Required Reporting for Clearance Holders
This webpage provides information regarding reporting requirements for U.S. Nuclear Regulatory Commission (NRC) employees and NRC contractors as well as cleared licensee personnel, cleared licensee contractors and others who hold national security clearances issued by the NRC.
On this page:
What is Security Executive Agent Directive (SEAD) 3?
SEAD 3 is an executive security directive issued by the Office of the Director of National Intelligence (ODNI) in December 2016. It is designed to strengthen the safeguarding of national security equities. This directive is applicable to all executive branch agencies and individuals who hold national security clearances or hold a sensitive position.
These reporting requirements are generally consistent with the elements included in the Standard
Form–86, "Questionnaire for National Security Positions", which is completed by applicants and clearance holders during the initial and periodic reinvestigation processes, respectively.
Additionally, SEAD 3 now requires these elements to be reported prior to participation in certain activities, or as soon as possible following the start of their involvement if prior reporting is not possible.
View the Security Executive Agent Directive 3 to learn more.
What is MD 12.3?
12.3, "NRC Personnel Security Program", is a policy issued by the NRC in accordance with laws, Executive orders, other management directives and applicable directives of other Federal agencies. The objective of MD 12.3 is to 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. The NRC reviews and determines eligibility for NRC access authorization and/or employment clearance, unescorted access to nuclear power facilities, access to Safeguards Information (SGI), access to sensitive NRC information technology systems or data, and unescorted access to NRC facilities. Clearance holders at the NRC are also responsible for abiding by MD 12.3.
A list of reportable events can be found in Yellow Announcement (YA) 18-0056 which amends MD 12.3, Section II, "Investigations and Determining Eligibility for Access Authorization," Paragraph J, "Personnel Reporting Requirements".
Who Needs to Report
At the NRC, SEAD 3 and MD 12.3 applies to all covered individuals who have been granted access to classified information. These covered individuals include NRC employees and cleared contractors as well as cleared licensee personnel, cleared licensee contractors and other entities that hold a security clearance from the NRC.
Why Reporting is Important
Covered individuals should be aware that they have access to valuable sensitive information which foreign intelligence agencies, adversaries, competitors and terrorists in the US and abroad may try to obtain. Therefore, covered individuals have a continuing security obligation to be aware of the risks associated with foreign intelligence operations and/or possible terrorist activities directed against them in the U.S. and abroad. This sensitive information includes, but is not limited to:
- Classified or sensitive information vital to national and economic security
- Emerging technologies and pioneering research and development
- Information relating to critical infrastructure sectors
- Proprietary secrets
- Security or counterintelligence information
Covered individuals also have a continuing obligation and responsibility for recognizing, avoiding, and reporting personal behaviors of a potential security, counterintelligence, and or insider threat concern. This includes not only self-reporting but reporting the behaviors of others with access to classified information or who hold a sensitive position.
The reporting responsibility is an important part of the "continuous evaluation" process to maintain eligibility for an NRC security clearance/access authorization.
SEAD 3 Reporting Requirements
Unofficial Foreign Contacts:
- Contact with a known or suspected foreign intelligence entity.
- Service(s) involved
- Name of individual(s) contacted
- Date(s) of contact
- Nature of contact to include any unusual or suspicious activity
- Likelihood of future contacts
- Continuing association with known foreign nationals that involve bonds of affection, personal obligation, or intimate contact; or any contact that involves the exchange of personal information. The reporting of limited or casual public contact with foreign nationals is not required absent any other reporting requirement.
- Name of foreign national(s)
- Nature of relationship (i.e. business or personal)
- Duration and frequency of contact(s)
- Current status of relationship(s)
- After initial reporting, provide updates in significant changes in the nature of the contact regarding continuing unofficial association.
Note: Individuals are still responsible for reporting suspicious interactions, activity or unexpected events when traveling or meeting foreign nationals for official business.
- Foreign National Roommate; any foreign national(s) who co-occupies a residence for a period of more than 30 calendar days.
- Direct involvement in foreign business
- Nature of involvement
- Countries involved
- Name of business
- Foreign bank accounts
- Financial Institution
- Ownership of foreign property
- Estimated value
- Balance due
- Purpose and use or property
- How acquired
- Application for and receipt of foreign citizenship
- Basis for citizenship
- Date of application or receipt
- Application for, possession, or use of a foreign passport or identity card for travel
- Date of application
- Reason for application/possession
- Date of Issuance
- Expiration date
- Voting in a foreign election
- Adoption of non-U.S. citizen children
- Country involved
- Foreign government organization involved
- Foreign travel required
- Adoption agency or other intermediary
- Adoptive parents' current linkage to foreign country
Unofficial (Personal) Foreign Travel:
The NRC is currently following YA-18-0025 that amends MD 12.3 for unofficial foreign travel requirements.
- Travel to State Department designated Level 3 and 4 countries must be reported prior to departure or within five (5) days of return.
- Level 1 and 2 countries do not need to be reported.
- Visit the State Department Travel Advisories to view foreign country travel advisory levels.
- Date(s) of the incident(s)
- Location(s) of the incidents(s)
- Charges and/or circumstances
- Involvement in Civil Court Actions
Change in Marital Status (including Legal Separation):
- Name of spouse
- Citizenship of spouse
- Date of Birth
- Place of Birth
- Date of Marriage
- Date of Divorce/Separation
Change of Name:
Note: Individuals who marry or cohabitate in a spouse-like relationship after they have submitted an SF–86 must furnish the Personnel Security Branch with an original NRC Form 354, "Data Report on Spouse," available on the NRC Forms Library on SharePoint.
Change in Cohabitation:
- Date of Birth
- Place of Birth
- Duration of contact(s)
Enrollment in a Drug or Alcohol Treatment Program:
- Treatment provider, to include contact information
- Date(s) treatment provided
Financial Issues and Anomalies:
- Type of issue or anomaly (bankruptcy; garnishment; over 120 days delinquent on any debt; tax liens; foreclosures; failure to file/pay Federal or State taxes; Any unusual infusion of assets of $10,000 or greater such as an inheritance, winnings, or similar financial gain)
- Dollar value
- Attempted elicitation, exploitation, blackmail, coercion, or enticement to obtain classified or other "protected" information (specifically prohibited by law) from disclosure regardless of means.
- Date(s) of incident(s)
- Name of individual(s) involved
- Nature of incident
- Method of contact
- Electronic address
- Type of information being sought
- Background, circumstances, and current state of the matter
- Unofficial media contacts where the media seeks access to classified or otherwise "protected" information (specifically prohibited by law from disclosure), whether or not the contact results in an unauthorized disclosure. Media contacts related to the fulfillment of official duties of the position held by the individual need not be reported.
- Date(s) of contact
- Name of media outlet
- Name of media representative
- Nature and purpose of contact
- Whether classified information or other information specifically prohibited by law from disclosure was involved in the contact
- Current status of the contact
- Treatment for emotional, mental, or personality disorders (except marriage, grief, or family counseling not related to violence by you or strictly related to adjustments from service in a military combat environment). Victims of sexual assault who have consulted with a health care professional regarding an emotional or mental health condition strictly in relation to the sexual assault are not required to report. Court-ordered counseling must be reported.
Note: Employees are encouraged to seek help for mental health and/or addiction issues and such treatment is not automatically adverse to maintaining a national security clearance. Employees do not have to report contacts with the Employee Assistance Program (EAP) where EAP merely provides an assessment of the employee's condition, or simply provides a referral to another provider of health care services. Counseling/treatment from a third party mental health care provider/counselor, beyond EAP services, must be reported unless it falls within the non-reportable exceptions listed above.
- Outside Employment that creates a conflict of interest
Actions by Others:
Note: Though some states, U.S. territories and the District of Columbia permit the recreational and/or medical use of marijuana under state or district law, marijuana still remains illegal under Federal law and is identified as a Schedule I drug under the Controlled substances Act.
NRC employees, and all other NRC security clearance holders, have an obligation to promptly report any information that raises doubts as to whether someone's continued eligibility for access to classified information is consistent with national security.
In addition to the items listed above, reportable information of others includes, but is not limited to:
- Alcohol Abuse; use of intoxicating beverages habitually to excess without evidence of rehabilitation or reformation or being hospitalized or treated for alcohol abuse.
- Illegal use or misuse of drugs or drug activity; 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.
- Commission of, attempted commission of, or conspiracy to commit any act of sabotage, treason, or sedition.
- 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.
- 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.
- Renouncing U.S. citizenship or representing a foreign nation in activities that may be contrary to national security of the United States.
- 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.
- Observing or having knowledge of another individual who willfully violates or disregards security or safeguards regulations.
- 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.
- 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.
- 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.
- 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.
- Any employment or association or change in employment or association with a foreign or foreign-owned interest or representatives.
- Contact with persons, including foreign nationals, who seek in any way to obtain unauthorized access to classified information.
- Effort by any individual to obtain or gain unauthorized access to classified information or special nuclear material.
- Any financial considerations that indicate an inability or an unwillingness to satisfy debts. Examples include:
- Not meeting financial obligations, such as a mortgage foreclosure, bankruptcy, debt collections, charge-offs, or failure to pay State and Federal taxes;
- Financial problems linked to gambling, drug abuse, alcoholism; or
- Other financial issues.
- An unwillingness to comply with rules, regulations, or security requirements
- Unexplained affluence or excessive indebtedness
- Misuse of U.S. Government property or information systems
How to Report
All NRC employees, contractors, licensees, licensee contractors, and other covered individuals should continue to report information in accordance with their current practices as required.
Required information must be sent to the Personnel Security Branch (PSBReporting.Resource@nrc.gov) within five (5) days of a specified event occurring. Failure to timely report the information could result in disciplinary action and/or affect eligibility for a security clearance.
As direction from the Commission is still pending, more information on any revised reporting requirements will be provided once available.
Office of Administration
Division of Facilities and Security
Personnel Security Branch
Washington, DC 20555–0001
Page Last Reviewed/Updated Tuesday, May 19, 2020