Section 337.1030 Background Investigations

Section 337.1030  Background Investigations

a)         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 shall encompass at least the 7 years preceding

the date of the background investigation or since the individual's 18

th

birthday, whichever is shorter.  The background investigation shall include, at

a minimum:

1)         Fingerprinting

and an FBI identification and criminal history records check in accordance with

Section 337.1040;

2)         Verification

of True Identity.  Licensees shall 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.  A licensee shall review official identification

documents (e.g., driver's license; passport; government identification and/or

certificate of birth issued by the state, province or country of birth) and

compare the documents to personal information 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

Section 337.1060.  Licensees shall certify in writing that the identification

was properly reviewed and shall maintain the certification and all related

documents for review upon inspection;

3)         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 7 years

before the date of application or since the individual's 18

th

birthday, whichever is shorter;

4)         Verification

of Education

view upon inspection;

3)         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 7 years

before the date of application or since the individual's 18

th

birthday, whichever is shorter;

4)         Verification

of Education.  Licensees shall verify that the individual participated in the

education process during the claimed period; and

5)         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 this Subpart shall be

limited to whether the individual has been and continues to be trustworthy and

reliable.

b)         The

licensee shall, to the extent possible, obtain independent information to

corroborate that provided by the individual (e.g., seek references not supplied

by the individual).

c)         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 (no less than 10 business days after

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

information or

indicates an inability or unwillingness to provide information within a time

frame deemed appropriate by the licensee (no less than 10 business days after

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.

d)         Grandfathering

1)         Individuals

who were previously 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.

2)         Individuals

who have been determined to be trustworthy and reliable under the provisions of

a security order 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 a security

order. These individuals shall be subject to the reinvestigation requirement.

AGENCY NOTE:  Security order, in

this context, refers to any order that was issued by the NRC or an amendment to

a license issued by IEMA that required fingerprints and an FBI criminal history

records check for access to safeguards information, safeguards information –

modified handling or risk significant material.

e)         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

a license issued by IEMA that required fingerprints and an FBI criminal history

records check for access to safeguards information, safeguards information –

modified handling or risk significant material.

e)         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 Section 337.1040.  The

reinvestigations shall be completed within 10 years after the date that these

elements were last completed.