MSDS PAGE: CAS N/A MSDS nrc_gov---fingerprinting-workshop-slides.asp

United States Nuclear Regulatory Commission

Fingerprinting Requirements for
Increased Controls Licensees
Chris Einberg, Senior Project Manager
Office of Federal and State Materials and
Environmental Management Programs

Tim Harris, Team Leader
Office of Nuclear Security Incident Response

February 27, 2008
United States Nuclear Regulatory Commission

Purpose

�? Discuss contents of Order

�? Discuss fingerprinting process

�? Important dates

�? Discuss common questions and answers

2
United States Nuclear Regulatory Commission

Fingerprinting Order (EA-07-305)
Issued December 5, 2007

�? Issued to NRC licensees authorized to possess
radioactive material quantities of concern
�? 991 Orders were issued
�? Of these approximately 350 are implementing the
Increased Controls (IC)
�? On December 6, 2007 an administrative correction
was issued to correct the date on signature page (11)
�? Licensees implementing IC are required to implement the
fingerprinting Order
�? Agreement States will be issuing similar requirements by
June 5, 2008

3
United States Nuclear Regulatory Commission

Increased Controls (IC)
�? Issued late 2005, FRN 72128
�? Trustworthy and Reliability (T&R) determinations
required for unescorted access to radioactive
material quantities of concern
�? Based on verification of:
�? Employment
�? Education
�? Personal references
�? Fingerprinting Order requires FBI criminal history
record check results must also be evaluated

4
United States Nuclear Regulatory Commission

Why now?

�? Implementation of Fingerprinting Requirements
in Section 652 of EPAct

�? Staff Requirements Memorandum, SRM-SECY-
07-0011, dated March 12, 2007 instructed the
NRC staff to:
�? Engage the Agreement States to develop a
plan to require fingerprinting of IC licensees

5
United States Nuclear Regulatory Commission

How was the Order developed?
�? Established a Joint NRC/Agreement State Working
Group
�? Purpose is:
�? to modify IC requirements to include
fingerprinting and criminal history checks
�? to address issues associated with the
implementation of the fingerprinting
requirements for unescorted access at facilities
implementing the IC, and
�? issue fingerprinting requirements to all IC
licensees

6
United States Nuclear Regulatory Commission

Increased Controls Fingerprinting
Working Group (ICFWG)
�? Co-Chaired between NRC and Organization of Agreement States
(OAS)
�? Chris Einberg replaced Tim Harris, NRC, Office of Federal and
State Materials and Environmental Management Programs
�? Alice Rogers (TX), Representing OAS
�? NRC Representatives
�? Frederick Sturz, Office of Nuclear Security Incident Response
�? Tison Campbell, Office of the General Counsel
�? Andrew Pretzello, Office of Administration
�? Deborah Piskura, Region III Office
�? Robert Brown, Region IV Office
�? Agreement State Representatives
�? Jared Thompson (AR) �? CRCPD
�? Julia Schmitt (NE) �? OAS
7
United States Nuclear Regulatory Commission

What’s the process?

�? NRC and Agreement States issue Orders or legally binding
requirements, respectively to licensees that are authorized
to possess radioactive material quantities of concern or are
implementing the increased controls
�? Licensees that do not possess Table I quantities need to
inform the NRC that they are not required to implement
�? Licensees collect fingerprints through local law
enforcement agencies, private entities, or establish an on-
site fingerprinting program for individuals allowed
unescorted access to radioactive material

8
United States Nuclear Regulatory Commission

Process (continued)

�? Fingerprints are submitted directly to the NRC
for processing by the FBI
�? The resulting criminal history records are
returned to the licensee by the NRC for their
evaluation
�? The licensee’s T&R official determines whether
to grant, or continue to grant, unescorted access
to material based on review of the results of the
FBI criminal history check and in conjunction
with the T&R information gathered as part of the
implementation of the increased control
requirements
9
United States Nuclear Regulatory Commission
Increased Controls Fingerprinting Process
START
Is the information
Licensee submits NRC forward
Licensee responds Implement Yes
on the card complete
fingerprint cards to fingerprints to FBI
within 60 days of
NRC and AS and payment has been
FBI through NRC for processing
issuance, if not
issue Orders and included?
implementing; 90 days
license conditions
if implementing
(T&R Official)
Not implement
No FBI return results
back to NRC
NRC contacts licensee
Regulatory agency verifies and return cards if
applicability at next necessary
safety inspection
No Are fingerprints
readible?

Yes

NRC mail results
to licensee’s T&R
Employee is
Approved official
granted
unescorted
access

Any hits against the Licensee’s T&R official
Licensee makes Yes
Licensee notifies
FBI Terrorist review criminal history
determination for
regulatory agency
Screening Database? records
unescorted access

No
unescorted No
Denied
access
United States Nuclear Regulatory Commission

Organization of Fingerprinting Order

�? Cover Letter
�? Enclosure 1: Order Imposing Fingerprinting and
Criminal History Check Requirements for
Unescorted Access to Certain Radioactive
Material
�? Att. 1 �? List of Applicable Material Licensees
�? Att. 2 �? Radionuclides of Concern
�? Att. 3 �? Specific Requirements Pertaining to
Fingerprinting and Criminal History Records
Checks
11
United States Nuclear Regulatory Commission

Organization of Fingerprinting Order
(cont.)

�? Enclosure 2 �? Procedures for Processing
Fingerprinting Checks
�? Enclosure 3 �? Guidance for Evaluating FBI
Identification and Criminal History Check for
Allowing Unescorted Access to Certain
Radioactive Material
�? Enclosure 4 �? Questions and Answers with
Regards to Fingerprinting and Criminal History
Records Checks

12
United States Nuclear Regulatory Commission

Important Dates for NRC Licensees

�? January 4, 2008 �? 30 days
�? Request for hearing

�? February 3, 2008 �? 60 days
�? Notify NRC if compliance with order is unnecessary or unable
to comply

�? March 4, 2008 �? 90 days
�? Establish and maintain a fingerprinting program
�? Certification to NRC that Trustworthiness and Reliability
Official is deemed trustworthy and reliable

�? June 2, 2008 �? 180 days
�? Complete implementation of all requirements
�? Must notify NRC within 25 days after full implementation is
achieved
13
United States Nuclear Regulatory Commission

Enclosure 1 �? The Order

�? Licensees have 60 days to notify the NRC if they are
unable to comply with the requirements of the Order or if
compliance is unnecessary (reqt. A3)
�? Licensees have 90 days to establish and maintain a
fingerprinting program (reqt. A1)
�? Licensees have 90 days to fingerprint and approve a
Trustworthiness and Reliability (T&R) Official if he/she has
unescorted access to material (reqt. A2)
�? T&R Official is the individual who will be making the
T&R determinations for individuals who require
unescorted access
�? Licensees have until June 2, 2008 to complete
implementation of the program and 25 days to notify after
reaching full compliance (reqt. A4)
14
United States Nuclear Regulatory Commission

Enclosure 1 �? The Order

�? Licensees are required to notify the NRC’s Headquarters
Operations Office within 24 hours if results indicate that an
individual is on the FBI’s terrorist screening data base.
(reqt. A5)

�? Licensees may allow any individual who had unescorted
access at the time the Order was issued ( i.e. December
5, 2007) to continue to have unescorted access to
material pending a decision by the T&R Official.

�? After June 2, 2008, no-one will be allowed unescorted
access without a T&R determination that also
considered FBI criminal history results.

15
United States Nuclear Regulatory Commission

Attachments 1 & 2 to Enclosure 1
(Order)

�? Att. 1: List of Licensees (Redacted and withheld
from public disclosure)
�? Att. 2: Radionuclides of Concern
�? Includes RA-226
�? Footnote 5, Reflects new NRC authority

16
United States Nuclear Regulatory Commission
Attachment 2 to Enclosure 1 (Order)
continued
Quantity of Concern1 (TBq) Quantity of Concern2 (Ci )
Radionuclide

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 Below4
Combinations of
radioactive
materials
17
listed
above3
United States Nuclear Regulatory Commission

Attachment 3 to Enclosure 1 (Order)

�? Specific Requirements Pertaining to
Fingerprinting and Criminal History Records
Checks
�? All individuals seeking unescorted access
must be fingerprinted
�? If previously favorably decided by a US
government program that required an FBI
fingerprinting check within the past five years,
new fingerprints do not need to be taken for
unescorted access. (e.g., Transportation
Worker Identification Credentialing, TWIC)
18
United States Nuclear Regulatory Commission

Attachment 3 to Enclosure 1 (Order)
continued

�? All fingerprints are submitted to NRC for
submission to FBI
�? Results are returned to NRC who sends them to
licensee’s T&R official
�? Licensees review results in conjunction with the
other 3 components of making a T &R
determination
�? Verification of employment, education and
personal references.

19
United States Nuclear Regulatory Commission

Enclosure 2 �? Procedures for
Processing Fingerprints

�? Payments must be through pay.gov
�? Submit one legible fingerprint card (Form FD-
258)
�? Only available from NRC
�? Local law enforcement can take them
�? Include the name and address of the T&R
official to whom the results should be returned
�? Must include a copy of the oath and
affirmation of the T&R Official with each
submittal of the cards
�? Can resubmit once for free
20
United States Nuclear Regulatory Commission

Enclosure 3 �? Guidance for Evaluating FBI
Identification and Criminal History Records Checks

�? Attachment 3 of Enclosure 1 states:
�? “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.�?
�? “The Licensee shall document the basis for its
determination whether to grant, or continue to allow
unescorted access to radioactive materials equal to or
greater than quantities listed in attachment 2.�?

21
United States Nuclear Regulatory Commission

Enclosure 3 �? Guidance (cont.)

�? Each Licensee is responsible for determining
whether to grant unescorted access.

�? Licensees should establish criteria that would
disqualify someone from being granted
authorized access.

�? The guidance is provided to assist the Licensee
in evaluating the results of FBI criminal history
records check results as a component of the
T&R determination.
22
United States Nuclear Regulatory Commission

Enclosure 3 �? Guidance (cont.)

�? The guidance provides minimum elements that
the licensee should consider when evaluating
the results.

�? Each T&R determination for unescorted access
must be documented to include the basis for the
decision made.

23
United States Nuclear Regulatory Commission

Enclosure 4 �? Q’s and A’s

�? Provides answers to some frequently asked
questions.

�? Additionally, new Questions and Answers are
posted to our website at:
�? http://www.nrc.gov/security/byproduct/orders.ht
ml#fingerprinting

24
United States Nuclear Regulatory Commission

Answers to Common Questions

25
United States Nuclear Regulatory Commission

Q: 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? What should I do?

�? If you are authorized to possess, but do not actually
possess the quantities listed in Table 1, you do not have
to implement the requirements of the Order.
�? However, you must notify the NRC within 60 days (i.e.
February 3, 2008) that compliance with the Order is
unnecessary.
�? Signed responses can be faxed to 301-415-5955 or a
signed .pdf can be e-mailed to ICfingerprint@nrc.gov.
�? Mail responses can be sent to: US NRC, Two White Flint
North, 11545 Rockville Pike, Rockville, MD 20872-2738,
Attn: Christian Einberg, MS T8E24

26
United States Nuclear Regulatory Commission

Q: 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? What should I do? (cont.)

�? The following sample statement can be used:
�? "This letter is in response to your December 5, 2007, "Order
Imposing Fingerprinting and Criminal History Records Check
Requirements for Unescorted Access to Certain Radioactive
Material" (EA-07-305). In accordance with section A.3.(2) of the
Order, [enter Licensee name, license number, and docket number]
the radioactive materials currently included in our inventory do not
meet or exceed (either aggregated or collocated) the quantity of
concern thresholds listed on Table 1 of the Increased Controls
requirements, therefore, compliance with the fingerprinting
requirements of Order EA-07-305 is unnecessary at this moment. It
is understood that compliance with Order EA-07-305 is mandatory
for individuals requiring unescorted access to radionuclides of
concern (either aggregated or collocated), at or above the threshold
limits of Table 1.�?
�? Licensees may choose to amend their license to lower
possession limits if they are not possessing Table 1 quantities

27
United States Nuclear Regulatory Commission

Q: I am currently implementing the Increased Controls
(i.e., I have quantities of material above the Table 1
threshold). How do I certify to the NRC that my T&R
Official is determined to be trustworthy and reliable?

�? There are two types of T&R Officials:
1. T&R Officials who do not require unescorted
access to material (e.g., human resources staff),
and
2. T&R Officials who require unescorted access to
material (e.g., radiation safety officer).

�? Certifications of trustworthiness and reliability of the
T&R Official must be made to the NRC under oath
and affirmation within 90 days of the date of the
Order (i.e. March 4, 2008) 28
United States Nuclear Regulatory Commission

T&R Official Certification (cont.)

�? T&R Officials who do not require unescorted
access, must be determined to be trustworthy and
reliable by the Licensee in accordance with the
requirements of IC1 of the Increased Controls Order
(EA-05-090), i.e. verification of: employment,
education, and personal references.

�? For T&R Officials who require unescorted access
to material, the Licensee must also consider the
results of FBI fingerprinting and criminal history
records checks in addition to verification of:
employment, education and personal references

29
United States Nuclear Regulatory Commission

T&R Official Certification (cont.)

�? If the T&R Official is determined to be trustworthy and
reliable by the Licensee, the requirement to submit
documents under oath or affirmation may be satisfied using
a notary public to authenticate oaths or affirmations and to
certify that the information is correct.

�? Alternatively, the following unsworn declaration (affirmation)
may be used, but must be verbatim:
�? I declare [or certify, verify, state] under penalty of perjury
that the foregoing is true and correct.
Executed on [date] [Signature]�?

�? Note: A copy of the T&R certification must be submitted
with all fingerprint submittals to the NRC. (Att. 3, para. 4)

30
United States Nuclear Regulatory Commission

Q: How do I submit fingerprints for the nominated
T&R Official who requires unescorted access?
Who approves the T&R Official?
�? Step 1: Submit one completed, legible standard form FD-258 for
individual nominated to be T&R Official.
�? Step 2: Submit to NRC’s Division of Facilities and Security.
�? Step 3: Include the name and address of the individual to whom
the nominated T&R Official’s criminal history records should be
returned for review.
�? Results should be reviewed by someone other than
nominated T&R Official and should be the person who will
be submitting certification under oath and affirmation.
�? Preferably the same person who initially approved the T&R
Official for the original Increased Control requirements, but
may be the custodian or initiator of the license.
�? Step 4: NRC will forward the results of the FBI criminal history
records check to the person identified in Step 3.

31
United States Nuclear Regulatory Commission

Do I need to be fingerprinted if I have an
active federal security clearance?

�? No. 10 CFR 73.61 relieves persons from the fingerprinting
requirements if they have been favorably-decided by a US
Government program involving fingerprinting and an FBI
identification and criminal history records check within the
last 5 calendar years
�? Some examples are: National Agency Check,
Transportation Worker Identification Credentials, ATF
explosives background check, etc.
�? Written confirmation from the Agency/employer which
granted the clearance or reviewed the FBI criminal history
record results must be provided.
�? See paragraph 3 of Attachment 3 for requirements and
Question 3.

32
United States Nuclear Regulatory Commission

Q: How far back do the FBI criminal history
records checks go?

�? The FBI criminal history records check provides
information on all arrests since the individual’s
eighteenth birthday.

33
United States Nuclear Regulatory Commission

Who can take my fingerprints?

�? Licenses may use law enforcement agencies, private
entities, contractors, or establish an on-site fingerprinting
program for the purpose of taking fingerprints

�? The individual taking fingerprints should at a minimum:
�? Be trained to take fingerprints
�? Verify the identity of the individual being fingerprinted
by checking a government-issued picture identification
(e.g. a passport or driver’s license)
�? Sign the block on the fingerprint card labeled
“Signature of Official Taking the Fingerprints�?

34
United States Nuclear Regulatory Commission

Can I submit my fingerprints electronically?

�? Yes. Some larger Licensees may wish to
establish an electronic fingerprinting program
with the NRC. For most licensees this option is
cost prohibitive.

�? To establish an electronic fingerprinting program
with the NRC, please contact NRC Facilities
Security Branch, Division of Facilities and
Security at 301-415-6511.

35
United States Nuclear Regulatory Commission

Do blood irradiators contain the
specified quantities?
�? Yes. Blood irradiators typically exceed the
Category 2 threshold quantities.

What’s the Cost?
�? NRC currently charges $36 per person to
process and submit fingerprints to the FBI
�? Additional fees could be charged by local law
enforcement and/or private companies
authorized to do fingerprinting

36
United States Nuclear Regulatory Commission

How do I make payment for fingerprinting?
�? Payments for fingerprinting should be submitted through
http://www.pay.gov

�? Licensees must establish a password and user ID before
accessing http://www.pay.gov.

�? To establish an account, Licensee requests must be e-
mailed to paygo@nrc.gov.

�? Requests must include the Licensee’s name, address, point
of contact, e-mail address and phone number.

�? Licensees who can not make payment through pay.gov,
NRC will accept checks, cashier checks or money orders.

37
United States Nuclear Regulatory Commission

How do I make payment for fingerprinting?
(continued)

�? NRC will forward each request to Pay.gov and
someone from Pay.gov will contact the
Licensee with all the necessary account
information.

�? Licensees shall make payment for processing
before submitting applications to the NRC.

�? Pay.gov payment receipt(s) should accompany
all application(s).

38
United States Nuclear Regulatory Commission

How long does it take to process
fingerprints?

�? The NRC administrative process is a few days and the
FBI turns around the results within 24-48 hours.

Is there a “grandfather�? clause for current
employees?

�? Employees who currently are already determined to be
trustworthy and reliable under the IC Order can continue
to have unescorted access during the 180 day
implementation period.

39
United States Nuclear Regulatory Commission

Can additional employees be granted unescorted access
prior to certification that T&R Official is deemed
trustworthy and reliable?

�? No.

�? The Order requires that within 90 days that licensees
establish a fingerprinting program and provide under oath
or affirmation a certification that the T&R Official is
deemed trustworthy and reliable by the licensee.

�? Only after the T&R Official has been certified to be
trustworthy and reliable, can the T&R Official make
trustworthiness and reliability determinations for any
employee who requires unescorted access after the date
of the Order
40
United States Nuclear Regulatory Commission

Are “interim�? clearances allowed?
�? No. All new employees requiring unescorted access must
be fingerprinted as part of the trustworthiness and reliability
determination process before being authorized for
unescorted access by the T&R Official.

What is the process to have the requirements
modified?

�? The Director of the Office of Federal and State Materials and
Environmental Management Programs, may, in writing relax
or rescind any of the requirements upon demonstration of
good cause by the licensee.

41
United States Nuclear Regulatory Commission

Important Contact Information:
Questions/Responses on Order:
�? Phone: Fingerprinting for Increased Controls Support: 301-415-
3340
�? E-mail: ICfingerprint@nrc.gov
�? Fax: 301-415-5955

Questions regarding electronic payments:
�? Phone: 301-415-7404

For additional fingerprint cards (Form FD-258):
�? 301-415-5877
�? E-mail: forms@nrc.gov

NRC Website for Q’s and A’s:
�? http://www.nrc.gov/security/byproduct/orders.html#fingerprinting

42
United States Nuclear Regulatory Commission

Addresses
�? Fingerprint card submittals:
Director, Division of Facilities and Security
US NRC
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738
Attn: Criminal History Program, Mail Stop T6E46

�? Responses:
Director, Office of Federal and State Materials and
Environmental Management Programs
US NRC
Two White Flint North
11545 Rockville Pike Rockville
Rockville, MD 20852-2738
Attn: Christian Einberg, Mail Stop T8E24
43
United States Nuclear Regulatory Commission

Important Dates for NRC Licensees
�? January 4, 2008 �? 30 days
�? Request for hearing

�? February 3, 2008 �? 60 days
�? Notify NRC if compliance with order is unnecessary or unable
to comply

�? March 4, 2008 �? 90 days
�? Establish and maintain a fingerprinting program
�? Certification to NRC that Trustworthiness and Reliability
Official is deemed trustworthy and reliable

�? June 2, 2008 �? 180 days
�? Complete implementation of all requirements
�? Must notify NRC within 25 days after full implementation is
achieved
44
United States Nuclear Regulatory Commission

Questions?

45

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