| (i) fingerprinting and an FBI identification and criminal
history records check in accordance with paragraph (5) of this subsection;
(ii) verification of true identity. Licensees shall:
(I) verify the true identity of the individual who
is applying for unescorted access authorization to ensure that the
applicant is who he or she claims to be;
(II) review official identification documents (e.g.,
driver's license; passport; government identification; certificate
of birth issued by the state, province, or country of birth) and compare
the documents to personal information data provided by the individual
to identify any discrepancy in the information;
(III) document the type, expiration, and identification
number of the identification document, or maintain a photocopy of
identifying documents on file in accordance with paragraph (7) of
this subsection;
(IV) certify in writing that the identification was
properly reviewed; and
(V) maintain the certification and all related documents
for inspection by the department in accordance with subsection (mm)
of this section;
(iii) employment history verification. Licensees shall:
(I) complete an employment history verification, including
military history; and
(II) verify the individual's employment with each previous
employer for the most recent 7 years before the date of application;
(iv) verification of education. Licensees shall verify
that the individual participated in the education process during the
claimed period;
(v) character and reputation determination. Licensees
shall complete reference checks to determine the character and reputation
of the individual who has applied for unescorted access authorization.
Unless other references are not available, reference checks may not
be conducted with any person who is known to be a close member of
the individual's family, including the individual's spouse, parents,
siblings, or children, or any individual who resides in the individual's
permanent household. Reference checks as specified in paragraphs (2)
and (3), this paragraph, and paragraphs (5) - (8) of this subsection
must be limited to whether the individual has been and continues to
be trustworthy and reliable;
(vi) the licensee shall also, to the extent possible,
obtain independent information to corroborate that provided by the
individual (e.g., seek references not supplied by the individual);
and
(vii) if a previous employer, educational institution,
or any other entity with which the individual claims to have been
engaged fails to provide information or indicates an inability or
unwillingness to provide information within a time frame deemed appropriate
by the licensee but at least after 10 business days of the request
or if the licensee is unable to reach the entity, the licensee shall
document the refusal, unwillingness, or inability in the record of
investigation; and attempt to obtain the information from an alternate
source.
(B) Grandfathering.
(i) Individuals who have been determined to be trustworthy
and reliable for unescorted access to category 1 or category 2 quantities
of radioactive material as specified in the fingerprint orders may
continue to have unescorted access to category 1 and category 2 quantities
of radioactive material without further investigation. These individuals
shall be subject to the reinvestigation requirement.
(ii) Individuals who have been determined to be trustworthy
and reliable in accordance with Title 10, CFR, Part 73, or the security
orders for access to safeguards information, safeguards information-modified
handling, or risk-significant material may have unescorted access
to category 1 and category 2 quantities of radioactive material without
further investigation. The licensee shall document that the individual
was determined to be trustworthy and reliable under Title 10, CFR,
Part 73, or a security order. Security order, in this context, refers
to any order that was issued by the NRC that required fingerprints
and an FBI criminal history records check for access to safeguards
information, safeguards information-modified handling, or risk significant
material such as special nuclear material or large quantities of uranium
hexafluoride. These individuals shall be subject to the reinvestigation
requirement.
(C) Reinvestigations. Licensees shall conduct a reinvestigation
every 10 years for any individual with unescorted access to category
1 or category 2 quantities of radioactive material. The reinvestigation
shall consist of fingerprinting and an FBI identification and criminal
history records check in accordance with paragraph (5) of this subsection.
The reinvestigations must be completed within 10 years of the date
on which these elements were last completed.
(5) Requirements for criminal history records checks
of individuals granted unescorted access to category 1 or category
2 quantities of radioactive material.
(A) General performance objective and requirements.
(i) Except for those individuals listed in paragraph
(6) of this subsection and those individuals grandfathered under paragraph
(4)(B) of this subsection, each licensee subject to the requirements
of paragraphs (2) - (4), this paragraph, and paragraphs (6) - (8)
of this subsection shall:
(I) fingerprint each individual who is to be permitted
unescorted access to category 1 or category 2 quantities of radioactive
material;
(II) transmit all collected fingerprints to the NRC
for transmission to the FBI; and
(III) use the information received from the FBI as
part of the required background investigation to determine whether
to grant or deny further unescorted access to category 1 or category
2 quantities of radioactive materials for that individual.
(ii) The licensee shall notify each affected individual
that his or her fingerprints will be used to secure a review of his
or her criminal history record, and shall inform him or her of the
procedures for revising the record or adding explanations to the record.
(iii) Fingerprinting is not required if a licensee
is reinstating an individual's unescorted access authorization to
category 1 or category 2 quantities of radioactive materials if:
(I) the individual returns to the same facility that
granted unescorted access authorization within 365 days of the termination
of his or her unescorted access authorization; and
(II) the previous access was terminated under favorable
conditions.
(iv) Fingerprints do not need to be taken if an individual
who is an employee of a licensee, contractor, manufacturer, or supplier
has been granted unescorted access to category 1 or category 2 quantities
of radioactive material, access to safeguards information, or safeguards
information-modified handling by another licensee, based upon a background
investigation conducted in accordance with paragraphs (2) - (4), this
paragraph, and paragraphs (6) - (8) of this subsection, the fingerprint
orders, or Title 10, CFR, Part 73. An existing criminal history records
check file may be transferred to the licensee asked to grant unescorted
access in accordance with the requirements of paragraph (7)(C) of
this subsection.
(v) Licensees shall use the information obtained as
part of a criminal history records check solely for the purpose of
determining an individual's suitability for unescorted access authorization
to category 1 or category 2 quantities of radioactive materials, access
to safeguards information, or safeguards information-modified handling.
(B) Prohibitions.
(i) Licensees may not base a final determination to
deny an individual unescorted access authorization to category 1 or
category 2 quantities of radioactive material solely on the basis
of information received from the FBI involving:
(I) an arrest more than one year old for which there
is no information of the disposition of the case; or
(II) an arrest that resulted in dismissal of the charge
or an acquittal.
(ii) Licensees may not use information received from
a criminal history records check obtained under paragraphs (2) - (4),
this paragraph, and paragraphs (6) - (8) of this subsection in a manner
that would infringe upon the rights of any individual under the First
Amendment to the Constitution of the United States, nor shall licensees
use the information in any way that would discriminate among individuals
on the basis of race, religion, national origin, gender, or age.
(C) Procedures for processing of fingerprint checks.
(i) For the purpose of complying with paragraphs (2)
- (4), this paragraph, and paragraphs (6) - (8) of this subsection,
licensees shall use an appropriate method listed in Title 10, CFR, §37.7,
to submit to the U.S. Nuclear Regulatory Commission, Director, Division
of Physical and Cyber Security Policy, 11545 Rockville Pike, ATTN:
Criminal History Program/Mail Stop T-07D04M, 11545 Rockville Pike,
Rockville, Maryland 20852, one completed, legible standard fingerprint
card (Form Cont'd... |
