Section 337.1020 Access Authorization Program Requirements

Section 337.1020  Access Authorization Program

Requirements

a)         Granting

Unescorted Access Authorization

1)         Licensees

shall implement the requirements of this Subpart for granting initial or

reinstated unescorted access authorization.

2)         Individuals

who have been determined to be trustworthy and reliable shall also complete the

security training required by Section 337.2020(c) before being allowed

unescorted access to category 1 or category 2 quantities of radioactive material.

b)         Reviewing

Officials

1)         Reviewing

officials are the only individuals who may make trustworthiness and reliability

determinations that allow individuals to have unescorted access to category 1

or category 2 quantities of radioactive material possessed by the licensee.

2)         Each

licensee shall name one or more individuals to be reviewing officials. After

completing the background investigation on the reviewing official, the licensee

shall provide, under oath or affirmation, a certification that the reviewing

official is deemed trustworthy and reliable by the licensee. The fingerprints

of the named reviewing official shall be taken by a law enforcement agency,

federal agency or state agency that provides fingerprinting services to the

public or by commercial fingerprinting services authorized by a state to take

fingerprints. The licensee shall recertify that the reviewing official is

deemed trustworthy and reliable every 10 years in accordance with Section

337.1030(e).

3)         Reviewing

officials shall be permitted to have unescorted access to category 1 or category

2 quantities of radioactive material if their job duties require unescorted

access to category 1 or category 2 quantities of radioactive material as

referenced in Section 337.1010(c)(3).

4)         Reviewing

officials cannot approve other individuals to act as reviewing officials

337.1030(e).

3)         Reviewing

officials shall be permitted to have unescorted access to category 1 or category

2 quantities of radioactive material if their job duties require unescorted

access to category 1 or category 2 quantities of radioactive material as

referenced in Section 337.1010(c)(3).

4)         Reviewing

officials cannot approve other individuals to act as reviewing officials.

5)         A

reviewing official does not need to undergo a new background investigation

before being named by the licensee as the reviewing official if:

A)        The

individual has previously undergone a background investigation that included

fingerprinting and an FBI criminal history records check and has been

determined to be trustworthy and reliable by the licensee; or

B)        The

individual falls within a category listed in Section 337.1050(a).

c)         Informed

Consent

1)         Licensees

may not initiate a background investigation without the informed and signed

consent of the subject individual.  This consent shall include authorization to

share personal information with other individuals or organizations as necessary

to complete the background investigation.  Before a final adverse

determination, the licensee shall provide the individual with an opportunity to

correct any inaccurate or incomplete information that is developed during the

background investigation.  Licensees do not need to obtain signed consent from

those individuals that meet the requirements of Section 337.1030(d). A signed

consent shall be obtained prior to any reinvestigation.

2)         The

subject individual may withdraw his or her consent at any time

ual with an opportunity to

correct any inaccurate or incomplete information that is developed during the

background investigation.  Licensees do not need to obtain signed consent from

those individuals that meet the requirements of Section 337.1030(d). A signed

consent shall be obtained prior to any reinvestigation.

2)         The

subject individual may withdraw his or her consent at any time.  Licensees

shall inform the individual that:

A)        If an

individual withdraws his or her consent, the licensee may not initiate any

elements of the background investigation that were not in progress at the time

the individual withdrew his or her consent; and

B)        The

withdrawal of consent for the background investigation is sufficient cause for

denial or termination of unescorted access authorization.

d)         Personal

History Disclosure

Any individual who is applying for

unescorted access authorization shall disclose the personal history information

that is required by the licensee's access authorization program for the

reviewing official to make a determination of the individual's trustworthiness

and reliability.  Refusal to provide, or the falsification of, any personal

history information required by this Subpart is sufficient cause for denial or

termination of unescorted access.

e)         Determination

Basis

1)         The

reviewing official shall determine whether to permit, deny, unfavorably

terminate, maintain or administratively withdraw an individual's unescorted

access authorization based on an evaluation of all of the information collected

to meet the requirements of this Subpart.

2)         The

reviewing official may not permit any individual to have unescorted access

until the reviewing official has evaluated all of the information collected to

meet the requirements of this Subpart and determined that the individual is

trustworthy and reliable

ed

access authorization based on an evaluation of all of the information collected

to meet the requirements of this Subpart.

2)         The

reviewing official may not permit any individual to have unescorted access

until the reviewing official has evaluated all of the information collected to

meet the requirements of this Subpart and determined that the individual is

trustworthy and reliable.  The reviewing official may deny unescorted access to

any individual based on information obtained at any time during the background

investigation.

3)         The

licensee shall document the basis for concluding whether or not there is

reasonable assurance that an individual is trustworthy and reliable.

4)         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 is granted unescorted

access authorization.

5)         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 requirement, the licensee shall remove the

person from the approved list as soon as possible, but no later than 7 working

days after the determination, and take prompt measures to ensure that the

individual is unable to have unescorted access to the material.

f)         Procedures.

Licensees shall develop, implement and maintain written procedures for

implementing the access authorization program

rement, the licensee shall remove the

person from the approved list as soon as possible, but no later than 7 working

days after the determination, and take prompt measures to ensure that the

individual is unable to have unescorted access to the material.

f)         Procedures.

Licensees shall develop, implement and maintain written procedures for

implementing the access authorization program.  The procedures shall include

provisions for:

1)         The

notification of individuals who are denied unescorted access;

2)         The

review, at the request of the affected individual, of a denial or termination

of unescorted access authorization;

3)         Ensuring

that the individual is informed of the grounds for the denial or termination of

unescorted access authorization; and

4)         Allowing

the individual an opportunity to provide additional relevant information.

g)         Right

to Correct and Complete Information

1)         Prior

to any final adverse determination, licensees shall provide each individual

subject to this Subpart with the right to complete, correct and explain

information obtained as a result of the background investigation.  Confirmation

of receipt by the individual of this notification shall be maintained by the

licensee for a period of one year from the date of the notification.

2)         If,

after reviewing his or her criminal history record, an individual believes that

it is incorrect or incomplete 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

te 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

through 16.34.  In the latter case, the FBI will forward the challenge to the agency

that submitted the data and will request that the submitting agency verify or

correct the challenged entry.  Upon receipt of an official communication directly

from the submitting agency that contributed the original information, the FBI

Identification Division should make any necessary changes in accordance with

the information supplied by that submitting agency.  Licensees shall provide at

least 10 business 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 shall make a final adverse

determination based upon the criminal history records only after receipt of the

FBI's confirmation or correction of the record.

h)         Records

1)         The

licensee shall retain documentation regarding the trustworthiness and

reliability of individual employees for 3 years from the date the individual no

longer requires unescorted access to category 1 or category 2 quantities of

radioactive material.

2)         The

licensee shall retain a copy of the current access authorization program

procedures as a record for 3 years after the procedure is no longer needed.  If

any portion of the procedure is superseded, the licensee shall retain the

superseded material for 3 years after the record is superseded

requires unescorted access to category 1 or category 2 quantities of

radioactive material.

2)         The

licensee shall retain a copy of the current access authorization program

procedures as a record for 3 years after the procedure is no longer needed.  If

any portion of the procedure is superseded, the licensee shall retain the

superseded material for 3 years after the record is superseded.

3)         The

licensee shall retain the list of persons approved for unescorted access authorization

for 3 years after the list is superseded or replaced.