Section DHS 157.9701 - Access authorization program(1) GRANTING UNESCORTED ACCESS AUTHORIZATION. (a) A licensee shall implement the requirements of this subchapter for granting initial or reinstated unescorted access authorization.(b) An individual who has been determined to be trustworthy and reliable shall complete the security training required under s. DHS 157.9708 (3) before being allowed unescorted access to category 1 or category 2 quantities of radioactive material.(2) REVIEWING OFFICIALS. (a) Only a reviewing official may make trustworthiness and reliability determinations that allow individuals to have unescorted access to category 1 or category 2 quantities of radioactive materials possessed by a licensee.(b) Each licensee shall name one or more individuals to be a reviewing official. After completing a background investigation on the reviewing official, the licensee shall provide to the department, under oath or affirmation, a written 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, a federal or state agency that provides fingerprinting services to the public, or a commercial fingerprinting service authorized by a state to take fingerprints. Every 10 years, the licensee shall recertify that the reviewing official is deemed trustworthy and reliable under s. DHS 157.9702 (3).(c) The licensee shall permit its reviewing official to have unescorted access to category 1 or category 2 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.(d) A reviewing official may not approve other individuals to act as a reviewing official.(e) A reviewing official does not need to undergo a new background investigation before being named by a licensee as the reviewing official if any of the following apply: 1. The individual has undergone a background investigation that included fingerprinting and a FBI criminal history records check and has been determined to be trustworthy and reliable by the licensee.2. The individual is subject to a category listed in s. DHS 157.9704 (1).(3) INFORMED CONSENT. (a) A licensee may not initiate a background investigation without the informed and signed consent of the individual. This consent shall include authorization to share personal information with other individuals or organizations as necessary to complete the background investigation. Before making a final adverse determination, the licensee shall provide the individual with an opportunity to correct any inaccurate or incomplete information that is obtained during the background investigation. A licensee does not need to obtain a signed consent from those individuals that meet the requirements of s. DHS 157.9702 (2). A signed consent shall be obtained before any reinvestigation.(b) The subject individual may withdraw consent to a background investigation at any time. If an individual withdraws consent for a background investigation, the licensee shall inform the individual of all of the following:1. The licensee may not initiate any elements of the background investigation that were not in progress at the time the individual withdrew consent.2. A withdrawal of consent for a background investigation is sufficient cause for denial or termination of unescorted access authorization.(4) PERSONAL HISTORY DISCLOSURE. An individual who applies 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 under this subchapter is sufficient cause for denial or termination of unescorted access.(5) DETERMINATION BASIS. (a) 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 the information collected to meet the requirements of this subchapter.(b) The reviewing official may not permit any individual to have unescorted access until the reviewing official has evaluated all the information collected to meet the requirements of this section and has 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.(c) 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.(d) A licensee shall document the basis for concluding whether or not there is reasonable assurance that an individual is trustworthy and reliable.(e) A licensee shall maintain a list of individuals who are approved for unescorted access authorization. When a licensee determines that an individual no longer requires unescorted access or no longer meets the access authorization requirements, the licensee shall remove the individual from the approved list as soon as possible, but no later than 7 working days of that determination, and take prompt measures to ensure that the individual does not have unescorted access to category 1 or category 2 quantities of radioactive material.(6) PROCEDURES. (a) A licensee shall develop, implement, and maintain written procedures for implementing the access authorization program. The procedures shall include provisions for providing notification to individuals who are denied unescorted access authorization, or whose unescorted access authorization is terminated; provisions for the review of the decision at the request of the affected individual; and provisions allowing the individual an opportunity to provide additional relevant information.(b) The notification required under par. (a) shall include the grounds for denial or termination and the licensee's procedures on how the individual may request a review of the decision to deny or terminate the individual's unescorted access authorization.(7) RIGHT TO CORRECT AND COMPLETE INFORMATION.(a) Before any final adverse determination is made, a licensee shall provide to each individual who is subject to a background investigation under this subchapter, written notice that the individual may complete, correct, and explain information obtained as a result of the background investigation. A copy of the notice and confirmation of receipt of the notice shall be maintained by the licensee for one year from the date of the notice.(b) Challenge procedures may be initiated by an individual who believes that criminal history records obtained by the licensee are incorrect or incomplete in any respect, and who wishes to change, correct, update, or explain anything in the record. A licensee shall provide at least 10 days for an individual to challenge the results of an FBI criminal history records check after the record is made available for the individual's review. A 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. Note: These procedures include direct application to the law enforcement agency that contributed the questioned information by the individual challenging the record, or a direct challenge to the Federal Bureau of Investigation, Criminal Justice Information Services (CJIS) Division regarding the accuracy or completeness of any entry on the individual's criminal history record. In the latter case, the Federal Bureau of Investigation (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. An individual may challenge the accuracy or completeness of any entry on the criminal history record by applying directly 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.
(8) RECORDS. (a) A 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.(b) A licensee shall retain as a record for 3 years, a copy of any superseded portion of the access authorization program procedures, and a copy of current access authorization program procedures after they are no longer needed.(c) A licensee shall retain the list of persons approved for unescorted access authorization for 3 years after the list is superseded or replaced.Wis. Admin. Code Department of Health Services DHS 157.9701
Adopted by, CR 16-078: cr. Register January 2018 No. 745, eff. 2-1-18; renumbered from DHS 157.101 under s. 13.92(4) (b) 1, Stats., and correction in (1) (b), (2) (b), (e) 2., (3) (a) made under s. 13.92(4) (b) 7, Stats., Register January 2018 No. 745, eff. 2/1/2018Amended by, CR 22-015: am. (6) (b) Register June 2023 No. 810, eff. 7/1/2023