before any access to classified
information.

• Termination briefings are conducted and documented in accordance
with 10 CFR Part 25, “Access Authorization,” and 10 CFR Part 95 for all
cleared personnel leaving our employment, losing their clearances, or
no longer requiring a clearance. Termination statements are forwarded
to NRC Headquarters.

7

•


Provisions
of the Privacy Act are met when handling and mailing/
delivering completed personnel security clearance request documents.

•


Cleared
company personnel are apprised of, and comply with, the
personnel clearance reporting requirements.

•


Foreign
national employees are not placed in a position to exercise
control or influence over properly cleared U.S. citizens who have been
granted access to NRC classified information.

•


Reporting
requirements involving foreign ownership, control, or
influence conditions are complied with.

•


Procedures
are developed that describe internal company processes
for performing functions to accomplish each of the items above.
Applicable company employees will be familiar and comply with
security procedures and be informed of their individual responsibilities
in executing and supporting these procedures.

•


Designated
representatives of the NRC are required to periodically
inspect the procedures, methods, and facilities used by the company in
complying with the requirements of the terms and conditions of
10 CFR Part 25 and 10 CFR Part 95. The company shall assist by
providing necessary documentation for review.

•


Establish
an insider threat program (ITP) that meets the National
Industrial Security Program requirements.

The following are the National industrial Security Program Operating Manual
minimum standards:
•

Formal appointment by the company of an ITP Senior Official (ITPSO)
who is a U.S. citizen employee and a senior official of the company

•

Annual company self-review including self-inspection of the ITP
(Report completion of the self-inspection to the ITPSO)

•

Initial and refresher insider threat training for the awareness of cleared
program management and cleared individuals

•

Requirements to report to the ITPSO any detection of an insider threat
to the company

8

CERTIFICATIONS

9

STANDARD PRACTICE PROCEDURES PLAN (SPPP)
Information for Nonpossessing Facility Clearances
This information is to be provided by the company Facility Security Officer and
attached to the Standard Practice Procedures Plan (SPPP) for nonpossessing
facility clearance requests:
Name of Entity: _____________________________________________
1. Description of work to be performed:

2. Classification of matter to be accessed (check all that apply):
_____ C-NSI

_____ S-SNSI

_____ C-RD

_____ S-RD

3. Access authorization: _____ “L” _____ “Q”
4. Contractor is: __________ Prime Contractor __________ Subcontractor

Prime Contractor Name

(For subcontractors to another subcontractor, only the Prime Contractor to the cleared entity need
be listed.)

____________________________________________________________
5. In support of the NRC-cleared entity, the contractor will (check all that apply):
_____Have access to classified matter only at the cleared facility or an
NRC-approved facility (identify the site).
_____Generate classified information (describe the information the contractor
will generate and reference appropriate controls in the cleared-entity
SPPP (e.g., derivative classification procedures)).
_____Receive classified information (describe what classified matter the
cleared entity will provide when performing the contract and reference
appropriate controls in the cleared-entity SPPP).

10

_____Perform services that require unescorted access to security areas where
classified matter may be present but whose services do not require
explicit access to classified matter (describe the services and reference
security areas in the cleared-entity SPPP that contractors will access).
6. Estimated contract completion date:

_____________

_______________________

_____________

Facility Security Officer

Date

Paperwork Reduction Act Statement:
This NUREG provides voluntary guidance for implementing the mandatory
information collections in 10 CFR Part 25, 10 CFR Part 95, and the NRC Insider
Threat Program that are subject to the Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et. seq.). These information collections were approved by the Office
of Management and Budget (OMB), under control numbers 3150-0046,
3150-0047 and 3150-0251, respectively. Send comments regarding this
information collection to the FOIA, Library, and Information Collections Branch,
Office of the Chief Information Officer, Mail Stop: T6-A10M, U.S. Nuclear
Regulatory Commission, Washington, DC 20555 0001, or by e-mail to
[email protected], and to the OMB reviewer at: OMB Office of
Information and Regulatory Affairs (3150-0046, 3150-0047 and 3150-0251),
Attn: Desk Officer for the Nuclear Regulatory Commission, 725 17th Street, NW
Washington, DC 20503.

11

APPENDIX C: FOREIGN OWNERSHIP, CONTROL, OR
INFLUENCE DATA SHEET
COMPANY NAME:
Listed below are documents required to complete a foreign ownership, control,
or influence determination:
Documents common to all business structures.
KEY MANAGEMENT PERSONNEL FORM (OODEP)

________

REQUEST FOR INFORMATION STATEMENT (if applicable)

________

STANDARD FORM 328 CERTIFICATE PERTAINING TO FOREIGN
INTERESTS
________
WEB PAGE ADDRESS (if applicable)

________

Additional documents required to be included for a PUBLICLY TRADED CORPORATION

ARTICLES OF INCORPORATION
SEC 10-K REPORT
PROXY STATEMENT
SEC SCHEDULES 13D AND 13G
CORPORATE BYLAWS
IRS FORM 5471
ANNUAL REPORT WITH FINANCIAL INFORMATION

________
________
________
________
________
________
________

Additional documents required to be included for a PRIVATELY OWNED CORPORATION

ARTICLES OF INCORPORATION

________

CORPORATE BY-LAWS

________

IRS FORM 5471 (if applicable)

________

ANNUAL REPORT WITH FINANCIAL INFORMATION

________

Additional documents required for a PARTNERSHIP

PARTNERSHIP AGREEMENT
12

________

SEC 10-K REPORT

________

PROXY STATEMENT

________

SEC SCHEDULES 13D AND 13G

________

IRS FORMS 5471 AND 1065

________

LATEST ANNUAL REPORT WITH FINANICAL INFORMATION

________

MOST CURRENT BOARD MEETING MINUTES
IDENTIFYING EXECUTIVE APPOINTMENTS/CHANGES

________

Additional documents required for a PROPRIETORSHIP

TAX ID NO/STATE REGISTRATION CERTIFICATE

________

IRS FORM 1040

________

ANNUAL REPORT OR AUDITED FINANCIAL
INFORMATION FOR MOST RECENT FISCAL YEAR

________

IF COMMUNITY PROPERTY STATE (AZ, CA, ID, LA, NV, NM,
TX, WA, WI), SPOUSAL INFORMATION IS ALSO REQUESTED

________

Additional documents required for a LIMITED LIABILITY CORPORATION

CERTIFICATE OF ORGANIZATION

________

OPERATING AGREEMENT

________

AUDITED FINANCIAL INFORMATION FOR MOST
RECENT FISCAL YEAR
 (IF UNAUDITED, THE CFO/TREASURER MUST
SIGN AND DATE THE FINANCIAL STATEMENT
CERTIFYING IT IS CURRENT AND CORRECT)

________

Additional documents required for a COLLEGE/UNIVERSITY

UNIVERSITY CHARTER

________

LATEST ANNUAL REPORT

________

MOST CURRENT BOARD MEETING MINUTES
IDENTIFYING EXECUTIVE APPOINTMENTS/CHANGES

________

13

APPENDIX D: EXCLUSION RESOLUTION TEMPLATES
D.1 Highest Cleared Entity Noting Excluded Entity’s Exclusion and Resolution
to Exclude Parent Organization
I, (Insert Full Name), the duly elected Secretary of (Insert Name of Highest
Cleared Entity), a corporation in the State of (Insert Name of State), do hereby
certify that the following is a true and complete copy of a resolution passed at
a meeting of the Board of Directors of said Corporation, at which a quorum was
present, duly called, and held (Insert Month Day, Year).
BE IT RESOLVED that officials of (Insert Name of Highest Tier Excluded Entity
and any Intermediate Entities), the ultimate tier entity organization, or any of
the intermediate tier entities of (Insert Name and Address of Highest Cleared
Entity), shall not require and shall not have access to classified information
in the custody of (Insert Name of Highest Cleared Entity), a subsidiary
organization, or any other facilities reporting to (Insert Name of Highest Cleared
Entity) that require access to classified information.
BE IT FURTHER RESOLVED that (Insert Name of Highest Cleared Entity) hereby
acknowledges the execution of a resolution by (Insert Name and Address of
Highest Excluded Entity) whereby the Corporation, its officers and directors,
as such, and intermediate entities will not require and will not have access to
classified information in the custody of (Insert Name of Highest Cleared Entity),
a subsidiary corporation, and further that this action will not affect adversely
the policies of said subsidiary involving the security and safeguarding of
classified information or performance of classified contracts.
BE IT FURTHER RESOLVED that these actions of the Board of Directors of the
(Insert Name of Highest Cleared Entity) are taken for the purpose of exempting
the (Insert Name of Highest Tier Excluded Entity and Intermediate Tiers) from
the necessity of being processed for a facility security clearance equivalent to
that held by the (Insert Name of Highest Cleared Entity) in conformity with the
“National Industrial Security Program Operating Manual (NISPOM).”
IN WITNESS WHEREOF I have hereunto set my hand and affixed the seal of
(Insert Name of Highest Cleared Entity) this (Insert Date).
____________________ Signature

14

D.2 EXCLUSION RESOLUTION OF CORPORATE
ORGANIZATION
I, (Insert Full Name), the duly elected Secretary of (Insert Name of Highest
Tier Excluded Entity), a corporation organized in the State of (Insert Name of
State), located at (Insert Address of Highest Tier Excluded Entity), do hereby
certify that the following is a true and complete copy of a resolution passed at
a meeting of the Board of Directors of said Corporation, at which a quorum was
present, duly called, and held (Insert Month Day, Year).
BE IT RESOLVED that (Insert Name and Address of Highest Tier Excluded Entity
and Intermediate Entities), its officers and directors, as such, will not require
and will not have access to classified information in the custody of (Insert Name
of Highest Cleared Entity), or any other facilities reporting to (Insert Name of
Highest Cleared Entity) that require access to classified information, and further
that (Insert Name of Highest Cleared Entity) has been delegated full authority
to act completely independent of (Insert Name of Highest Tier Excluded Entity
and Intermediate Tiers) in all matters that involve or relate to (Insert Name of
Highest Cleared Entity)’s responsibility to perform on classified contracts, to
include safeguarding classified information.
BE IT FURTHER RESOLVED that this action is taken for the purpose of exempting
(Insert Name of Highest Tier Excluded Entity and Intermediate Tiers) from the
necessity of being processed for a facility security clearance (FCL) in conformity
with the “National Industrial Security Program Operating Manual (NISPOM).”
In lieu of an FCL, (Insert Name of Highest Tier Excluded Entity) will report
any changed conditions, as defined in NISPOM 2-102, within the complete
organizational structure that may impact the FCL eligibility of (Insert Name of
Highest Cleared Facility). Any changes that may impact the FCL eligibility of
(Insert Name of Highest Cleared Facility) will be disclosed to the Facility Security
Officer at (Insert Name of Highest Cleared Facility) or, in special circumstances,
directly to the Defense Security Service.
IN WITNESS WHEREOF I have hereunto set my hand and affixed the seal of
(Insert Name of Company) this (Insert Date).
____________________ Signature

15

D.3 EXCLUSION RESOLUTION FOR LLC MEMBER
(ORGANIZATION)
I, (Insert Full Name), the duly elected (Management Official Title) of (Insert
Name of LLC Member), a (Type of Organization) organized in the State of (Insert
Name of State), located at (Insert Address of LLC Member), do hereby certify
that the following is a true and complete copy of a resolution passed at a
meeting of the (Type of Management Board) of (Management Officials) of said
(Type of Organization), at which a quorum was present, duly called, and held
(Insert Month Day, Year).
BE IT RESOLVED that (Insert Name and Address of LLC Member) and its
management officials, as such, will not require, shall not have, and can be
effectively and formally excluded from access to classified information disclosed
to (Insert Name of subject LLC), a Limited Liability Company, and further
that (Insert Name of subject LLC), has been delegated full authority to act
completely independent of (Insert Name of LLC Member) in all matters that
involve or relate to (Insert Name of subject LLC)’s responsibility to safeguard
information.
BE IT FURTHER RESOLVED that (Insert Name and Address of LLC Member) is
taken for the purpose of exempting the (Insert Name of LLC Member) from the
necessity of being processed for a facility security clearance in conformity with
the “National Industrial Security Program Operating Manual (NISPOM).”
Signature

___________________________

Date

___________________________

(Senior Management Official of LLC Member)

16

D.4 EXCLUSION RESOLUTION FOR CERTAIN
DIRECTORS, OFFICERS, AND LLC MEMBERS (IF
PERSON)
I, (Insert Full Name), do hereby certify that I am (Identify eligible Key
Management Personnel Officer/Position Title) of (Insert Name of Corporation),
a (Insert Corporation, Company) organized and existing under the laws of the
State of (Insert Name of State), and that the following is a true and correct copy
of a resolution adopted by the Board of Directors, management board, or a
similar type of executive body of the said (Insert Corporation, Company) at a
meeting held at (Insert Location) on (Insert Month Day, Year), at which time a
quorum was present.
WHEREAS, current U.S. Department of Defense regulations contain a provision
making it mandatory that the Chairman of the Board, Senior Management
Official, and Facility Security Officer meet the requirements for eligibility for
access to classified information established for a contractor facility security
clearance; and
WHEREAS, said U.S. Department of Defense regulations permit the exclusion
from the personnel of the requirements for access to classified information of
certain members of the Board of Directors and other officers, provided that this
action is recorded in the corporate minutes.
NOW THEREFORE BE IT DECLARED that the Chairman of the Board, Senior
Management Official, and Facility Security Officer at the present time do
possess, or will be processed for, the required eligibility for access to classified
information; and
BE IT RESOLVED that in the future, when any individual enters upon any duties
as Chairman of the Board, Senior Management Official, and Facility Security
Officer, such individual shall immediately make application for the required
eligibility for access to classified information; and
BE IT RESOLVED AND DIRECTED that the following members of the Board of
Directors and other officers or members shall not require, shall not have,
and can be effectively and formally excluded from access to all CLASSIFIED
information disclosed to the corporation/company and shall not affect
adversely corporate/company policies or practices in the performance of
classified contracts for the U.S. Department of Defense or the Government
contracting activities (User Agencies) of the National Industrial Security
Program.

17

NAME

TITLE

IN WITNESS WHEREOF I have hereunto set my hand and affixed the seal of
(Insert Name of Company) this (Insert Day/Month of Year).

__________________________

Signature

18

U.S. NUCLEAR REGULATORY COMMISSION

NRC FORM 335
(12-2010)
NRCMD 3.7

BIBLIOGRAPHIC DATA SHEET

1. REPORT NUMBER

(Assigned by NRC, Add Vol., Supp., Rev.,
and Addendum Numbers, if any.)

NUREG-XXXX

(See instructions on the reverse)

2. TITLE AND SUBTITLE

NRC FACILITY SECURITY CLEARANCE PROGRAM: HELPFUL RESOURCES FOR
LICENSEES, APPLICANTS, AND OTHER ENTITIES

3. DATE REPORT PUBLISHED
MONTH

YEAR

August

2024

4. FIN OR GRANT NUMBER

5. AUTHOR(S)

Ryan Ruppert

6. TYPE OF REPORT

Final
7. PERIOD COVERED (Inclusive Dates)

8. PERFORMING ORGANIZATION - NAME AND ADDRESS (If NRC, provide Division, Office or Region, U. S. Nuclear Regulatory Commission, and mailing address; if
contractor, provide name and mailing address.)

Division of Security Operations
Nuclear Security and Incident Response
11555 Rockville Pike, Rockville, MD 20852

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, type "Same as above", if contractor, provide NRC Division, Office or Region, U. S. Nuclear Regulatory
Commission, and mailing address.)

same as above

10. SUPPLEMENTARY NOTES

To be published

11. ABSTRACT (200 words or less)

The purpose of this NUREG/BR is to provide helpful resources to applicants and preapplicants in the establishment of a Facility
Security Clearance program.

12. KEY WORDS/DESCRIPTORS (List words or phrases that will assist researchers in locating the report.)

Facility Security Clearance
FCL

13. AVAILABILITY STATEMENT

unlimited
14. SECURITY CLASSIFICATION
(This Page)

unclassified
(This Report)

unclassified
15. NUMBER OF PAGES
16. PRICE
NRC FORM 335 (12-2010)

U.S. Nuclear Regulatory Commission
NUREG/BR-XXXX
NOVEMBER 2024