| (C) The licensee shall document the basis for concluding
whether or not there is reasonable assurance that an individual is
trustworthy and reliable.
(D) The reviewing official may terminate or administratively
withdraw an individual's unescorted access authorization based on
information obtained after the background investigation has been completed
and the individual granted unescorted access authorization.
(E) Licensees shall maintain a list of persons currently
approved for unescorted access authorization. When a licensee determines
that a person no longer requires unescorted access or meets the access
authorization requirements, the licensee shall remove the person from
the approved list as soon as possible, but no later than seven working
days, and take prompt measures to ensure that the individual is unable
to have unescorted access to the material.
(6) Procedures. Licensees shall develop, implement,
and maintain written procedures for implementing the access authorization
program. The procedures must include provisions for the notification
of individuals who are denied unescorted access. The procedures must
include provisions for the review, at the request of the affected
individual, of a denial or termination of unescorted access authorization.
The procedures must contain a provision to ensure that the individual
is informed of the grounds for the denial or termination of unescorted
access authorization and allow the individual an opportunity to provide
additional relevant information.
(7) Right to correct and complete information.
(A) Prior to any final adverse determination, licensees
shall provide each individual subject to subsection (b) of this section,
this subsection, and subsections (d) - (h) of this section with the
right to complete, correct, and explain information obtained as a
result of the licensee's background investigation. Confirmation of
receipt by the individual of this notification must be maintained
by the licensee for a period of one year from the date of the notification.
(B) If, after reviewing his or her criminal history
record, an individual believes that it is incorrect or incomplete
in any respect and wishes to change, correct, update, or explain anything
in the record, the individual may initiate challenge procedures. These
procedures include direct application by the individual challenging
the record to the law enforcement agency that contributed the questioned
information or a direct challenge as to the accuracy or completeness
of any entry on the criminal history record to the Federal Bureau
of Investigation, Criminal Justice Information Services (CJIS) Division,
ATTN: SCU, Mod. D-2, 1000 Custer Hollow Road, Clarksburg, WV 26306,
as set forth in 28 CFR §§16.30 - 16.34. In the latter case,
the FBI will forward the challenge to the agency that submitted the
data, and will request that the agency verify or correct the challenged
entry. Upon receipt of an official communication directly from the
agency that contributed the original information, the FBI Identification
Division will make any changes necessary in accordance with the information
supplied by that agency. Licensees must provide at least 10 days for
an individual to initiate action to challenge the results of an FBI
criminal history records check after the record is made available
for his or her review. The licensee may make a final adverse determination
based upon the criminal history records only after receipt of the
FBI's confirmation or correction of the record.
(8) Records.
(A) The licensee shall retain documentation regarding
the trustworthiness and reliability of individual employees for three
years from the date the individual no longer requires unescorted access
to category 1 or category 2 quantities of radioactive material.
(B) The licensee shall retain a copy of the current
access authorization program procedures as a record for three years
after the procedure is no longer needed. If any portion of the procedure
is superseded, the licensee shall retain the superseded material for
three years after the record is superseded.
(C) The licensee shall retain the list of persons approved
for unescorted access authorization for three years after the list
is superseded or replaced.
(d) Background investigations.
(1) Initial investigation. Before allowing an individual
unescorted access to category 1 or category 2 quantities of radioactive
material or to the devices that contain the material, licensees shall
complete a background investigation of the individual seeking unescorted
access authorization. The scope of the investigation must encompass
at least the seven years preceding the date of the background investigation
or since the individual's eighteenth birthday, whichever is shorter.
The background investigation 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.
Cont'd... |
