Current through all regulations passed and filed through March 18, 2024
(A) Granting unescorted access authorization:
(1) Licensees shall implement the
requirements of this rule 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 paragraph (C) of rule
3701:1-37-15 of the
Administrative Code before being allowed unescorted access to category one or
category two 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 one or category two
quantities of radioactive materials 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. Provide oath
or affirmation certifications to the director at the address specified in rule
3701:1-37-04 of the
Administrative Code. The fingerprints of the named reviewing official
must be taken by a law enforcement agency, federal or state agencies that
provide fingerprinting services to the public, or commercial fingerprinting
services authorized by a state to take fingerprints. The licensee shall
recertify that the reviewing official is deemed trustworthy and reliable every
ten years in accordance with paragraph (C) of rule
3701:1-37-09 of the
Administrative Code.
(3) Reviewing
officials must be permitted to have unescorted access to category one or
category two quantities of radioactive materials or access to safeguards
information or safeguards information-modified handling, if the licensee
possesses safeguards information or safeguards information-modified
handling.
(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 undergone a background investigation that included fingerprinting and a
federal bureau of investigation (FBI) criminal history records check and has
been determined to be trustworthy and reliable by the licensee; or
(b) The individual is subject to a category
listed in paragraph (A) of rule
3701:1-37-11 of the
Administrative Code.
(C) Informed consent:
(1) Licensees may not initiate a background
investigation without the informed and signed consent of the subject
individual. This consent must 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 paragraph (B) of rule
3701:1-37-09 of the
Administrative Code. A signed consent must 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 rules
3701:1-37-07 to
3701:1-37-13 of the
Administrative Code 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 rules
3701:1-37-07 to
3701:1-37-13 of the
Administrative Code.
(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 rules
3701:1-37-07 to
3701:1-37-13 of the
Administrative Code 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 has been 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 seven working days, 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 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.
(G) Right to correct
and complete information:
(1) Prior to any
final adverse determination, licensees shall provide each individual subject to
rules 3701:1-37-07 to
3701:1-37-13 of the
Administrative Code 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.
(2) 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 published in
28 CFR
16.30 through
16.34 (in effect on the effective
date of this rule). 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 makes any changes necessary in accordance with the
information supplied by that agency. Licensees must provide at least ten days
for an individual to initiate action to challenge the results of an FBI
criminal history records check after the record being 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.
(H) Records:
(1) 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 one or category two quantities of radioactive material.
(2) 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.
(3)
The licensee shall retain the list of persons approved for unescorted access
authorization for three years after the list is superseded or
replaced.