DHS 157.9702(1)(a)(a) Background investigation elements. Before allowing an individual unescorted access to category 1 or category 2 quantities of radioactive material or to the devices that contain the material, a licensee 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 the length of time since the individual’s eighteenth birthday, whichever is shorter. The background investigation shall include at a minimum all of the following:

DHS 157.9702(1)(a)1.1. ‘Criminal history check.’ The licensee shall conduct fingerprinting and a FBI identification and criminal history records check under s. DHS 157.9703.

DHS 157.9702(1)(a)2.2. ‘Verification of true identity.’ The licensee shall verify the true identity of the applicant. The 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 provided by the individual to identify any discrepancy in the information. The licensee shall document the type, expiration, and identification number of the identification document, or maintain a photocopy of identifying documents on file under s. DHS 157.9705. The licensee shall certify in writing that the identification was properly reviewed, and shall maintain the certification and all related documents for review upon inspection.

DHS 157.9702(1)(a)3.3. ‘Employment history verification.’ The licensee shall verify the applicant’s employment history, including military history, with each employer for the 7 years immediately preceding the date of application.

DHS 157.9702(1)(a)4.4. ‘Verification of education.’ The licensee shall verify any educational credentials or experience claimed by the applicant.

DHS 157.9702(1)(a)5.5. ‘Character and reputation determination.’ The licensee shall complete reference checks to determine the character and reputation of the applicant. Unless other references are not available, references may not be obtained from any person who is known to be a close member of the applicant’s family, including but not limited to the applicant’s spouse, parents, siblings, or children, or any individual who resides in the applicant’s permanent household. Reference checks under this subchapter shall be obtained for the limited purpose of determining whether the applicant has been and continues to be trustworthy and reliable.

DHS 157.9702(1)(a)6.6. ‘Additional information.’ The licensee shall, to the extent possible, obtain independent information to corroborate information provided by the applicant, including but not limited to, seeking references not supplied by the applicant.

DHS 157.9702(1)(b)(b) Unresponsive background investigation. If a current or previous employer, educational institution, or any other entity with which the applicant claims to have been engaged, fails to provide information, or indicates an inability or unwillingness to provide information, or if a licensee cannot reach the entity, within a time frame considered appropriate by the licensee but no more than 10 business days after the request, the licensee shall document the refusal, unwillingness, or inability in the background investigation record and attempt to obtain the information from an alternate source.

DHS 157.9702(2)(a)1.1. Except as provided in subd. 2. an individual who has 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.

DHS 157.9702(2)(a)2.2. An individual grandfathered under subd. 1. shall be subject to the reinvestigation requirement under sub. (3).

DHS 157.9702(2)(b)1.1. Except as provided under subd. 2. an individual who has been determined to be trustworthy and reliable under 10 CFR 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. A licensee shall document that the individual was determined to be trustworthy and reliable under 10 CFR 73 or a security order.

DHS 157.9702(2)(b)2.2. An individual grandfathered under subd. 1. shall be subject to the reinvestigation requirement under sub. (3).

DHS 157.9702(3)(3) Reinvestigations. A licensee 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 a FBI identification and criminal history records check under s. DHS 157.9703. The reinvestigations shall be completed within 10 years of the date on which fingerprinting and an FBI identification and criminal history records check under s. DHS 157.9703 were last completed.

DHS 157.9702 HistoryHistory: CR 16-078: cr. Register January 2018 No. 745, eff. 2-1-18; renumbered from DHS 157.102 under s. 13.92 (4) (b) 1., Stats., and correction in (1) (a) 1., 2., (3) made under s. 13.92 (4) (b) 7., Stats., Register January 2018 No. 745; CR 22-015: am. (2) (b) 1. Register June 2023 No. 810, eff. 7-1-23.

DHS 157.9703(1)(a)(a) Except for those individuals listed in s. DHS 157.9704 and those individuals grandfathered under s. DHS 157.9702 (2), a licensee subject to the provisions of this subchapter shall fingerprint each individual seeking unescorted access to category 1 or category 2 quantities of radioactive material. The licensee 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 the individual will be granted or denied unescorted access to category 1 or category 2 quantities of radioactive materials.

DHS 157.9703(1)(b)(b) The licensee shall notify each affected individual that the individual’s fingerprints will be used to secure a review of the individual’s criminal history record, and shall also provide notice to the individual of the procedures for revising the record or adding explanations to the record.

DHS 157.9703(1)(c)(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 and all the following apply:

DHS 157.9703(1)(c)1.1. 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.

DHS 157.9703(1)(c)2.2. The individual’s previous unescorted access authorization was terminated under favorable conditions.

DHS 157.9703(1)(d)(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 subchapter, fingerprint orders, or 10 CFR 73. An existing criminal history records check file may be transferred to a licensee asked to grant unescorted access under s. DHS 157.9705 (3).

DHS 157.9703(1)(e)(e) A licensee shall use the information obtained as part of a criminal history records check solely to determine 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.

DHS 157.9703(2)(a)(a) A licensee 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’s criminal history records indicating any of the following: