Section He-P 4038.09 - Background Investigations(a) 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 eighteenth 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 He-P 4038.10;(2) Verification of 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: a. Review official identification documents such as a driver's license, passport, government identification, or a 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;b. Document the type, expiration, and identification number of the identification document, or maintain a photocopy of identifying documents on file in accordance with He-P 4038.12;c. Certify in writing that the identification was properly reviewed, and maintain the certification and all related documents for review upon inspection;d. Complete an employment history verification, including military history and verify the individual's employment with each previous employer for the most recent 7 years before the date of application;e. Verify that the individual participated in the education process during the claimed period;f. Complete reference checks as required: (i) To determine the character and reputation of the individual who has applied for unescorted access authorization;(ii) To conduct reference checks with any person who is not a close member of the individual's family when other references are not available, including but not limited to the individual's spouse, parents, siblings, or children, or any individual who resides in the individual's permanent household; and(iii) Performing reference checks shall be limited to whether the individual has been and continues to be trustworthy and reliable;g. To the extent possible, obtain independent information by seeking references not supplied by the individual to corroborate that information which has been provided by the individual; andh. Obtain from an alternative source:(i) 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(ii) If the licensee is unable to reach the entity, document the refusal, unwillingness, or inability in the record of investigation.(b) The 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 shall continue to have unescorted access to category 1 and category 2 quantities of radioactive material without further investigation. These individuals shall be:(1) Subjected to the reinvestigation requirement in (d) below; and(2) Trustworthy and reliable under the provisions of He-P 4038, the regulations of an equivalent agreement state, the NRC 10 CFR 73, or 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.(c) The licensee shall document that the individual was determined to be trustworthy and reliable under the provisions of He-P 4038, the regulations of an equivalent agreement state, the NRC 10 CFR 73, or a security order. Security order, in this context, means any order that was issued by the 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.(d) 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: (1) Consist of fingerprinting and an FBI identification and criminal history records check in accordance with He-P 4038.10; and(2) Be completed within 10 years of the date on which these elements were last completed.N.H. Admin. Code § He-P 4038.09
Derived From Volume XXXVI Number 23, Filed June 9, 2016, Proposed by #11105, Effective 5/25/2016, Expires 5/25/2026.Amended by Volume XXXVI Number 49, Filed December 8, 2016, Proposed by #12055, Effective 11/19/2016, Expires 11/19/2026.Amended by Volume XXXIX Number 16, Filed April 18, 2019, Proposed by #12744, Effective 3/20/2019, Expires 3/20/2029.Amended by Volume XXXIX Number 50, Filed December 12, 2019, Proposed by #12931, Effective 11/26/2019, Expires 11/26/2029.Amended by Number 15, Filed April 13, 2023, Proposed by #13598, Effective 3/24/2023, Expires 3/24/2033.