December 5, 2007
EA-07-305
Holders of Material Licenses Authorized
To Possess Radioactive Material Quantities of Concern
As listed in Attachment 1 to Enclosure 1
SUBJECT: ISSUANCE OF ORDER IMPOSING FINGERPRINTING AND CRIMINAL
HISTORY RECORDS CHECK REQUIREMENTS FOR UNESCORTED ACCESS
TO CERTAIN RADIOACTIVE MATERIAL
You have previously received an Order (or applicable license condition) from the U.S. Nuclear
Regulatory Commission (NRC or Commission) requiring that you implement increased controls
(IC) with respect to the possession of radioactive material quantities of concern. As part of the
IC Order, you were required to determine that each person who requires access to radioactive
material quantities of concern to perform their job duties is sufficiently trustworthy and reliable.
The IC Order includes direction and guidance on the specific factors which must be considered
when making that determination.
Section 652 of the Energy Policy Act of 2005 (EPAct), enacted on August 8, 2005, amended the
fingerprinting requirements of the Atomic Energy Act (AEA). Specifically, the EPAct amended
Section 149 of the AEA to require fingerprinting and a Federal Bureau of Investigation (FBI)
identification and criminal history records check for 鈥渁ny individual who is permitted unescorted
access to radioactive materials or other property subject to regulation by the Commission that
the Commission determines to be of such significance to the public health and safety or the
common defense and security as to warrant fingerprinting and background checks.鈥? Thus, the
NRC is issuing the enclosed Order (Enclosure 1, with attachments) to expeditiously implement,
in part, these additional requirements as enhancements to the existing trustworthiness and
reliability requirements of the IC Order.
This Order does not obviate the need for Licensees to continue to meet the requirements of the
IC Order, and to maintain the effectiveness of security measures taken in response to the
events of September 11, 2001. In addition, the enclosed Order modifies sections 1.b., 1.c., and
鈥淭able 1: Radionuclides of Concern鈥? of the IC Order to reflect recent NRC policies and
regulations.
Licensees have 180 days from the date of this Order to submit fingerprints and complete their
review of the FBI criminal history records for all individuals currently authorized unescorted
access under the IC Order.
Licensees are required to submit fingerprints in accordance with this Order. The current
processing fee is $36.00 per submission and payment must be made electronically through
http://www.pay.gov. Details regarding fingerprint submittals and payment of fees are found in
Enclosure 2 to this letter. Also enclosed is the guidance for evaluating FBI identification and
criminal history records checks for allowing unescorted access to certain radioactive material
(Enclosure 3) to aid Licensees in their review of criminal history records.
2
The enclosed Order requires that all Licensees respond to this Order within ninety (90) days of
the date of its issuance, and provide under oath or affirmation, a certification that the
Trustworthiness and Reliability (T&R) Official (an individual with the responsibility to determine
the trustworthiness and reliability of another individual requiring unescorted access to
radioactive materials quantities of concern) is deemed trustworthy and reliable by the Licensee.
Licensee responses to the enclosed Order (not fingerprint cards) are required to be submitted to
the Director, Office of Federal and State Materials and Environmental Management Programs,
and should be addressed to the attention of Christian Einberg. Responses to the Order are
acceptable electronically, by fax, or mail. Electronic submissions must be signed and sent as
an attachment in 鈥?.pdf鈥? format and should be sent to ICfigerprint@nrc.gov. Signed faxes should
be sent to (301) 415-5955. For normal postal delivery, mail to:
Director, Office of Federal and State Materials and Environmental Management
Programs
U.S. NRC
Washington, D.C., 20555-0001
ATTN: Christian Einberg, Mail Stop T8E24
For delivery services requiring a street address, mail to:
Director, Office of Federal and State Materials and Environmental Management
Programs
U.S. NRC
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738
ATTN: Christian Einberg, Mail Stop T8E24
Licensee fingerprint cards are required to be submitted to the Director, Division of Facilities and
Security, and should be addressed to the attention of the Criminal History Program, Mail Stop T-
6E46. The following mailing address should be used:
Director, Division of Facilities and Security
U.S. NRC
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738
ATTN: Criminal History Program, Mail Stop T-6E46
3
Please include the docket number listed in Attachment 1 to the enclosed Order in all your
correspondence with NRC. In addition, Licensee responses shall be marked as "Security-
Related Information - Withhold Under 10 CFR 2.390."
To facilitate resolution of any issues or questions related to compliance with the requirements in
the enclosed Order, please refer to the list of questions and answers of Enclosure 4, or call
Fingerprinting for Increased Controls Support at (301) 415-3340. You may also send questions
to ICfingerprint@nrc.gov.
The enclosed Order has been forwarded to the Office of the Federal Register for publication.
Sincerely,
/RA/
Charles L. Miller, Director
Office of Federal and State Materials
and Environmental Management Programs
Enclosures:
1. Order Imposing Fingerprinting and
Criminal History Records Check
Requirements for Unescorted Access
to Certain Radioactive Material
2. Procedures for Processing Fingerprint
Checks
3. Guidance for Evaluating FBI Identification
and Criminal History Records Check
for Allowing Unescorted Access to
Certain Radioactive Material
4. Questions and Answers with Regards
to Fingerprinting and Criminal History
Records Checks
UNITED STATES
NUCLEAR REGULATORY COMMISSION
In the Matter of )
)
LICENSEES AUTHORIZED TO ) EA-07-305
POSSESS RADIOACTIVE MATERIAL )
QUANTITIES OF CONCERN )
ORDER IMPOSING FINGERPRINTING AND CRIMINAL HISTORY
RECORDS CHECK REQUIREMENTS FOR UNESCORTED
ACCESS TO CERTAIN RADIOACTIVE MATERIAL
(EFFECTIVE IMMEDIATELY)
I
The Licensees identified in Attachment 11 to this Order hold licenses issued in accordance with
the Atomic Energy Act (AEA) of 1954, as amended, by the U.S. Nuclear Regulatory
Commission (NRC or Commission), authorizing them to possess items containing radioactive
materials in quantities of concern. These materials and the quantities of concern are identified
in Attachment 2 to this Order. Section 652 of the Energy Policy Act of 2005 (EPAct), which
became law on August 8, 2005, amended Section 149 of the AEA to require fingerprinting and a
Federal Bureau of Investigation (FBI) identification and criminal history records check for 鈥渁ny
individual who is permitted unescorted access to radioactive materials or other property subject
to regulation by the Commission that the Commission determines to be of such significance to
the public health and safety or the common defense and security as to warrant fingerprinting
and background checks.鈥? Section 149 of the AEA also requires that 鈥渁ll fingerprints obtained by
a licensee or applicant鈥hall be submitted to the Attorney General of the United States through
the Commission for identification and a criminal history records check.鈥? NRC has decided to
implement this requirement, prior to the completion of a future rulemaking, which will implement
these provisions of the EPAct, because a deliberate malevolent act by an individual with
unescorted access to these radioactive materials has the potential to result in significant
1
Attachment 1 contains sensitive information and will not be released to the public.
Enclosure 1
adverse impacts to the public health and safety. Individuals or classes of individual listed in 10
C.F.R. 搂 73.61 (72 Fed. Reg. 4945 (February 2, 2007)) are relieved from the fingerprinting and
FBI identification and criminal history records check requirements of Section 149. Individuals
listed in Attachment 3, Paragraph 3 have already satisfied the requirements of Section 149 of
the AEA and therefore do not need to take additional action. Therefore, as set forth in this
Order and in accordance with Section 149 of the AEA, as amended by the EPAct, the
Commission is imposing additional requirements for unescorted access to certain radioactive
material.
II
Subsequent to the terrorist events of September 11, 2001, the NRC issued the
Increased Controls (IC) Orders (EA-05-090)2 to certain Licensees (IC Licensees, Licensees)
who are authorized to possess radioactive material in quantities of concern. These Orders
increased the Licensees鈥? control over their sources in order to prevent unintended radiation
exposure and malicious acts. One specific requirement imposed by the IC Orders required
Licensees to conduct background checks to determine the trustworthiness and reliability of
individuals needing unescorted access to radioactive materials. 鈥淎ccess鈥? to these radioactive
materials means that an individual could exercise some physical control over the material or
devices containing the material. Prior to the enactment of the EPAct, the NRC did not have the
authority, except in the case of power reactor Licensees, to require Licensees to submit
fingerprints for FBI identification and criminal history records checks of individuals being
considered for unescorted access to radioactive materials subject to NRC regulations. The
Commission has determined that radioactive materials possessed by IC Licensees are
considered of such significance to the public health and safety as to warrant fingerprinting and
2
Subsequently, the IC Order requirements were imposed through license condition on new or amended
NRC licenses authorizing the possession of radioactive materials in quantities of concern as identified in
Attachment 2 to this Order.
2
FBI identification and criminal history records checks for such persons. Therefore, in
accordance with Section 149 of the AEA, as amended by the EPAct, the Commission is
imposing the fingerprinting and FBI identification and criminal history records check
requirements, as set forth in this Order, including those requirements identified in Attachment 3
to this Order on all IC Licensees identified in Attachment 1 to this Order, which are currently
authorized to possess radioactive materials in quantities of concern. These requirements will
remain in effect until the Commission determines otherwise.
In addition, pursuant to 10 CFR 2.202, because of the potentially significant adverse
impacts associated with a deliberate malevolent act by an individual with unescorted access to
radioactive materials quantities of concern, I find that the public health and safety require that
this Order be effective immediately.
III
Accordingly, pursuant to Sections 81, 149, 161b, 161i, 161o, 182, and 186 of the Atomic
Energy Act of 1954, as amended, and the Commission's regulations in 10 CFR 2.202, 10 CFR
Parts 30 and 33, IT IS HEREBY ORDERED, EFFECTIVE IMMEDIATELY, THAT ALL
LICENSEES IDENTIFIED IN ATTACHMENT 1 TO THIS ORDER SHALL COMPLY WITH THE
REQUIREMENTS OF THIS ORDER AS FOLLOWS:
A.
1. The Licensee shall, within ninety (90) days of the date of this Order, establish and
maintain a fingerprinting program that meets the requirements of Attachment 3 of
this Order for individuals that require unescorted access to certain radioactive
materials.
2. Within ninety (90) days of the date of this Order, the Licensee shall provide under
oath or affirmation, a certification that the Trustworthiness and Reliability (T&R)
3
Official (an individual with the responsibility to determine the trustworthiness and
reliability of another individual requiring unescorted access to the radioactive
materials identified in Attachment 2) is deemed trustworthy and reliable by the
Licensee as required in paragraph B.2 of this Order.
3. The Licensee shall, in writing, within sixty (60) days of the date of this Order, notify
the Commission, (1) if it is unable to comply with any of the requirements described
in this Order or in Attachment 3 to this Order, (2) if compliance with any of the
requirements is unnecessary in its specific circumstances, or (3) if implementation of
any of the requirements would cause the Licensee to be in violation of the provisions
of any Commission regulation or its license. The notification shall provide the
Licensee鈥檚 justification for seeking relief from or variation of any specific requirement.
4. The Licensee shall complete implementation of the program established in
accordance with paragraph A.1 of this Order by June 2, 2008. In addition to the
notifications in paragraphs 2 and 3 above, the Licensee shall notify the Commission
within twenty-five (25) days after they have achieved full compliance with the
requirements described in Attachment 3 to this Order. If by June 2, 2008, the
Licensee is unable, due to circumstances beyond its control, to complete
implementation of this Order, the Licensee shall submit a written request to the
Commission explaining the need for an extension of time to implement the
requirements. The request shall provide the Licensee鈥檚 justification for seeking more
time to comply with the requirements of this Order.
5. Licensees shall notify the NRC鈥檚 Headquarters Operations Office at 301-816-5100
within 24 hours if the results from a FBI identification and criminal history records
4
check indicate that an individual is identified on the FBI鈥檚 Terrorist Screening Data
Base.
B.
1. Except as provided in paragraph E for individuals who are currently approved for
unescorted access, the Licensee shall grant access to radioactive material in
Attachment 2 in accordance with the requirements of IC.1. of the Increased Controls
Order (EA-05-090) and the requirements of this Order.
2. The T&R Official, if he/she does not require unescorted access, must be deemed
trustworthy and reliable by the Licensee in accordance with the requirements of
IC.1. of the Increased Controls Order (EA-05-090) before making a determination
regarding the trustworthiness and reliability of another individual. If the T&R
Official requires unescorted access, the Licensee must consider the results of
fingerprinting and the review of an FBI identification and criminal history records
check as a component in approving a T&R Official.
C. Prior to requesting fingerprints from any individual, the Licensee shall provide a copy of
this Order to that person.
D. Upon receipt of the results of FBI identification and criminal history records checks, the
Licensee shall control such information as specified in the 鈥淧rotection of Information鈥?
section of Attachment 3 of this Order and in requirement IC.5 of the Increased Controls
Order (EA-05-090).
5
E. The Licensee shall make determinations on continued unescorted access for persons
currently granted unescorted access, by June 2, 2008, based upon the results of the
fingerprinting and FBI identification and criminal history records check. The Licensee
may allow any individual who currently has unescorted access to certain radioactive
materials in accordance with the IC Order to continue to have unescorted access,
pending a decision by the T&R Official. After June 2, 2008 no individual may have
unescorted access to radioactive materials without a determination by the T&R Official
(based upon fingerprinting, an FBI identification and criminal history records check and a
previous trustworthiness and reliability determination) that the individual may have
unescorted access to such materials.
F. 1. The Licensee shall comply with; and to the extent the recipient of this Order is also the
recipient of the Increased Controls Order (EA-05-090), paragraph IC 1.b is superceded
by the following:
鈥淔or individuals employed by the licensee for three years or less, and for non-
licensee personnel, such as physicians, physicists, house-keeping personnel, and
security personnel under contract, trustworthiness and reliability shall be determined, at
a minimum, by verifying employment history, education, personal references, and
fingerprinting and the review of an FBI identification and criminal history records check.
The licensee shall also, to the extent possible, obtain independent information to
corroborate that provided by the employee (i.e. seeking references not supplied by the
individual). For individuals employed by the licensee for longer than three years,
trustworthiness and reliability shall be determined, at a minimum, by a review of the
employees鈥? employment history with the licensee and fingerprinting and an FBI
identification and criminal history records check.
6
2. The Licensee shall comply with; and to the extent the recipient of this Order is also
the recipient of Increased Controls Order (EA-05-090), Paragraph IC 1.c of that prior
Order is superceded by, the following:
鈥淪ervice provider licensee employees shall be escorted unless determined to be
trustworthy and reliable by an NRC-required background investigation. Written
verification attesting to or certifying the person鈥檚 trustworthiness and reliability shall be
obtained from the licensee providing the service.鈥?
3. For Licensees who have previously received the Increased Controls Order (EA-05-
090), "Table 1: Radionuclides of Concern" is superceded by Attachment 2 to include
Ra-226. The previous Increased Controls Order (EA-05-090) will, therefore, also apply
to Ra-226 as noted in Attachment 2.
Licensee responses to A.1, A.2., A.3. and A.4., above shall be submitted to the Director,
Office of Federal and State Materials and Environmental Management Programs, U.S. Nuclear
Regulatory Commission, Washington, DC 20555. Licensee responses shall be marked as
鈥淪ecurity-Related Information - Withhold Under 10 CFR 2.390."
The Director, Office of Federal and State Materials and Environmental Management
Programs, may, in writing, relax or rescind any of the above conditions upon demonstration of
good cause by the Licensee.
IV
In accordance with 10 CFR 2.202, the Licensee must, and any other person adversely
affected by this Order may, submit an answer to this Order within thirty (30) days of the date of
this Order. In addition, the Licensee and any other person adversely affected by this Order may
request a hearing of this Order within thirty (30) days of the date of the Order. Where good
7
cause is shown, consideration will be given to extending the time to request a hearing. A
request for extension of time must be made, in writing, to the Director, Office of Federal and
State Materials and Environmental Management Programs, U.S. Nuclear Regulatory
Commission, Washington, DC 20555, and include a statement of good cause for the extension.
The answer may consent to this Order. If the answer includes a request for a hearing, it
shall, under oath or affirmation, specifically set forth the matters of fact and law on which the
Licensee relies and the reasons as to why the Order should not have been issued. If a person
other than the Licensee requests a hearing, that person shall set forth with particularity the
manner in which his interest is adversely affected by this Order and shall address the criteria set
forth in 10 CFR 2.309(d).
A request for a hearing must be filed in accordance with the NRC E-Filing rule, which
became effective on October 15, 2007. The E-Filing Final Rule was issued on August 28, 2007,
(72 Fed. Reg. 49,139). The E-Filing process requires participants to submit and serve
documents over the internet or, in some cases, to mail copies on electronic optical storage
media. Participants may not submit paper copies of their filings unless they seek a waiver in
accordance with the procedures described below.
To comply with the procedural requirements associated with E-Filing, at least five (5)
days prior to the filing deadline the requestor must contact the Office of the Secretary by e-mail
at HEARINGDOCKET@NRC.GOV, or by calling (301) 415-1677, to request (1) a digital ID
certificate, which allows the participant (or its counsel or representative) to digitally sign
documents and access the E-Submittal server for any NRC proceeding in which it is
participating; and/or (2) creation of an electronic docket for the proceeding (even in instances
when the requestor (or its counsel or representative) already holds an NRC-issued digital ID
certificate). Each requestor will need to download the Workplace Forms Viewer鈩? to access the
Electronic Information Exchange (EIE), a component of the E-Filing system. The Workplace
Forms Viewer鈩? is free and is available at http://www.nrc.gov/site-help/e-submittals/install-
8
viewer.html. Information about applying for a digital ID certificate also is available on NRC鈥檚
public website at http://www.nrc.gov/site-help/e-submittals/apply-certificates.html.
Once a requestor has obtained a digital ID certificate, had a docket created, and
downloaded the EIE viewer, it can then submit a request for a hearing through EIE.
Submissions should be in Portable Document Format (PDF) in accordance with NRC guidance
available on the NRC public website at http://www.nrc.gov/site-help/e-submittals.html. A filing is
considered complete at the time the filer submits its document through EIE. To be timely,
electronic filings must be submitted to the EIE system no later than 11:59 p.m. Eastern Time on
the due date. Upon receipt of a transmission, the E-Filing system time-stamps the document
and sends the submitter an e-mail notice confirming receipt of the document. The EIE system
also distributes an e-mail notice that provides access to the document to the NRC Office of the
General Counsel and any others who have advised the Office of the Secretary that they wish to
participate in the proceeding, so that the filer need not serve the document on those participants
separately. Therefore, any others who wish to participate in the proceeding (or their counsel or
representative) must apply for and receive a digital ID certificate before a hearing request is filed
so that they may obtain access to the document via the E-Filing system.
A person filing electronically may seek assistance through the 鈥淐ontact Us鈥? link located
on the NRC website at http://www.nrc.gov/site-help/e-submittals.html or by calling the NRC
technical help line, which is available between 8:30 a.m. and 4:15 p.m., Eastern Time, Monday
through Friday. The help line number is (800) 397-4209 or locally, (301) 415-4737.
Participants who believe that they have good cause for not submitting documents
electronically must file a motion, in accordance with 10 C.F.R. 2.302(g), with their initial paper
filing requesting authorization to continue to submit documents in paper format. Such filings
must be submitted by (1) first class mail addressed to the Office of the Secretary of the
Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemaking and Adjudications Staff; or (2) courier, express mail, or expedited delivery service
9
to the Office of the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland, 20852, Attention: Rulemaking and Adjudications Staff. Participants filing a
document in this manner are responsible for serving the document on all other participants.
Filing is considered complete by first-class mail as of the time of deposit in the mail, or by
courier, express mail, or expedited delivery service upon depositing the document with the
provider of the service.
Documents submitted in adjudicatory proceedings will appear in NRC's electronic
hearing docket which is available to the public at http://ehd.nrc.gov/EHD_Proceeding/home.asp,
unless excluded pursuant to an order of the Commission, an Atomic Safety and Licensing
Board, or a Presiding Officer. Participants are requested not to include personal privacy
information, such as social security numbers, home addresses, or home phone numbers in their
filings. With respect to copyrighted works, except for limited excerpts that serve the purpose of
the adjudicatory filings and would constitute a Fair Use application, Participants are requested
not to include copyrighted materials in their works.
If a hearing is requested by the Licensee or a person whose interest is adversely
affected, the Commission will issue an Order designating the time and place of any hearing. If a
hearing is held the issue to be considered at such hearing shall be whether this Order should be
sustained.
Pursuant to 10 CFR 2.202(c)(2)(i), the Licensee may, in addition to requesting a hearing,
at the time the answer is filed or sooner, move the presiding officer to set aside the immediate
effectiveness of the Order on the ground that the Order, including the need for immediate
effectiveness, is not based on adequate evidence but on mere suspicion, unfounded
allegations, or error.
In the absence of any request for hearing, or written approval of an extension of time in
which to request a hearing, the provisions specified in Section III above shall be final twenty (20)
days from the date of this Order without further order or proceedings. If an extension of time for
10
requesting a hearing has been approved, the provisions specified in Section III shall be final
when the extension expires if a hearing request has not been received.
AN ANSWER OR A REQUEST FOR HEARING SHALL NOT STAY THE IMMEDIATE
EFFECTIVENESS OF THIS ORDER.
Dated this 5th day of December, 2007.
FOR THE NUCLEAR REGULATORY COMMISSION
/RA/
Charles L. Miller, Director
Office of Federal and State Materials
and Environmental Management Programs
Attachments:
1. List of Applicable Materials Licensees
2. Table 1: Radionuclides of Concern
3. Specific Requirements Pertaining to
Fingerprinting and Criminal History
Records Checks
11
Table 1: Radionuclides of Concern
Quantity of Quantity of
Radionuclide
Concern1 (TBq) Concern2 (Ci )
Am-241 0.6 16
Am-241/Be 0.6 16
Cf-252 0.2 5.4
Cm-244 0.5 14
Co-60 0.3 8.1
Cs-137 1 27
Gd-153 10 270
Ir-192 0.8 22
Pm-147 400 11,000
Pu-238 0.6 16
Pu-239/Be 0.6 16
Ra-2265 0.4 11
Se-75 2 54
Sr-90 (Y-90) 10 270
Tm-170 200 5,400
Yb-169 3 81
See Footnote
Combinations of radioactive
materials listed above3 Below4
1
The aggregate activity of multiple, collocated sources of the same radionuclide should be
included when the total activity equals or exceeds the quantity of concern.
2
The primary values used for compliance with this Order are TBq. The curie (Ci) values are
rounded to two significant figures for informational purposes only.
3
Radioactive materials are to be considered aggregated or collocated if breaching a common
physical security barrier (e.g., a locked door at the entrance to a storage room) would allow
access to the radioactive material or devices containing the radioactive material.
4
If several radionuclides are aggregated, the sum of the ratios of the activity of each source, i of
radionuclide, n, A(i,n), to the quantity of concern for radionuclide n, Q(n), listed for that radionuclide
equals or exceeds one. [(aggregated source activity for radionuclide A) 梅 (quantity of concern for
radionuclide A)] + [(aggregated source activity for radionuclide B) 梅 (quantity of concern for
radionuclide B)] + etc..... >1
5
On August 31, 2005, the NRC issued a waiver, in accordance to Section 651(e) of the Energy
Policy Act of 2005, for the continued use and/or regulatory authority of Naturally Occurring and
Accelerator-Produced Material (NARM), which includes Ra-226. The NRC plans to terminate the
waiver in phases, beginning November 30, 2007, and ending on August 7, 2009. The NRC has
authority to regulate discrete sources of Ra-226, but has refrained from exercising that authority
Attachment 2
until the date of an entity's waiver termination. For entities that possess Ra-226 in quantities of
concern, this Order becomes effective upon waiver termination. For information on the schedule
for an entity's waiver termination, please refer to the NARM Toolbox website at http://nrc-
stp.ornl.gov/narmtoolbox.html.
2
Specific Requirements Pertaining to Fingerprinting and Criminal History Records
Checks
The new fingerprinting requirements supplement previous requirements issued by the
Increased Controls Order (EA-05-090).
Licensees currently have a program to grant unescorted access to individuals. As
required by condition A.1 of the Order, Licensees shall modify its current trustworthiness
and reliability program to include the following:
1. Each Licensee subject to the provisions of this attachment shall fingerprint
each individual who is seeking or permitted unescorted access to risk
significant radioactive materials equal to or greater than the quantities listed
in attachment 2. The Licensee shall review and use the information
received from the Federal Bureau of Investigation (FBI) identification and
criminal history records check and ensure that the provisions contained in
the subject Order and this attachment are satisfied.
2. The Licensee shall notify each affected individual that the fingerprints will
be used to secure a review of his/her criminal history record and inform the
individual of the procedures for revising the record or including an
explanation in the record, as specified in the 鈥淩ight to Correct and
Complete Information鈥? section of this attachment.
3. Fingerprints for unescorted access need not be taken if an employed
individual (e.g., a Licensee employee, contractor, manufacturer, or supplier)
is relieved from the fingerprinting requirement by 10 CFR 搂 73.61, or any
person who has been favorably-decided by a U.S. Government program
involving fingerprinting and an FBI identification and criminal history records
check (e.g. National Agency Check, Transportation Worker Identification
Credentials in accordance with 49 CFR Part 1572, Bureau of Alcohol
Tobacco Firearms and Explosives background checks and clearances in
accordance with 27 CFR Part 555, Health and Human Services security
risk assessments for possession and use of select agents and toxins in
accordance with 42 CFR Part 73, Hazardous Material security threat
assessment for hazardous material endorsement to commercial drivers
license in accordance with 49 CFR Part 1572, Customs and Border Patrol鈥檚
Free and Secure Trade Program1) within the last five (5) calendar years, or
any person who has an active federal security clearance (provided in the
latter two cases that they make available the appropriate documentation2).
Written confirmation from the Agency/employer which granted the federal
1
The FAST program is a cooperative effort between the Bureau of Customs and Border Patrol
and the governments of Canada and Mexico to coordinate processes for the clearance of
commercial shipments at the U.S. - Canada and U.S. - Mexico borders. Participants in the FAST
program, which requires successful completion of a background records check, may receive
expedited entrance privileges at the northern and southern borders.
2
This documentation must allow the T&R Official to verify that the individual has fulfilled the
unescorted access requirements of Section 149 of the AEA by submitting to fingerprinting and an
FBI identification and criminal history records check.
Attachment 3
security clearance or reviewed the FBI criminal history records results
based upon a fingerprint identification check must be provided. The
Licensee must retain this documentation for a period of three (3) years from
the date the individual no longer requires unescorted access to certain
radioactive material associated with the Licensee鈥檚 activities.
4. All fingerprints obtained by the Licensee pursuant to this Order must be
submitted to the Commission for transmission to the FBI. Additionally, the
Licensee shall submit a certification of the trustworthiness and reliability of
the T&R Official as determined in accordance with paragraph B.2 of this
Order.
5. The Licensee shall review the information received from the FBI and
consider it, in conjunction with the trustworthiness and reliability
requirements of the IC Order (EA-05-090), in making a determination
whether to grant unescorted access to certain radioactive materials.
6. The Licensee shall use any information obtained as part of a criminal
history records check solely for the purpose of determining an individual's
suitability for unescorted access to risk significant radioactive materials
equal to or greater than the quantities listed in attachment 2.
7. The Licensee shall document the basis for its determination whether to
grant, or continue to allow unescorted access to risk significant radioactive
materials equal to or greater than the quantities listed in attachment 2.
Prohibitions
A Licensee shall not base a final determination to deny an individual unescorted access
to certain radioactive material solely on the basis of information received from the FBI
involving: an arrest more than one (1) year old for which there is no information of the
disposition of the case, or an arrest that resulted in dismissal of the charge or an
acquittal.
A Licensee shall not use information received from a criminal history check obtained
pursuant to this Order in a manner that would infringe upon the rights of any individual
under the First Amendment to the Constitution of the United States, nor shall the
Licensee use the information in any way which would discriminate among individuals on
the basis of race, religion, national origin, sex, or age.
Right to Correct and Complete Information
Prior to any final adverse determination, the Licensee shall make available to the
individual the contents of any criminal records obtained from the FBI for the purpose of
assuring correct and complete information. Written confirmation by the individual of
receipt of this notification must be maintained by the Licensee for a period of one (1)
year from the date of the notification.
If, after reviewing the record, an individual believes that it is incorrect or incomplete in
any respect and wishes to change, correct, or update the alleged deficiency, or to
explain any matter in the record, the individual may initiate challenge procedures. These
procedures include either direct application by the individual challenging the record to
the agency (i.e., law enforcement agency) that contributed the questioned information, or
direct challenge as to the accuracy or completeness of any entry on the criminal history
2
record to the Assistant Director, Federal Bureau of Investigation Identification Division,
Washington, DC 20537-9700 (as set forth in 28 CFR Part 16.30 through 16.34). In the
latter case, the FBI forwards the challenge to the agency that submitted the data and
requests that agency to 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. The Licensee must provide at least ten (10) days for an
individual to initiate an action challenging the results of an FBI identification and criminal
history records check after the record is made available for his/her review. The Licensee
may make a final unescorted access to certain radioactive material determination based
upon the criminal history record only upon receipt of the FBI's ultimate confirmation or
correction of the record. Upon a final adverse determination on unescorted access to
certain radioactive material, the Licensee shall provide the individual its documented
basis for denial. Unescorted access to certain radioactive material shall not be granted
to an individual during the review process.
Protection of Information
1. Each Licensee who obtains a criminal history record on an individual pursuant to this
Order shall establish and maintain a system of files and procedures for protecting the
record and the personal information from unauthorized disclosure.
2. The Licensee may not disclose the record or personal information collected and
maintained to persons other than the subject individual, his/her representative, or to
those who have a need to access the information in performing assigned duties in
the process of determining unescorted access to certain radioactive material. No
individual authorized to have access to the information may re-disseminate the
information to any other individual who does not have a need-to-know.
3. The personal information obtained on an individual from a criminal history record
check may be transferred to another Licensee if the Licensee holding the criminal
history record check receives the individual's written request to re-disseminate the
information contained in his/her file, and the gaining Licensee verifies information
such as the individual鈥檚 name, date of birth, social security number, sex, and other
applicable physical characteristics for identification purposes.
4. The Licensee shall make criminal history records, obtained under this section,
available for examination by an authorized representative of the NRC to determine
compliance with the regulations and laws.
5. The Licensee shall retain all fingerprint and criminal history records from the FBI, or
a copy if the individual's file has been transferred, for three (3) years after termination
of employment or determination of unescorted access to certain radioactive material
(whether unescorted access was approved or denied). After the required three (3)
year period, these documents shall be destroyed by a method that will prevent
reconstruction of the information in whole or in part.
3
Procedures for Processing Fingerprint Checks
For the purpose of complying with this Order, Licensees shall:
1. Submit one completed, legible standard fingerprint card (Form FD-258,
ORIMDNRCOOOZ) for each individual seeking access to unescorted access to
certain radioactive material.
2. Submit to the NRC鈥檚 Division of Facilities and Security,11545 Rockville Pike,
ATTN: Criminal History Program, Mail Stop T-6E46, Rockville, MD 20852.
Overnight mail is preferred.
3. Include the name and address of the individual (T&R Official) to whom the
criminal history records should be returned.
4. Fingerprints for unescorted access need not be taken if an employed individual
(e.g., a Licensee employee, contractor, manufacturer, or supplier) is relieved
from the fingerprinting requirement by 10 CFR 搂 73.61, or any person who has
been favorably-decided by a U.S. Government program involving fingerprinting
and an FBI identification and criminal history records check (e.g. National Agency
Check, Transportation Worker Identification Credentials in accordance with 49
CFR Part 1572, Bureau of Alcohol Tobacco Firearms and Explosives background
checks and clearances in accordance with 27 CFR Part 555, Health and Human
Services security risk assessments for possession and use of select agents and
toxins in accordance with 42 CFR Part 73, Hazardous Material security threat
assessment for hazardous material endorsement to commercial drivers license in
accordance with 49 CFR Part 1572, Customs and Border Patrol鈥檚 Free and
Secure Trade Program1) within the last five (5) calendar years, or any person
who has an active federal security clearance (provided in the latter two cases
that they make available the appropriate documentation2). Written confirmation
from the Agency/employer which granted the federal security clearance or
reviewed the FBI criminal history records results based upon a fingerprint
identification check must be provided. The Licensee must retain this
documentation for a period of three (3) years from the date the individual no
longer requires unescorted access to certain radioactive material associated with
the Licensee鈥檚 activities.
Copies of these forms may be obtained by writing the Office of Information Services,
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by calling (301)
415-5877, or by e-mail to forms@nrc.gov. The Licensee shall establish procedures to
1
The FAST program is a cooperative effort between the Bureau of Customs and Border Patrol
and the governments of Canada and Mexico to coordinate processes for the clearance of
commercial shipments at the U.S. - Canada and U.S. - Mexico borders. Participants in the FAST
program, which requires successful completion of a background records check, may receive
expedited entrance privileges at the northern and southern borders.
2
This documentation must allow the T&R Official to verify that the individual has fulfilled the
unescorted access requirements of Section 149 of the AEA by submitting to fingerprinting and an
FBI identification and criminal history records check.
Enclosure 2
ensure that the quality of the fingerprints taken results in minimizing the rejection rate of
fingerprint cards due to illegible or incomplete cards.
Licensees must have their fingerprints taken by local law enforcement (or a private entity
authorized to take fingerprints) because an authorized official must certify the identity of
the person being fingerprinted.
The NRC will review submitted fingerprint cards for completeness. Any Form FD-258
fingerprint record containing omissions or evident errors will be returned to the Licensee
for corrections. The fee for processing fingerprint checks includes one re-submission if
the initial submission is returned by the FBI because the fingerprint impressions cannot
be classified. The one free re-submission must have the FBI Transaction Control
Number reflected on the re-submission. If additional submissions are necessary, they
will be treated as initial submittals and will require a second payment of the processing
fee.
Fees for processing fingerprint checks are due upon application (Note: other fees may
apply to obtain fingerprints from your local law enforcement agency). Licensees shall
submit payments electronically via http://www.pay.gov. Payments through Pay.gov can
be made directly from the Licensee鈥檚 credit/debit card. Licensees will need to establish
a password and user ID before they can access Pay.gov. To establish an account,
Licensee requests must be sent to paygo@nrc.gov. The request must include the
Licensee鈥檚 name, address, point of contact, e-mail address, and phone number. The
NRC will forward each request to Pay.gov and someone from Pay.gov will contact the
Licensee with all of the necessary account information.
Licensees shall make payments for processing before submitting applications to the
NRC. Combined payment for multiple applications is acceptable. Licensees shall
include the Pay.gov payment receipt(s) along with the application(s). For additional
guidance on making electronic payments, contact the Facilities Security Branch, Division
of Facilities and Security, at (301) 415-7404. The application fee (currently $36) is the
sum of the user fee charged by the FBI for each fingerprint card or other fingerprint
record submitted by the NRC on behalf of a Licensee, and an NRC processing fee,
which covers administrative costs associated with NRC handling of Licensee fingerprint
submissions. The Commission will directly notify Licensees subject to this regulation of
any fee changes.
It is necessary for a Licensee to resubmit fingerprints only under two conditions:
1. The FBI has determined that the fingerprints cannot be classified due to poor
quality in the mechanics of taking the initial impressions; or,
2. The initial submission has been lost.
If the FBI advises the fingerprints are unclassifiable based on conditions other than poor
quality, the Licensee must submit a request to NRC for alternatives. When those search
results are received from the FBI, no further search is necessary. The Commission will
receive and forward to the submitting Licensee all data from the FBI as a result of the
Licensee鈥檚 application(s) for criminal history records checks, including the FBI fingerprint
record(s).
2
Guidance for Evaluating FBI Identification and Criminal History Records Checks
for Allowing Unescorted Access to Certain Radioactive Material
Each Licensee is responsible for determining whether to grant an individual unescorted
access to certain radioactive materials. The Licensee shall allow only trustworthy and
reliable individuals, approved in writing by the Licensee, to have unescorted access to
radioactive material quantities of concern (listed in Table 1 of the Increased Controls
Order) and devices containing that radioactive material. The T&R determination, to
grant an individual unescorted access to certain radioactive materials, is made by the
Licensee鈥檚 T&R Official, based on information gathered from all four elements of the
background check and evaluated by the T&R Official. The minimum four background
check elements are: 1) fingerprinting and a Federal Bureau of Investigation (FBI)
identification and criminal history records check, 2) verifying employment history, 3)
verifying education, and 4) personal references. The purpose of this guidance is to
address the fingerprinting component of the T&R determination.
Unescorted access determinations require an evaluation of a person's trustworthiness
and reliability. When a person's life history shows evidence of unreliability or
untrustworthiness, questions arise whether the person can be relied on and trusted to
exercise the responsibility necessary for working with risk-significant radioactive
materials. The purpose of the T&R determination requirement, for unescorted access, is
to provide reasonable assurance that those individuals are trustworthy and reliable, and
do not constitute an unreasonable risk to the public health and safety, including the
potential to commit or aid theft and/or radiological sabotage. This is a Licensee鈥檚
business decision as to what criteria it uses for the bases of the trustworthiness and
reliability determination. Some indicators that Licensees should consider for what may
be a trustworthiness and reliability concern can be found in Increased Control guidance
in Q and A #22 at the following web address: http://www.nrc.gov/reading-rm/doc-
collections/enforcement/security/2005/ml053130233.pdf.
In evaluating the relevance of an individual's conduct, the T&R Official should consider
the following factors:
(1) The nature, extent, and seriousness of the conduct;
(2) the circumstances surrounding the conduct, to include knowledgeable
participation;
(3) the frequency and recency of the conduct;
(4) the individual's age and maturity at the time of the conduct;
(5) the extent to which participation is voluntary;
(6) the presence or absence of rehabilitation and other permanent behavioral
changes;
(7) the motivation for the conduct;
Enclosure 3
(8) the potential for pressure, coercion, exploitation, or duress; and
(9) the likelihood of continuation or recurrence.
Each case must be judged on its own merits, and final determination remains the
responsibility of the Licensee. In every case, the T&R Official should evaluate
trustworthiness and reliability based on an accumulation of information which supports a
positive finding, prior to granting unescorted access. Items to consider include:
1. The T&R Official should evaluate the information collected for consistency
and adequacy.
2. True identity should be evaluated by comparing applicant provided
identification and personal history data to pertinent information from the background
check, and other data sources.
3. The T&R Official should determine whether inconsistencies determined
through review or investigation, are intentional, innocent, or an oversight. Willful or
intentional acts of omission or untruthfulness could be grounds for denial of unescorted
access.
When a Licensee submits fingerprints to the NRC pursuant to an NRC Order, it will
receive a FBI identification and criminal history record since the individual鈥檚 eighteenth
birthday. The Licensee will receive the information from the criminal history check of
those individuals requiring unescorted access to radioactive materials, and the Licensee
T&R Official should evaluate that information using the guidance below.
The Licensee鈥檚 T&R Official is required to evaluate all available information in making a
T&R determination for unescorted access to radioactive materials, including the criminal
history records information pertaining to the individual as required by the NRC Order.
The FBI identification and criminal history records check is used in the determination of
whether the individual has a record of criminal activity that indicates that the individual
should not have unescorted access to radioactive materials subject to this Order. Each
determination of T&R for unescorted access to radioactive materials, which includes a
review of criminal history information, must be documented to include the basis for the
decision made.
Licensees shall not make a final determination made solely on the basis of criminal
history checks information involving an arrest more than 1 year old for which there is not
information on the disposition of the case, or an arrest that resulted in dismissal of the
charge or an acquittal.
All information collected is to be considered by the Licensee in making a trustworthiness
or reliability determination for unescorted access. Potentially disqualifying information
obtained from confidential/unnamed sources must be substantiated and documented,
and should not be used as a sole basis to deny access authorization unless
corroborated. Licensees should establish criteria that would disqualify someone from
being granted authorized access. In every case, the Licensee should evaluate
trustworthiness and reliability based on an accumulation of information which supports a
positive finding. Items to evaluate and consider include:
2
The FBI identification and criminal history records check is used to evaluate whether the
individual has a record of criminal activity that may compromise his or her
trustworthiness and reliability. Identification of a criminal history through the FBI criminal
history records check does not automatically indicate unreliability or lack of
trustworthiness of the employee. The licensee will have to judge the nature of the
criminal activity, length of employment, and recency of the criminal activity. The licensee
can authorize individuals with criminal records for unescorted access to radioactive
materials, based on a documented evaluation of the basis for determining that the
employee was reliable and trustworthy notwithstanding his or her criminal history. Each
evaluation conducted in review of criminal history and other background checks
information, should be documented to include the decision making basis.
At a minimum, the Licensee should consider the following elements when evaluating the
results of the FBI Identification and Criminal History Records check:
1. Committed, attempted to commit, aided, or abetted another who committed or
attempted to commit any act of sabotage, espionage, treason, sedition, or
terrorism.
2. Publicly or privately advocated actions that may be inimical to the interest of the
United States, or publicly or privately advocated the use of force or violence to
overthrow the Government of the United States or the alteration of the form of
government of the United States by unconstitutional means.
3. Knowingly established or continued a sympathetic association with a saboteur,
spy, traitor, seditionist, anarchist, terrorist, or revolutionist, or with an espionage
agent or other secret agent or representative of a foreign nation whose interests
may be inimical to the interests of the United States, or with any person who
advocates the use of force or violence to overthrow the Government of the
United States or the alteration of the form of government of the United States by
unconstitutional means. (Ordinarily, the Licensee should not consider chance or
casual meetings or contacts limited to normal business or Official relations.)
4. Joined or engaged in any activity knowingly in sympathy with or in support of
any foreign or domestic organization, association, movement, group, or
combination of persons which unlawfully advocates or practices the commission
of acts of force or violence to prevent others from exercising their rights under
the Constitution or laws of the United States or any State or any subdivisions
thereof by unlawful means, or which advocate the use of force and violence to
overthrow the Government of the United States or the alteration of the form of
government of the United States by unconstitutional means. (Ordinarily, the
Licensee should not consider chance or casual meetings or contacts limited to
normal business or official relations.)
5. Deliberately misrepresented, falsified or omitted relevant and material facts from
documentation provided to the Licensee.
6. Has been convicted of a crime(s) which, in the T&R Official鈥檚 opinion, indicate
poor judgment, unreliability, or untrustworthiness.
3
These indicators are not meant to be all inclusive nor intended to be disqualifying
factors. Licensees can also consider how recent such indicators occurred and other
extenuating or mitigating factors in their determinations. Section 149.c.(2)(B) of the
AEA requires that the information obtained as a result of fingerprinting be used solely
for the purposes of making a determination as to unescorted access suitability.
Unescorted access suitability is not a hiring decision, and the NRC does not intend
for licensees to use this guidance as such. Because a particular individual may not
be suitable for Unescorted Access does not necessarily mean that he is not suitable
for escorted access or some other position that does not involve NRC-regulated
activities.
Licensees shall notify the NRC鈥檚 Headquarters Operations Office at 301-816-5100
within 24 hours if the results from a FBI identification and criminal history records
check indicate that an individual is identified on the FBI鈥檚 Terrorist Screening Data
Base.
4
Revised 04/11/2008
Questions and Answers with Regards to Fingerprinting and Criminal History Records
Checks
1. Information on how I would be required to respond to this notice when I receive it
does not appear to be included with the implementing guidance? Will my
response include sensitive information?
For NRC Licensees, the information on how to respond to the NRC Order requiring
implementation of the fingerprinting requirements is contained in the Order itself. For
Agreement States Licensee, the information on how to respond will be provided
separately by each Agreement State licensing organization, based on the method
chosen to execute legally binding requirements. The NRC Orders are not considered
sensitive information. Examples of previous Orders can be found by searching ADAMS
or NRC鈥檚 website.
Licensee responses to the fingerprinting Order is considered sensitive information and
should be marked appropriately with 鈥淲ithhold From Public Disclosure Under 10
CFR 2.390.鈥?
Agreement State licensee responses to the fingerprinting requirements should be
marked in accordance with applicable Agreement State authority for withholding of
sensitive security or proprietary information.
2. Why is the NRC/Agreement State now requiring fingerprinting and criminal history
records checks as part of the Increased Controls trustworthiness and reliability
requirements?
The requirement for fingerprinting for unescorted access to radioactive materials
quantities of concern was included in Section 652 of the Energy Policy Act of 2005. The
NRC has determined that the requirement for fingerprinting should not wait for
rulemaking and should be issued as Orders or legally binding requirements.
3. Does a National Agency Check (NAC) satisfy the provisions of the Order?
If the NAC has been conducted within the past five calendar years and the employee
can provide documentation of favorable results to the licensee鈥檚 T&R Official, then this
would satisfy the provisions of the Order.
4. Can the Human Resources department be designated as the licensee鈥檚
Trustworthiness and Reliability (T&R) Officials to review criminal history records?
Do they have to be fingerprinted to be able to review and approve others?
The requirements for fingerprinting and criminal history records should be incorporated
into the licensee鈥檚 current program of reviewing and approving background information
of its employees. The duties of a T&R Official can be delegated to the Human
Resources department or any other appropriate department as long as the individuals
involved in the determining of an employee鈥檚 trustworthiness and reliability have been
Enclosure 4
determined themselves to be trustworthy and reliable by the licensee. T&R Official shall
only be fingerprinted if his/her duties require unescorted access to radioactive materials
quantities of concern.
5. What is a Trustworthiness and Reliability (T&R) Official? Who can be a T&R
Official?
A T&R Official is an individual who the licensee determines to be trustworthy and
reliable, based on the three minimum requirements for background checks of the
Increased Controls (i.e., employment history, education, and personal references).
Fingerprinting and criminal history checks are only needed if the T&R Official has, or will
have, unescorted access to radioactive material quantities of concern.
6. (REVISED 02-26-08) Can I take my own fingerprints or can someone else at my
company fingerprint me?
Superceded by S3 of the Supplemental Questions and Answers - Fingerprinting
Located at http://www.nrc.gov/security/byproduct/orders.html
7. (REVISED 02-26-08) Can a notary act as a witness when I take my fingerprints?
Superceded by S3 of the Supplemental Questions and Answers - Fingerprinting
Located at http://www.nrc.gov/security/byproduct/orders.html
8. (REVISED 02-26-08) Where can I have my fingerprints taken?
Superceded by S3 of the Supplemental Questions and Answers 鈥? Fingerprinting
Located at http://www.nrc.gov/security/byproduct/orders.html
9. (REVISED 03-28-08) I was only provided a few fingerprint cards, where can I get
more?
You can request more fingerprint cards (form FD-258) by writing to the Office of
Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555, by
calling (301) 415-7232, or by e-mail to forms@nrc.gov.
10. (REVISED 03-28-08) What information do I need to include on the card?
Incomplete fingerprint cards will not be processed and will be returned to the Licensee.
Licensees need to include the following information on each card:
a. Last name, first name, middle name
b. Signature of person being fingerprinted
c. Residence of person being fingerprinted (i.e., State)
d. Date
e. Signature of official taking the fingerprints
f. Address of employer taking fingerprints
g. Reason for being fingerprinted (e.g., Increased Controls)
h. Aliases
i. Citizenship
2
j. Social security number and any of the other corresponding numbers requested on the
card if applicable
k. Date of birth
l. Place of birth
m. Sex
n. Race (e.g., A 鈥? Asian or Pacific Islander, B 鈥? Black, I 鈥? American Indian or Alaskan
Native, U 鈥? Unknown, W 鈥? White)
o. Height
p. Weight
q. Eye color (BLK 鈥? Black, BLU 鈥? Blue, BRO 鈥? Brown, GRY 鈥? Gray, GRN 鈥? Green,
HAZ 鈥? Hazel, MAR 鈥? Maroon, MUL 鈥? Multicolored, PNK 鈥? Pink, XXX - Unknown)
r. Hair color (BAL 鈥? Bald, BLK 鈥? Black, BLN 鈥? Blond, BLU 鈥? Blue, BRO 鈥? Brown, GRY 鈥?
Gray or Partially, GRN 鈥? Green, ONG 鈥? Orange, PNK 鈥? Pink, PLE - Purple, RED 鈥?
Red or Auburn, SDY 鈥? Sandy, XXX 鈥揢nknown, WHI 鈥揥hite)
NRC Licensees should use their NRC docket number in the field 鈥淵OUR NO. OCA.鈥?
Agreement State Licensees should use their two letter State abbreviation followed by a
dash and the Licensee鈥檚 license number (e.g. CA-123456).
11. I was able to get more fingerprint cards from my local law enforcement agency,
can I use those instead?
No, because of problems that have been experienced in the past with some of the
cards.
12. How can I make sure that my fingerprints are classifiable (readable)?
There are instructions on the back of each fingerprint card on how to achieve
classifiable fingerprints. Individuals that submit fingerprint cards that are not
classifiable will have to submit new cards.
13. Who do I send my fingerprints to?
A completed fingerprint card should be sent to:
Director, Division of Facilities and Security
U.S. NRC
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738
ATTN: Criminal History Program, Mail Stop T-6E46
14. Is there a fee associated with the NRC/Agreement States processing the
fingerprints?
The current fee to process each fingerprint card is a $36.00 per card. Additional fees
may be charged by the entity taking the fingerprints.
3
15. (REVISED 04-11-08) What method of payment does the NRC accept?
NRC鈥檚 preferred method of payment is electronic payment through Pay.gov at
http://www.pay.gov. Please refer to the instructions in the Order for details on how to
pay electronically. NRC also accepts checks, cashier checks or money orders made
out to the U.S. Nuclear Regulatory Commission along with the submission of
fingerprint cards. Fingerprint cards along with checks, cashier checks or money orders
should be sent to:
Director, Division of Facilities and Security
U.S. NRC
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852
Attn: Criminal History Program, Mail Stop T-6E46
16. My facility is currently not implementing the Increased Controls requirements
because it does not possess radioactive materials quantities of concern. Can
we implement the fingerprinting Order?
No. The requirements of Section 149 of the Atomic Energy Act only apply to facilities
that have radioactive materials in quantities of concern, as identified by the
Commission.
17. If I do not have the quantities of material in Table 1, in aggregate or individually,
do I need to implement the requirements in this Order?
No. Implementation is only required if you possess radioactive material quantities of
concern (i.e., at or above the thresholds of Table 1) individually or in aggregate. You
may request that your license be amended to lower your possession limits below the
Table 1 quantity so that requirements are not applicable. If you anticipate that you will
exceed the Table 1 quantities, in aggregate or individually, you must implement the
Increased Controls requirements (EA-05-090) and fingerprinting requirements prior to
actual possession of the material.
18. When are licensees required to submit fingerprints to the NRC/Agreement
States?
Licensees are required to fingerprint and review the criminal history results for all
individuals who currently have, or will require, unescorted access to radioactive
materials quantities of concern to the NRC within 180 days after the Order is issued.
19. Will guidance be provided on how to determine trustworthiness and reliability
based on FBI identification and criminal history records checks?
Guidance is included with the Order documents; however, it will ultimately be the
decision of the licensee鈥檚 T&R Official to determine whether an individual should be
granted unescorted access to the radioactive material, based on the results of the
criminal records history check, and the other trustworthiness and reliability
requirements of the Increased Controls.
4
20. Can employees continue to have unescorted access until they are approved or
denied based on the results of their fingerprints?
During the implementation period (i.e., up to 180 days after the NRC Order is issued)
employees who have unescorted access at the time the Order is issued may continue
to have unescorted access in accordance with the requirements of the Increased
Controls until they are fingerprinted and continued access is approved or denied based
on the review of their FBI identification and criminal history record. After the expiration
of the implementation period, no one may have unescorted access until they are
fingerprinted and receive approval from the T&R Official based upon a review of their
FBI identification and criminal history record.
21. My fingerprints have been returned several times as unclassifiable, can I get an
extension to submit my fingerprints?
On a rare case that a licensee needs additional time to implement the fingerprinting
requirements beyond the 180-day implementation time, the NRC will consider granting
extensions only on a case by case basis. Licensees must take the appropriate actions
to minimize any potential impacts in delays from receiving the criminal history results
from the NRC. In a rare case that an extension is needed, the request must be date-
stamped before the deadline to implement the requirements and must include the
licensee鈥檚 justification as to why additional time is needed beyond the 180-day
implementation period and the appropriate compensatory actions that will be
implemented until the fingerprints are processed.
22. Our radioactive material is in a room where several people have unescorted
access, even though they do not work directly with the radioactive material (i.e.
custodial staff), do they need to be fingerprinted?
Yes. Other personnel (both licensee and non-licensee) that have job duties that
require unescorted access to the room where the materials are used or stored must be
fingerprinted and determined to be trustworthy and reliable by the T&R Official based
on the evaluation of the individual鈥檚 criminal history record and the other
trustworthiness and reliability requirements of the Increased Controls.
23. What does unescorted access to the material mean?
Unescorted access to the material means that an individual can exert some physical
control over the material or device while they are alone.
24. If I decide that based on a federal criminal records history check one of my
employees previously granted unescorted access should not have unescorted
access to radioactive material what actions can I take?
The licensee is ultimately responsible to determine the best course of action.
5
25. Does the denial of unescorted access create legal liability for the licensee?
The NRC and Agreement States acknowledge that employer liability potentially exists
through the process for determining trustworthiness and reliability, just as employer
liability potentially exists throughout the hiring process. A finding that results in
denying someone employment may be actionable on the part of the
employee/employee candidate, and this is no different.
26. At this time our Human Resources department make the trustworthy and
reliability determination for unescorted access. Since they make this decision,
do they need to be fingerprinted?
Only individuals that have unescorted access to radioactive materials quantities of
concern are required to be fingerprinted. Therefore, individuals that make trustworthy
and reliability determinations that do not have unescorted access do not need to be
fingerprinted. However, they are still required to be determined trustworthy and
reliable per the requirements in the Increased Control Order (EA-05-090).
27. How far back do the criminal history record checks go? Can the NRC provide
guidance on what types of information could be considered when granting
unescorted access?
The criminal history records check provides information on all arrests since the
individual鈥檚 eighteenth birthday. Guidance on criminal offenses that could be
considered is included with the Order. However, the list of offenses is not inclusive.
There may be additional offenses not listed in the guidance that the licensee wants to
consider as part of unescorted access approval process. It is the licensee鈥檚 ultimate
business decision as to what criteria it uses for the bases of the trustworthiness and
reliability determination.
28. Is there a process to request an exemption from fingerprinting? Do employees
that have been fingerprinted in the past need to be fingerprinted again?
Fingerprints for unescorted access need not be taken if an employed individual (e.g., a
Licensee employee, contractor, manufacturer, or supplier) is relieved from the
fingerprinting requirement by 10 CFR 搂 73.61, or any person who has been favorably-
decided by a U.S. Government program involving fingerprinting and an FBI
identification and criminal history records check (e.g., National Agency Check,
Transportation Worker Identification Credentials in accordance with 49 CFR Part 1572,
Bureau of Alcohol Tobacco Firearms and Explosives background checks and
clearances in accordance with 27 CFR Part 555, Health and Human Services security
risk assessments for possession and use of select agents and toxins in accordance
with 42 CFR Part 73, Hazardous Material security threat assessment for hazardous
material endorsement to commercial drivers license in accordance with 49 CFR Part
1572, Customs and Border Patrol鈥檚 Free and Secure Trade Program1 within the last
1
The FAST program is a cooperative effort between the Bureau of Customs and Border Patrol and the
governments of Canada and Mexico to coordinate processes for the clearance of commercial shipments
at the U.S. - Canada and U.S. - Mexico borders. Participants in the FAST program, which requires
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five (5) calendar years, or any person who has an active federal security clearance
(provided in the latter two cases that they make available the appropriate
documentation2). Written confirmation from the Agency/employer which granted the
federal security clearance or reviewed the FBI criminal history records results based
upon a fingerprint identification check must be provided. The Licensee must retain this
documentation for a period of three (3) years from the date the individual no longer
requires unescorted access to certain radioactive material associated with the
Licensee鈥檚 activities.
29. Is fingerprinting meant to replace the trustworthiness and reliability
determination?
No, fingerprinting is only one component of the trustworthiness and reliability
determination. A trustworthiness and reliability determination should be based, at a
minimum, by verifying employment history, education personal references and a
federal criminal history check. All four of these components need to be considered
when making a T&R determination.
30. How will compliance with the fingerprinting component be verified?
Compliance will be verified at the time the licensee鈥檚 trustworthiness and reliability
program is inspected by the regulatory agency.
31. Is there financial aid or funding available to assist in the implementation of the
fingerprinting requirements? Will the licensees be compensated in any way?
The NRC will not provide financial aid and there is no funding available to assist in the
implementation of the fingerprinting requirements.
32. Will there be a reevaluation period?
At the moment there is no reevaluation period. The reevaluation of criminal history
records will be addressed during the NRC鈥檚 rulemaking process.
33. The Order requires that the licensee shall provide under oath or affirmation a
certification that the T&R Official is deemed trustworthy and reliable. What does
it mean to submit documents to the NRC 鈥渦nder oath or affirmation鈥??
The requirement to submit documents to the NRC under oath or affirmation may be
satisfied by using a notary public to authenticate oaths or affirmations and to certify
that the information provided is correct and true. An alternate method for complying
with the oath or affirmation requirement is presented in the United States Code, Title
28, Section 1746 (28 USC 1746). This method allows use of the following unsworn
declaration to satisfy the oath or affirmation requirement:
successful completion of a background records check, may receive expedited entrance privileges at the
northern and southern borders.
2
This documentation must allow the T&R Official to verify that the individual has fulfilled the unescorted
access requirements of Section 149 of the AEA by submitting to fingerprinting and an FBI identification
and criminal history records check.
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I declare [or certify, verify, state] under penalty of perjury that the foregoing is true and
correct.
Executed on [date] [Signature]
When applying this declaration, it must be used verbatim. Licensing documents
accompanied by this unsworn declaration satisfy the requirement that such documents
be submitted under oath or affirmation.
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