must include at a minimum:
(A) fingerprintings and an FBI identification and criminal
history records check in accordance with subsection (e) of this section;
(B) verification of true identity. Licensees shall
verify the true identity of the individual applying for unescorted
access authorization to ensure that the applicant is who he or she
claims to be. A licensee shall 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. Licensees shall document
the type, expiration, and identification number of the identification
document, or maintain a photocopy of identifying documents on file
in accordance with subsection (g) of this section. Licensees shall
certify in writing that the identification was properly reviewed
and shall maintain the certification and all related documents for
review upon inspection;
(C) employment history verification. Licensees shall
complete an employment history verification, including military history.
Licensees shall verify the individual's employment with each previous
employer for the most recent seven years before the date of application;
(D) verification of education. Licensees shall verify
the individual's education during the claimed period;
(E) 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 but not limited to the individual's
spouse, parents, siblings, or children, or any individual who resides
in the individual's permanent household. Reference checks under subsections
(b) and (c) of this section, this subsection, and subsections (e)
- (h) of this section must be limited to whether the individual has
been and continues to be trustworthy and reliable;
(F) the licensee shall also, to the extent possible,
obtain independent information to corroborate the information provided
by the individual (e.g., seek references not supplied by the individual);
and
(G) 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.
(2) Grandfathering.
(A) Individuals who have been determined to be trustworthy
and reliable for unescorted access to category 1 or category 2 quantities
of radioactive material under 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.
(B) Individuals who have been determined to be trustworthy
and reliable under the provisions of 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 the provisions
of 10 CFR Part 73 or a Security Order. Security Order, in this context,
refers to any order that was issued by the United States Nuclear
Regulatory Commission (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.
(3) 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 subsection (e) of this section.
The reinvestigations must be completed within 10 years of the date
on which these elements were last completed.
(e) Requirements for criminal history records checks
of individuals granted unescorted access to category 1 or category
2 quantities of radioactive material.
(1) General performance objective and requirements.
(A) Except for those individuals listed in subsection
(f) of this section and those individuals grandfathered under subsection
(d)(2) of this section, each licensee subject to the provisions of
subsections (b) - (d) of this section, this subsection, and subsections
(f) - (h) of this section shall fingerprint each individual who is
to be permitted unescorted access to category 1 or category 2 quantities
of radioactive material. Licensees shall transmit all collected fingerprints
to the NRC for transmission to the FBI. The licensee shall 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.
(B) 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.
(C) 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.
(D) 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 under this section, the Fingerprint Orders,
or 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 provisions of subsection (g)(3) of this section.
(E) 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.
(2) Prohibitions.
(A) 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.
(B) Licensees may not use information received from
a criminal history records check obtained under subsections (b) -
(d) of this section, this subsection, and subsections (f) - (h) of
this section 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.
(3) Procedures for processing of fingerprint checks.
(A) For the purpose of complying with subsections (b)
- (d) of this section, this subsection, and subsections (f) - (h)
of this section, licensees shall use an appropriate method listed
in 10 CFR §37.7 to submit to the United States Nuclear Regulatory
Commission, Director, Division of Facilities and Security, 11545 Rockville
Pike, ATTN: Criminal History Program/Mail Stop T-03B46M, Rockville,
Maryland 20852-2738, one completed, legible standard fingerprint card
(Form FD-258, ORIMDNRCOOOZ), electronic fingerprint scan or, where
practicable, other fingerprint record for each individual requiring
unescorted access to category 1 or category 2 quantities of radioactive
material. Copies of these forms may be obtained by writing the Office
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