December 16, 2009 

 EA-09-293 

TO: Service Provider Licensees that are not Manufacturers or Distributors and that 

Request Unescorted Access to Certain Radioactive Material 

SUBJECT: ISSUANCE OF ORDERS IMPOSING TRUSTWORTHINESS AND RELIABILITY 

REQUIREMENTS FOR UNESCORTED ACCESS TO CERTAIN RADIOACTIVE 

MATERIAL 

In response to your request, the U.S. Nuclear Regulatory Commission (NRC or Commission) is 

issuing the enclosed Order (Enclosure 1). The Order requires you to implement specific 

measures to ensure the trustworthiness and reliability (T&R) of your service representatives that 

need to have unescorted access to radioactive material in quantities greater than or equal to the 

quantities in Table 1 (Attachment 2 to Enclosure 1). You must respond to this Order, in writing 

and under oath or affirmation, either consenting to the Order, or providing the reasons why you 

now believe the Order should not have been issued. 

Section 652 of the Energy Policy Act of 2005 (EPAct) requires fingerprinting and criminal history 

record checks of all individuals who seek or currently have unescorted access to radioactive 

materials determined by the Commission to be of significance to the public health and safety or 

the common defense and security. Because your licensed activities require such access and 

you desire that the access be unescorted, you must establish a program to fingerprint and 

check criminal history records of those individuals who will require unescorted access to 

radioactive material in quantities of concern at a customer’s facility. The fingerprinting program 

must meet the requirements in this Order (Attachment 3 to Enclosure 1). 

To establish a fingerprinting program, you must designate an individual who will be the 

Reviewing Official for your company. This individual must be permitted unescorted access as 

part of his or her job duties and will be responsible for reviewing the results of Federal Bureau 

of Investigation (FBI) criminal history records checks concerning other individuals in your 

company. The Reviewing Official will use the criminal history records check results along with 

other T&R requirements to make determinations for unescorted access to radioactive materials 

in quantities of concern for those individuals. You must submit the designated individual’s 

fingerprints to the NRC. Based on an FBI criminal history records check using the fingerprint 

results, the NRC staff will determine if the designated individual should have unescorted access 

to radioactive material in quantities of concern and be approved to serve as your company’s 

Reviewing Official. If the NRC determines that the designated individual should be prohibited 

unescorted access, the individual may appeal the decision by following the procedures in 

Enclosure 5 to this letter, or you may designate a different individual. 
2 

The enclosed Order is effective immediately. These requirements will remain in effect until the 

Commission determines otherwise. You must respond to this Order within twenty-five (25) days 

of the date of its issuance, and implement the requirements before allowing unescorted access 

to radioactive material in quantities of concern to any individual. Please refer to the enclosed 

guidance and procedures (Enclosures 2-5) for further information. Some of the implementing 

guidance with included Questions and Answers (Q&A’s), specifically Enclosure 2, were 

developed as part of previously-issued Orders and may not be directly applicable to service 

provider licensees that are not manufacturers or distributors. 

You must submit fingerprints in accordance with the procedures in this Order. The current 

processing fee is $26.00 per submission and payment must be made as described in 

Enclosure 3. 

To facilitate resolution of any issues or questions related to compliance with the requirements 

in the enclosed Order please contact Sarenee C. Hawkins at 301-415-7562 or e-mail to 

sarenee.hawkins@nrc.gov. 

Licensee responses to the Order (not fingerprint cards) are required to be submitted to 

the Director, Division of Materials Safety and State Agreements, Office of Federal and 

State Materials and Environmental Management Programs, and should be addressed to 

the attention of Sarenee C. Hawkins, Source Management and Protection Branch (SMPB), 

Mail Stop T8-E24. Responses to the Order should be mailed to one of the following 

addresses: 

For normal postal delivery, mail to: 

Director 

Division of Materials Safety and 

 State Agreements 

Office of Federal and State Materials 

 and Environmental Management Programs 

U.S. NRC 

Washington, D.C., 20555-0001 

Attn: Sarenee C. Hawkins, Mail Stop T8-E24 

For delivery services requiring a street address, mail to: 

Director 

Division of Materials Safety and 

 State Agreements 

Office of Federal and State Materials 

 and Environmental Management Programs 

U.S. NRC 

11545 Rockville Pike 

Rockville, MD 20852-2738 

Attn: Sarenee C. Hawkins, Mail Stop T8-E24 
 3 

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 

TWB-05B32M. A short cover letter should be included listing the reviewing official(s) and the 

docket number (for NRC licensees) or for Agreement State licensees, the two letter State 

abbreviation followed by a dash and the State-issued license number (e.g., CA-123456). 

The following mailing address should be used: 

For delivery services requiring a street address, mail to: 

Director, Division of Facilities and Security 

U.S. NRC 

11545 Rockville Pike 

Rockville, MD 20852-2738 

Attn: Criminal History Program, Mail Stop TWB-05B32M 

The enclosed Order has been forwarded to the Office of the Federal Register for publication. 

Sincerely, 

Robert J. Lewis, Director /RA/

 Division of Materials Safety and 

 State Agreements 

Office of Federal and State Materials 

 and Environmental Management Programs 

Enclosures: 

1. Order Imposing Trustworthiness and 

Reliability Requirements for Unescorted 

Access to Certain Radioactive Material 

2. Implementing Guidance for Service Provider 

Licensees that are not Manufacturers or 

Distributors 

3. Procedures for Processing Fingerprint 

Checks 

4. Guidance for Evaluating FBI 

Identification and Criminal History 

Records Checks for Allowing 

Unescorted Access to Certain 

Radioactive Material 

5. Process to Challenge NRC Denials or 

Revocations of Unescorted Access to 

Certain Radioactive Material 
1

UNITED STATES 

NUCLEAR REGULATORY COMMISSION 

In the Matter of: ) 

 ) 

CERTAIN LICENSEES REQUESTING ) EA-09-293 

UNESCORTED ACCESS TO ) 

RADIOACTIVE MATERIAL ) 

 

ORDER IMPOSING TRUSTWORTHINESS AND RELIABILITY 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) or an Agreement State, authorizing them 

to perform services on devices containing certain radioactive material for customers 

licensed by the NRC or an Agreement State to possess and use certain quantities of the 

radioactive materials listed in Attachment 2 to this Order. Commission regulations at 

10 CFR 20.1801 or equivalent Agreement State regulations require Licensees to secure, 

from unauthorized removal or access, licensed materials that are stored in controlled or 

unrestricted areas. Commission regulations at 10 CFR § 20.1802 or equivalent 

Agreement State regulations require Licensees to control and maintain constant 

surveillance of licensed material that is in a controlled or unrestricted area and that is not 

in storage.

 II 

Subsequent to the terrorist events of September 11, 2001, the NRC issued 

immediately effective security Orders to NRC and Agreement State Licensees under the 

Commission’s authority to protect the common defense and security of the nation. The 

Orders required certain manufacturing and distribution (M&D) Licensees to implement 

 

1 Attachment 1 contains sensitive information and will not be released to the public.

Enclosure 1
2

Additional Security Measures (ASMs) for the radioactive materials listed in Attachment 2 

to this Order (the radionuclides of concern), to supplement the existing regulatory 

requirements. The ASMs included requirements for determining the trustworthiness and 

reliability of individuals that require unescorted access to the radionuclides of concern. 

Section 652 of the Energy Policy Act of 2005, 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 “any 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.” Section 149 of the AEA also requires 

that “all fingerprints obtained by a Licensee or applicant...shall be submitted to the 

Attorney General of the United States through the Commission for identification and a 

criminal history records check.” As a result, the trustworthiness and reliability 

requirements of the ASMs were updated and the M&D Licensees were issued additional 

Orders imposing the new fingerprinting requirements. 

 In late 2005, the NRC and the Agreement States began issuing Increased 

Controls (IC) Orders or other legally binding requirements to Licensees who are 

authorized to possess the radionuclides of concern. Paragraph IC 1.c of the IC 

requirements stated that “service providers shall be escorted unless determined to be 

trustworthy and reliable by an NRC-required background investigation as an employee 

of a Manufacturing and Distribution Licensee.” Starting in December 2007, the NRC and 

the Agreement States began issuing additional Orders or other legally binding 

requirements to the IC Licensees, imposing the new fingerprinting requirements. In the 

December 2007 Fingerprinting Order, Paragraph IC 1.c of the IC requirements was 

superseded by the requirement that “Service provider Licensee employees shall be 
3

escorted unless determined to be trustworthy and reliable by an NRC-required 

background investigation.” However, NRC did not require background investigations 

for non-M&D service provider Licensees. Consequently, only service representatives 

of certain M&D Licensees may be granted unescorted access to the radionuclides of 

concern at an IC Licensee facility, even though non-M&D service provider Licensees 

provide similar services and have the same degree of knowledge of the devices they 

service as M&D Licensees. To maintain appropriate access control to the radionuclides 

of concern, and to allow M&D Licensees and non-M&D service provider Licensees to 

have the same level of access at customers’ facilities, NRC is imposing trustworthiness 

and reliability requirements for unescorted access to radionuclides of concern, as set 

forth in this Order. These requirements apply to non-M&D service provider Licensees 

that request and have a need for unescorted access by their representatives to the 

radionuclides of concern at IC Licensee facilities. These trustworthiness and reliability 

requirements are equivalent to the requirements for M&D Licensees who perform 

services requiring unescorted access to the radionuclides of concern. 

 In order to provide assurance that non-M&D service provider Licensees are 

implementing prudent measures to achieve a consistent level of protection for service 

providers requiring unescorted access to the radionuclides of concern at IC Licensee 

facilities, all Licensees identified in Attachment 1 to this Order shall implement the 

requirements of this Order. In addition, pursuant to 10 CFR 2.202, because of 

potentially significant adverse impacts associated with a deliberate malevolent act by an 

individual with unescorted access to the radionuclides of concern, I find that the public 

health, safety, and interest require this Order to 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 
4

2.202, 10 CFR Parts 20, 30 and 33, IT IS HEREBY ORDERED, EFFECTIVE 

IMMEDIATELY, THAT ALL LICENSEES IDENTIFIED IN ATTACHMENT 1 TO THIS 

ORDER COMPLY WITH THE REQUIREMENTS SET FORTH IN THIS ORDER. 

A.1. The Licensee shall establish and maintain a fingerprinting program that meets the 

requirements of Attachment 3 to this Order for individuals that require unescorted 

access to the radionuclides of concern. The Licensee shall complete 

implementation of the requirements of Attachment 3 to this Order within one 

hundred eighty (180) days of the date of this Order, or before (1) providing 

written verification to another Licensee subject to the IC requirements, or (2) 

attesting to or certifying the trustworthiness and reliability of a service provider for 

unescorted access to the radionuclides of concern at a customer’s facility. 

A.2. Within ninety (90) days of the date of this Order, the Licensee shall designate a 

“Reviewing Official” for determining unescorted access to the radioactive 

materials as listed in Attachment 2 to this Order by other individuals. The 

designated Reviewing Official shall be determined to be trustworthy and reliable 

by the Licensee in accordance with the requirements described in Attachment 3 

to this Order and must be permitted to have unescorted access to the 

radioactive materials listed in Attachment 2 to this Order as part of his or her job 

duties. 

A.3. Fingerprints for unescorted access need not be taken if a designated Reviewing 

Official is relieved from the fingerprinting requirement by 10 CFR § 73.61, or has 

been favorably decided by a U.S. Government program involving fingerprinting 
5

and a FBI identification and criminal history records check2

 within the last five (5) 

years, or for any person who has an active federal security clearance (provided in 

the latter two cases that they make available the appropriate documentation3

). 

The Licensee may provide, for NRC review, written confirmation from the 

Agency/employer which granted the federal security clearance or reviewed the 

FBI identification and criminal history records results based upon a fingerprint 

identification check. The NRC will determine whether, based on the written 

confirmation, the designated Reviewing Official may have unescorted access to 

the radioactive materials listed in Attachment 2 to this Order, and therefore, be 

permitted to serve as the Licensee’s Reviewing Official4

. 

A.4. A designated Reviewing Official may not review the results from the FBI 

identification and criminal history records checks or make unescorted access 

determinations until the NRC has approved the individual as the Licensee’s 

Reviewing Official. 

A.5. The NRC will determine whether this individual (or any subsequent Reviewing 

Official) may have unescorted access to the radionuclides of concern, and 

 

2

 Examples of such programs include (1) National Agency Check, (2) Transportation Worker 

Identification Credentials in accordance with 49 CFR Part 1572, (3) Bureau of Alcohol Tobacco 

Firearms and Explosives background checks and clearances in accordance with 27 CFR Part 

555, (4) Health and Human Services security risk assessments for possession and use of select 

agents and toxins in accordance with 42 CFR Part 73, and (5) Hazardous Material security threat 

assessment for hazardous material endorsement to commercial drivers license in accordance 

with 49 CFR Part 1572, Customs and Border Patrol’s Free and Secure Trade (FAST) Program. 

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.

3

 This documentation must allow the NRC or NRC-approved Reviewing Official to verify that the 

individual has fulfilled the unescorted access requirements of Section 149 of the AEA by 

submitting to fingerprinting and a FBI identification and criminal history records check. 

4

 The NRC’s determination of this individual’s unescorted access to the radionuclides of concern 

in accordance with the process described in Enclosure 4 to the transmittal letter of this Order is 

an administrative determination that is outside the scope of this Order.
6

therefore, will be permitted to serve as the Licensee’s Reviewing Official. The 

NRC-approved Reviewing Official shall be the recipient of the results of the FBI 

identification and criminal history records check of the other Licensee employees 

requiring unescorted access to the radioactive materials listed in Attachment 2 to 

this Order, and shall control such information as specified in the “Protection of 

Information” section of Attachment 3 to this Order. 

A.6. The NRC-approved Reviewing Official shall determine whether an individual may 

have unescorted access to radioactive materials that equal or exceed the 

quantities in Attachment 2 to this Order, in accordance with the requirements 

described in Attachment 3 to this Order. 

B. Prior to requesting fingerprints from a Licensee employee, a copy of this Order 

shall be provided to that person. 

C.1. The Licensee shall, in writing, within twenty-five (25) 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, including 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 or Agreement 

State regulation or its license. The notification shall provide the Licensee’s 

justification for seeking relief from or variation of any specific requirement.

C.2. The Licensee shall complete implementation of the requirements of Attachment 3 

to this Order within one hundred eighty (180) days of the date of this Order. 

C.3. The Licensee shall report to the Commission when they have achieved full 

compliance with the requirements described in Attachment 3 to this Order. The 
7

report shall be made within twenty-five (25) days after full compliance has been 

achieved. 

C.4. If during the implementation period of this Order, the Licensee is unable, due to 

circumstances beyond its control, to meet the requirements of this Order by June 

14, 2010, the Licensee shall request the Commission, in writing, the need for an 

extension of time to implement the requirements. The request shall provide the 

Licensee’s justification for seeking additional time to comply with the 

requirements of this Order. 

C.5. Licensees shall notify the NRC’s 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’s Terrorist 

Screening Data Base. 

 Licensee responses to C.1, C.2., C.3., and C.4. above shall be submitted in 

writing to the Director, Division of Materials Safety and State Agreements, Office of 

Federal and State Materials and Environmental Management Programs, U.S. Nuclear 

Regulatory Commission, Washington, DC 20555. Licensee responses shall be marked 

as “Security-Related Information - Withhold Under 10 CFR 2.390. 

The Director, Division of Materials Safety and State Agreements, 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 twenty-five 

(25) days of the date of this Order. In addition, the Licensee and any other person 
8

adversely affected by this Order may request a hearing of this Order within twenty-five 

(25) days of the date of the Order. Where good 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, Division of Materials Safety and State Agreements, 

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 
9

NRC-issued digital ID certificate). Each requestor will need to download the Workplace 

Forms ViewerTM to access the Electronic Information Exchange (EIE), a component of 

the E-Filing system. The Workplace Forms ViewerTM is free and is available at 

http://www.nrc.gov/site-help/e-submittals/install-viewer.html. Information about applying 

for a digital ID certificate also is available on NRC’s 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/esubmittals.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 “Contact Us” 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 8:00 a.m. and 8:00 p.m., 

Eastern Time, Monday through Friday. The help line number is (866)-672-7640. 
10

 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 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 firstclass 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. 
11

 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-five (25) days from the date of this Order without further order or 

proceedings. If an extension of time for 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 16th day of December, 2009. 

FOR THE NUCLEAR REGULATORY COMMISSION 

 

Robert J. Lewis, Director /RA/

Division of Materials Safety and 

 State Agreements 

Office of Federal and State Materials 

 and Environmental Management Programs 

Attachments: 

1. List of Applicable Materials Licensees 

2. Table 1: Radionuclides of concern 

3. Requirements for Service Provider Licensees Providing Written Verification Attesting 
12

 to or Certifying the Trustworthiness and Reliability of Service Providers for 

 Unescorted Access to Certain Radioactive Material at Customer Facilities, including 

 Requirements for Fingerprinting and Criminal History Checks 
OFFICIAL USE ONLY – SECURITY-RELATED INFORMATION 

OFFICIAL USE ONLY – SECURITY-RELATED INFORMATION 

Attachment 1 

Applicable Materials Licenses 

REDACTED 
1 

Table 1: Radionuclides of Concern

Radionuclide Quantity of 

Concern1 (TBq) 

Quantity of 

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-226 0.4 11 

Se-75 2 54 

Sr-90 (Y-90) 10 270 

Tm-170 200 5,400 

Yb-169 3 81 

Combinations of radioactive 

materials listed above3

See Footnote 

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) ÷ (quantity of concern for 

radionuclide A)] + [(aggregated source activity for radionuclide B) ÷ (quantity of concern for 

radionuclide B)] + etc..... >1 

Attachment 2 
2 

Guidance for Aggregation of Sources

NRC supports the use of the International Atomic Energy Agency’s (IAEA) source 

categorization methodology as defined in IAEA Safety Standards Series No. RS-G-1.9, 

“Categorization of Radioactive Sources,” (2005) (see 

http://www-pub.iaea.org/MTCD/publications/PDF/Pub1227_web.pdf) and as endorsed 

by the agency’s Code of Conduct for the Safety and Security of Radioactive Sources, 

January 2004 (see http://www-pub.iaea.org/MTCD/publications/PDF/Code2004_web.pdf). The Code defines a three-tiered source categorization scheme. 

Category 1 corresponds to the largest source strength (equal to or greater than 100 

times the quantity of concern values listed in Table 1.) and Category 3, the smallest 

(equal or exceeding one-tenth the quantity of concern values listed in Table 1.). 

Additional security measures apply to sources that are equal to or greater than the 

quantity of concern values listed in Table 1, plus aggregations of smaller sources that 

are equal to or greater than the quantities in Table 1. Aggregation only applies to 

sources that are collocated. 

Licensees who possess individual sources in total quantities that equal or exceed the 

Table 1 quantities are required to implement additional security measures. Where there 

are many small (less than the quantity of concern values) collocated sources whose total 

aggregate activity equals or exceeds the Table 1 values, Licensees are to implement 

additional security measures. 

Some source handling or storage activities may cover several buildings, or several 

locations within specific buildings. The question then becomes, “When are sources 

considered collocated for purposes of aggregation?” For purposes of the additional 

controls, sources are considered collocated if breaching a single barrier (e.g., a locked 

door at the entrance to a storage room) would allow access to the sources. Sources 

behind an outer barrier should be aggregated separately from those behind an inner 

barrier (e.g., a locked source safe inside the locked storage room). However, if both 

barriers are simultaneously open, then all sources within these two barriers are 

considered to be collocated. This logic should be continued for other barriers within or 

behind the inner barrier. 

The following example illustrates the point: A lockable room has sources stored in it. 

Inside the lockable room, there are two shielded safes with additional sources in them. 

Inventories are as follows: 

The room has the following sources outside the safes: Cf-252, 0.12 TBq (3.2 Ci); 

Co-60, 0.18 TBq (4.9 Ci), and Pu-238, 0.3 TBq (8.1 Ci). Application of the unity 

rule yields: (0.12 ÷ 0.2) + (0.18 ÷ 0.3) + (0.3 ÷ 0.6) = 0.6 + 0.6 + 0.5 = 1.7. 

Therefore, the sources would require additional security measures. 

Shielded safe #1 has a 1.9 TBq (51 Ci) Cs-137 source and a 0.8 TBq (22 Ci) Am241 source. In this case, the sources would require additional security 

measures, regardless of location, because they each exceed the quantities in 

Table 1. 

Shielded safe #2 has two Ir-192 sources, each having an activity of 0.3 TBq (8.1 

Ci). In this case, the sources would not require additional security measures 
3 

while locked in the safe. The combined activity does not exceed the threshold 

quantity 0.8 TBq (22 Ci). 

Because certain barriers may cease to exist during source handling operations (e.g., a 

storage location may be unlocked during periods of active source usage), Licensees 

should, to the extent practicable, consider two modes of source usage — “operations” 

(active source usage) and “shutdown” (source storage mode). Whichever mode results 

in the greatest inventory (considering barrier status) would require additional security 

measures for each location. 

Use the following method to determine which sources of radioactive material require 

implementation of the additional security measures: 

 

• Include any single source equal to or greater than the quantity of concern 

in Table 

• Include multiple collocated sources of the same radionuclide when the 

combined quantity equals or exceeds the quantity of concern 

• For combinations of radionuclides, include multiple collocated sources of 

different radionuclides when the aggregate quantities satisfy the following 

unity rule: [(amount of radionuclide A) ÷ (quantity of concern of 

radionuclide A)] + [(amount of radionuclide B) ÷ (quantity of concern of 

radionuclide B)] + etc.....> 1
1 

Requirements for Service Provider Licensees Providing Written Verification 

Attesting to or Certifying the Trustworthiness and Reliability of Service Providers 

for Unescorted Access to Certain Radioactive Material at Customer Facilities, 

including Requirements for Fingerprinting and Criminal History Records Checks 

A. General Requirements 

Licensees subject to the provisions of this Order shall comply with the requirements of 

this attachment. The term “certain radioactive material” means the radionuclides in 

quantities equal to or greater than the quantities listed in Attachment 2 to this Order. 

1. The Licensee shall provide the customer’s facility written verification attesting to 

or certifying the trustworthiness and reliability of an individual as a service 

provider only for employees the Licensee has approved in writing (see 

requirement A.3 below). The Licensee shall request unescorted access to 

certain radioactive material at customer licensee facilities only for approved 

service providers that require the unescorted access in order to perform a job 

duty. 

2. The trustworthiness, reliability, and true identity of a service provider shall be 

determined based on a background investigation. The background investigation 

shall address at least the past three (3) years, and as a minimum, include 

fingerprinting and a Federal Bureau of Investigation (FBI) criminal history records 

check as required in Section B, verification of employment history, education, 

and personal references. If a service provider’s employment has been less than 

the required three (3) year period, educational references may be used in lieu of 

employment history. 

3. The Licensee shall document the basis for concluding that there is reasonable 

assurance that a service provider requiring unescorted access to certain 

radioactive material at a customer facility is trustworthy and reliable, and does 

not constitute an unreasonable risk for unauthorized use of the radioactive 

material. The Licensee shall maintain a list of service providers approved for 

unescorted access to certain radioactive material. 

4. The Licensee shall retain documentation regarding the trustworthiness and 

reliability of approved service providers for three years after the individual no 

longer requires unescorted access to certain radioactive material associated with 

the Licensee’s activities. 

5. Each time the Licensee revises the list of approved service providers (see 

requirement 3 above), the Licensee shall retain the previous list for three (3) 

years after the revision. 

6. The Licensee shall provide to a customer written certification for each service 

provider for whom unescorted access to certain radioactive material at the 

customer’s facility is required and requested. The written certification shall be 

dated and signed by the Reviewing Official. A new written certification is not 

required if an individual service provider returns to the customer facility within 

three years, provided the customer has retained the prior certification. 

Attachment 3 
2 

B. Specific Requirements Pertaining to Fingerprinting and Criminal History 

Records Checks 

1. The Licensee shall fingerprint each service provider to be approved for 

unescorted access to certain radioactive materials following the procedures 

outlined in Enclosure 3 of the transmittal letter. The Licensee shall review and 

use the information received from the 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 “Right to Correct and Complete Information” 

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 § 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’s Free and Secure Trade Program1

) within the last five (5) 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’s activities. 

4. All fingerprints obtained by the Licensee pursuant to this Order must be 

submitted to the Commission for transmission to the FBI. 

5. The Licensee shall review the information received from the FBI and consider it, 

in conjunction with the trustworthiness and reliability requirements of Section A of 

 

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 Reviewing 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. 
3 

this attachment, in making a determination whether to approve and certify the 

individual for 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 certain radioactive materials. 

7. The Licensee shall document the basis for its determination whether to approve 

the individual for unescorted access to certain radioactive materials. 

C. Prohibitions

A Licensee shall not base a final determination to not provide certification for unescorted 

access to certain radioactive material for an individual 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. 

D. 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 

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. 
4 

E. 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 whether to verify the individual for 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’s 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 fingerprints and criminal history records from the FBI, or 

a copy if the individual's file has been transferred: 

 a. for three (3) years after the individual no longer requires unescorted access, or 

 b. for three (3) years after unescorted access to certain radioactive material was 

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.
1 

Implementing Guidance for Service Provider Licensees that are not Manufacturers or 

Distributors 

A. Initial Actions

1. The U.S. Nuclear Regulatory Commission (NRC) issued a Regulatory Issue Summary 

(RIS 2007-15) informing all NRC licensees that are non-manufacturer and distributor 

(non-M&D) service providers, and all Agreement State Radiation Control Program 

 Directors and State Liaison Officers about the non-M&D Service Provider Order. 

2. Each non-M&D service provider licensee should review the RIS and determine if a need 

exists for its service representatives to have unescorted access to radioactive material in 

quantities of concern at client facilities. 

3. If the licensee determines that unescorted access is required the licensee must request, 

in writing, that NRC issue the Order. 

B. NRC Issues Order in Response to the Licensee’s Request

1. After receiving the Order, the licensee selects a candidate Reviewing Official. As part of 

the selection, the licensee must perform a trustworthiness and reliability review per the 

requirements in Attachment 3 of the Order. NOTE: the Reviewing Official MUST BE an 

individual that requires unescorted access to radioactive material in quantities of concern 

as part of his/her job duties. 

2. The licensee designates the Reviewing Official to NRC by submitting the individual’s 

fingerprints and processing fee. 

3. NRC processes the fingerprints through the Federal Bureau of Investigation, and 

reviews the results of the criminal history investigation. If the investigation does not find 

disqualifying information, NRC will authorize the designated individual to serve as the 

licensees Reviewing Official. 

4. The Reviewing Official performs the trustworthiness and reliability reviews for other 

licensee service representatives that require unescorted access to radioactive material 

in quantities of concern. The Reviewing Official must submit the fingerprints of the 

service representatives to NRC and receive the criminal history investigation results. 

The reviews must be performed per the requirements in Attachment 3 of the Order and 

Enclosure 4 of the transmittal letter. Based on the information and investigation results, 

the Reviewing Official determines if the service representative is trustworthy and reliable 

and that the service representative may be granted unescorted access to radioactive 

materials in quantities of concern. 

 

5. The Reviewing Official prepares, on company letterhead, an attestation or certification 

that indicates the service representative (by name) has been determined to be 

trustworthy and reliable in accordance with the NRC security Order for non-M&D Service 

Providers. The Reviewing Official signs and dates this document. 

Enclosure 2 
2 

6. Client licensees may accept the signed and dated document in lieu of conducting their 

own trustworthiness and reliability review of the named service representative. 

C. NRC Actions during Future Inspections

1. During future inspections, both the service provider licensee and the client licensee will 

be audited to assure compliance with the Order requirements and the implementation 

process. 
3 

Questions and Answers with Regards to Fingerprinting and FBI 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? 

The information on how to respond to the NRC Order requiring implementation of the 

fingerprinting requirements is contained in the Order itself. The NRC Orders are not 

considered sensitive information. Examples of previous Orders can be found by 

searching ADAMS or NRC’s website. 

Licensee responses to the Order are considered sensitive information and should be 

marked appropriately at the top of the page with “Security Related Information - 

Withhold Under 10 CFR 2.390.” 

2. Does a National Agency Check (NAC) satisfy the provisions of the Order? 

If the NAC has been conducted within the past five (5) calendar years and the employee 

can provide documentation of favorable results to the NRC or licensee’s Reviewing 

Official, as appropriate, then this would satisfy the provisions of the Order. 

 

3. Can the Human Resources department be designated as the licensee’s Reviewing 

Official 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’s current program of reviewing and approving background information 

of its employees. The duties of a Reviewing Official can be delegated to the Human 

Resources department or any other appropriate department as long as the individual(s) 

involved in the determining of an employee’s trustworthiness and reliability have been 

determined themselves to be trustworthy and reliable by the licensee, are permitted to 

have unescorted access to radioactive material in quantities of concern as part of their 

job duties, and have been approved by the NRC to be the licensee’s Reviewing Official. 

4. What is a Reviewing Official? Who can be a Reviewing Official? 

A Reviewing Official is an NRC-approved individual that requires unescorted access to 

radioactive material in quantities of concern as part of his/her job duties, and who shall 

make the trustworthiness and reliability determinations of other Licensee employees to 

determine whether the individual may have, or continue to have, unescorted access. 
4 

5. I was only provided a few fingerprint cards, where can I get more? 

You can request more fingerprint cards by writing to the Office of Information Services, 

U.S. Nuclear Regulatory Commission, Washington, DC 20555, by calling (301) 492-

3531, or by e-mail to forms@nrc.gov. 

6. 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 

 d. Date 

 e. Signature of official taking the fingerprints 

 f. Employer and address 

 g. Reason for being fingerprinted 

 h. Aliases 

 i. Citizenship 

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 

 o. Height 

 p. Weight 

 q. Eye color 

r. Hair color 

7. 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. 

8. 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 TWB-05B32M 
5 

9. Is there a fee associated with the NRC processing the fingerprints? 

 The current fee to process each fingerprint card is a $26.00 per card. Additional fees 

may be charged by the entity taking the fingerprints. 

10. What method of payment does the NRC accept?

 

NRC’s preferred method of payment is electronic payment through http://www.pay.gov. 

Please refer to the instructions (in Enclosure 3) included with the transmittal letter of 

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 20852-2738 

Attn: Criminal History Program, Mail Stop TWB-05B32M 

11. When are licensees required to submit fingerprints to the NRC? 

 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 90 days after the Order is issued. 

12. 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’s Reviewing 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 Order. 

13. 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 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 datestamped before the deadline to implement the requirements and must include the 

licensee’s justification as to why additional time is needed beyond the implementation 
6 

period and the appropriate compensatory actions that will be implemented until the 

fingerprints are processed. 

 

14. 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. 

15. 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. 

16. Does the denial of unescorted access create legal liability for the licensee? 

 The NRC acknowledges 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. 

 

17. 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’s eighteenth birthday. Guidance on criminal offenses that could be 

considered is included in Enclosure 4 of the transmittal letter. 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’s ultimate business decision as to what criteria it uses for the bases of 

the trustworthiness and reliability determination. 

18. 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 § 73.61, or any person who has been favorablydecided 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 
7 

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’s Free and Secure Trade Program1

 within the last 

five (5) 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’s 

activities. 

19. 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 trustworthiness and reliability determination. 

20. How will compliance with the fingerprinting component be verified? 

Compliance will be verified at the time the licensee’s trustworthiness and reliability 

program is inspected by the NRC. 

21. 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. 

22. 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’s rulemaking process. 

 

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 Reviewing 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. 
8 

23. The Order requires that the licensee shall provide under oath or affirmation a 

certification that the Reviewing Official is deemed trustworthy and reliable. 

What does it mean to submit documents to the NRC “under oath or affirmation”? 

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: 

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. 

24. Can additional employees (e.g., new hires or existing employees changing 

positions within the company who did NOT have unescorted access prior to the 

date of the Order) be granted unescorted access to radioactive materials 

quantities of concern prior to the establishment of a fingerprinting program and 

certification that the Reviewing Official is deemed trustworthy and reliable? 

No. Prior to being granted unescorted access to material, all additional employees the 

licensee identifies after the date of the Order as requiring unescorted access, must be 

determined to be trustworthy and reliable based upon the requirements of the Order 

and the review of their FBI identification and criminal history records. The Order also 

requires that within 180 days of the date of the Order that licensees establish a 

fingerprinting program and within 90 days of the date of the Order provide under oath 

or affirmation a certification that the Reviewing Official is deemed trustworthy and 

reliable by the licensee. 

Only after the Reviewing Official has been certified to be trustworthy and reliable by 

the licensee and approved by the NRC, can the Reviewing Official make 

trustworthiness and reliability determinations for any employee who requires 

unescorted access after the date of the Order. For administrative purposes, each 

submittal of fingerprints to the NRC should be accompanied by the name and address 

of the Reviewing Official to whom the criminal history records should be returned. 

25. Who can perform the task of fingerprinting for my employees? 

Licensees must have their fingerprints taken by an authorized official, such as a 

representative from a local law enforcement agency. However, an authorized official, 

for the purposes of taking fingerprints, could be available through private entities, 

contractors, or an established on-site fingerprinting program. If a licensee has 

fingerprints taken at a facility other than that of a recognized Federal, State, or local 
9 

law enforcement agency, the licensee should ensure that the prints are taken legibly 

and match the identity of the individual named on the fingerprint card. 

In these cases, the individual taking fingerprints should at a minimum: 

 

1) Be trained to take fingerprints (Training to take fingerprints is offered through the 

FBI, or may be available from local law enforcement agencies and some professional 

associations.); 

 

2) Verify the identity of the individual being fingerprinted by checking a governmentissued picture identification (e.g. a passport or driver’s license) and that the name on 

the card matches the government issued identification. 

3) Sign the block on the fingerprint card labeled “SIGNATURE OF OFFICIAL TAKING 

THE FINGERPRINTS.” 

The licensee must ensure that complete and accurate information is provided in 

accordance with 10 CFR 30.9. available at: 

http://www.nrc.gov/reading-rm/doc-collections/cfr/part030/part030-0009.html

26. How is the initial trustworthiness and reliability (T&R) determination and 

certification made (based on fingerprints and a criminal history record check) if 

the individual to be designated as the Reviewing Official is also the license 

custodian, initiator, or applicant, and has unescorted access? 

In most cases, there will be no one within an organization or company, above the 

custodian or initiator of a license (“licensee”), previously determined trustworthy and 

reliable for purposes of evaluating background check and criminal history information 

and making the initial determination as to whether a designated Reviewing Official is 

trustworthy and reliable. 

Within the licensing process, there are a series of screening criteria used by the 

reviewer to assess information regarding the applicant. The purpose of the screening 

criteria is to provide reasonable assurance that radioactive material will be used as 

intended. The fact that a regulatory authority, using established processes, has 

authorized the individual applicant to provide services to devices containing radioactive 

material quantities of concern provides the basis for allowing the applicant to appoint 

Reviewing Officials. 

Where the licensee or applicant requires unescorted access and intends to designate 

himself or herself as the Reviewing Official, the licensee or applicant should submit 

fingerprints to the NRC for approval. Once approved by the NRC, the licensee or 

applicant can then make T&R determinations for other employees who require 

unescorted access subject to the fingerprinting requirements. 
10 

27. When completing the fingerprint cards, NRC Licensees should use their NRC 

docket number in the field “YOUR NO. OCA.” Since Agreement State Licensees 

do not have NRC docket numbers, what should they use to complete the field? 

Agreement State Licensees should use their two letter State abbreviation followed by a 

dash and the Licensee’s license number (e.g. CA-123456). 

28. When making a payment to the NRC through Pay.gov for processing of 

fingerprints, Pay.gov requires a TCN. What is a TCN and what information 

should go in this field? 

TCN stands for “Transaction Control Number” and it identifies payment for the 

processing of fingerprints for any given individual. The TCN is a tool for Licensees to 

track their submissions and may include any number of identifying information that 

would be useful for that purpose. For instance, Licensees can include the names of 

one or more individuals for whom payment is being made, Licensee’s name and/or 

date of submittal. 

29. Can I submit my fingerprints electronically to the NRC? 

Yes. Some Licensees may choose to make arrangement with the NRC to submit 

fingerprints electronically to the NRC. However, for many Licensees this option may 

be prohibitive, due to the cost associated with the purchase of electronic fingerprinting 

equipment. To establish an electronic fingerprinting program with the NRC, please 

contact NRC’s Facility Security Branch at 301-492-3531. Please note that electronic 

submission of fingerprints to the NRC must come directly from the Licensee. 

30. What happens to the fingerprint cards after the NRC receives it from the 

Licensee? 

The NRC scans the fingerprint cards to transmit to the FBI electronically. The cards 

are retained and secured for approximately a month after which time they are 

destroyed in accordance with federal guidelines. 

31. How should large companies that are licensed in multiple jurisdictions respond 

to the fingerprinting requirements? 

The fingerprinting requirements are imposed based on the license, not the company. 

If a company holds multiple licenses subject to the fingerprinting requirements, it must 

respond for each license. For example, if a company holds two NRC licenses, it must 

respond for both licenses. If convenient, the company may submit a combined 

response covering both licenses, but the response must address each of the licenses 

(i.e., “Joe Smith, RSO for both of our licenses, will serve as the Reviewing Official for 

both licenses XX-XXXXX-01 and XX-XXXXX-02.”). 
11 

32. The implementation deadline has passed and I have not completed the 

trustworthiness and reliability adjudication process for certain individuals 

because I have not received classifiable fingerprint/FBI criminal history check 

results. Should I submit a request for relief from the implementation deadline? 

A request for relief from the implementation deadline is not necessary if the initial 

fingerprint submissions for individuals requiring unescorted access to radioactive 

materials in quantities of concern were submitted to the Nuclear Regulatory 

Commission (NRC) by the implementation deadline. For these individuals, the 

trustworthiness and reliability adjudication process should be completed within a 

maximum of 35 days from the date of receipt of classifiable fingerprints and criminal 

history reports. 

33. What are the next steps in the process if the FBI rejects a Form FD-258 

(fingerprint card) because the fingerprints are not classifiable? What options 

are available to licensees if an individual’s fingerprints cannot be classified 

based on conditions other than poor quality after multiple attempts? 

The overwhelming majority of fingerprint cards are returned as classifiable (i.e., can be 

read by the FBI and used to identify the individual). If the initial fingerprint submission 

is returned by the FBI because the fingerprint impressions cannot be classified, the 

fingerprints may be retaken and resubmitted (i.e., new Form-258 or electronic 

submission) for a second attempt. The licensee will not be charged for the 

resubmission if the licensee provides a copy of the FBI response indicating the 

fingerprints could not be classified or the FBI Transaction Control Number (TCN).

If the FBI is unable to classify the second submission of fingerprints, the licensee can 

submit additional fingerprint impressions for the individual, as follows: 

1. The third fingerprint card submission will require payment of an additional $36 

processing fee. 

2. If the third submission is also returned as unclassifiable, the licensee may submit 

a fourth set of fingerprints. An additional fee is not required because the fee for 

the third submission includes one resubmission. As with the second submission, 

the FBI response or TCN should be included, or the submission may be treated 

as a new request and an additional fee may be charged. 

Please note that a licensee can opt to take and submit the third and fourth sets of 

fingerprints together to avoid a potential delay in the response. If the third set is 

returned as unclassifiable, NRC will automatically resubmit the fourth set.

3. If the fourth submission is returned as unclassifiable, the licensee should submit 

six (6) additional fingerprint cards for the individual. All six cards will be 

forwarded to the FBI, who will take what they believe to be the best quality prints 

from each card to make a complete set of fingerprints. An additional $36 

processing fee is required and covers the processing of all six fingerprint cards, 

but does not include an additional resubmission. 
12 

4. If the FBI is unable to obtain classifiable fingerprints from the six cards, based on 

conditions other than poor quality (e.g., medical conditions or physical 

anomalies that prevent the taking of readable prints), then the NRC will 

automatically request a check based on a name search for the individual, and will 

forward the results to the licensee. 

5. No further submissions will be required, and the licensee can consider the results 

of the name search-FBI identification and criminal history records check as a 

component in determining trustworthiness and reliability in accordance with the 

Order. 

The NRC will consider licensee requests for deviation from the above process for good 

cause (e.g., a demonstrated history of difficulty providing classifiable fingerprints 

during other fingerprinting programs or a documented medical condition or physical 

anomaly that can prevent the taking of readable prints). Licensees may submit a 

request for consideration of alternatives, and provide the basis for the need for an 

alternative process to NRC’s Facilities Security Branch in the Division of Facilities and 

Security (requests may be made by phone at 301-492-3531, mailed to the mailing 

address in Enclosure 3 to the Order, by FAX to the attention of Doreen Turner at 301-

492-3448 with a cover sheet attached, or e-mailed to Doreen.turner@nrc.gov). Please 

note that requests for an alternative to the above process will not affect a licensee’s 

responsibility to fingerprint individuals for unescorted access or to comply with the 

trustworthiness and reliability requirements of the Order. 

Licensees should be aware that Steps 3 and 4 do not occur often, and should take 

notice that Step 4 may only occur in instances where the FBI has determined that the 

fingerprints can not be classified based on conditions other than poor quality. Failure 

to provide quality fingerprint impressions may result in the individual not able to be 

considered for unescorted access. 

Fingerprints may be unclassifiable for a number of reasons, including: 

1. Incomplete impressions (fingers not completely rolled from one side of the nail to the 

other). 

2. Left and right hands reversed on the fingerprint card. 

3. The same hand or finger printed twice on the card. 

4. Fingerprints are not clear and distinct (smudged, uneven, too dark or light, etc.). 

5. Fingers on the card are missing or partially missing without an explanation.

To avoid rejection of fingerprints by the FBI as "unclassifiable," the person taking the 

prints should ensure they are of good quality and do not include any of these 

deficiencies, and follow the instructions on the back of the fingerprint card. Also, 

fingerprint cards with incomplete or missing information will be returned to the licensee 

to provide complete information, resulting in a delay in processing. 

The FBI has provided guidance on the taking of fingerprints for submission to the FBI 

at http://www.fbi.gov/hq/cjisd/takingfps.html. This guidance also discusses special 

situations, such as fingerprinting an individual with abnormalities of the fingers, thumbs 

or hands, and the appropriate way to identify such situations on the fingerprint card. A 

checklist to verify that the fingerprint impressions meet the FBI's requirements is also 

included. 
13 

34. Will guidance be provided on what determines trustworthiness and reliability? 

 

 No, however, IC1(b) provides the minimum basis upon which a determination may be 

 made. Alternative sources may be used depending on the information available to the 

 licensee. It is the licensee’s responsibility to make a trustworthiness and reliability 

 determination for an employee granted unescorted access. This is a licensee’s 

 business decision as to what criteria it uses for the bases of the trustworthiness and 

 reliability determination. 

The trustworthy and reliability determination is designed to identify past actions to help 

verify one’s character and reputation which provide reasonable assurance of an 

individual’s future reliability. 

The following are some indicators that licensees may want to consider for what may be 

a trustworthiness and reliability concern: 

1. Impaired performance attributable to psychological or other disorders. 

2. Conduct that warrants referral for criminal investigation or results in arrest or 

conviction. 

3. Indication of deceitful or delinquent behavior. 

4. Attempted or threatened destruction of property or life. 

5. Suicidal tendencies or attempted suicide. 

6. Illegal drug use or the abuse of legal drugs. 

7. Alcohol abuse disorders 

8. Recurring financial irresponsibility. 

9. Irresponsibility performing assigned duties. 

10. Inability to deal with stress, or having the appearance of being under unusual 

stress. 

11. Failure to comply with work directives. 

12. Hostility or aggression toward fellow workers or authority. 

13. Uncontrolled anger, violation of safety or security procedures, or repeated 

absenteeism. 

14. Significant behavioral changes, moodiness or depression. 

These indicators are not meant to be all inclusive or intended to be disqualifying 

factors. Licensees can also consider extenuating or mitigating factors in their 

determinations. 
1

Procedures for Processing Fingerprint Checks

For the purpose of complying with this Order, Licensees should: 

1. Submit one completed, legible standard fingerprint card (Form FD-258, 

ORIMDNRCOOOZ) for each individual seeking unescorted access to certain 

radioactive material to the Director, Division of Facilities and Security. 

2. Include a cover letter with the name and address of the NRC-approved 

Reviewing Official to whom the criminal history records should be 

returned.

3. Mail applications to the following address (overnight mail is preferred): 

 Director, Division of Facilities and Security

 U.S. Nuclear Regulatory Commission 

 11545 Rockville Pike 

 Rockville, MD 20852-2738 

 Attn: Criminal History Program, Mail Stop TWB-05B32M 

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 § 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’s Free and 

Secure Trade Program1

) within the last five (5) 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’s activities. 

Additional copies of Form FD-258 may be obtained by writing the Office of Information 

Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by calling 

(301) 492-3531, or by e-mail to forms@nrc.gov. The Licensee should establish 

 

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 Reviewing 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 3 
2

procedures to 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 an official authorized to take fingerprints, 

such as a representative from a local law enforcement agency or a private entity 

qualified to take fingerprints, because the 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 (e.g., due to poor quality, incomplete impressions, or other errors in the 

taking of the fingerprints). The licensee will not be charged for the one re-submission if 

the licensee provides the FBI Transaction Control Number (TCN) or a copy of the FBI 

response indicating the fingerprints could not be classified. If additional re-submissions 

are necessary, they will be treated as initial submittals and will require an additional 

payment of the processing fee. 

Fees for processing fingerprint checks are due upon application (Note: local law 

enforcement agencies or contractors taking the fingerprints may charge an additional fee 

for this service). Licensees should submit payments electronically via 

http://www.pay.gov. Payments through Pay.gov can be made directly from the 

Licensee’s credit/debit card. Licensees will need to establish a password and user ID 

before they can access Pay.gov. To establish an account, Licensees should send a 

request for an account to paygo@nrc.gov. The request must include the Licensee’s 

name, address, point of contact, e-mail address, and contact phone number. The NRC 

will forward each request to Pay.gov and Pay.gov will contact the Licensee with all of the 

necessary account information. Licensees without a credit or debit card that can be 

linked to Pay.gov can pay the fees by check, cashier check or money order made out to 

the U.S. Nuclear Regulatory Commission and submitted with the fingerprint cards. 

The payment of the fees for processing fingerprints must be made before or with the 

submission of applications to the NRC. Combined payment for multiple applications is 

acceptable. Licensees should include the Pay.gov payment receipt(s), or a check, 

cashier check, or money order for the fee(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) 492-3531. The application fee (currently $26) 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 

applications. The Commission will directly notify Licensees subject to this requirement 

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. 
3

If the FBI advises the fingerprints are unclassifiable based on conditions other than poor 

quality, the Licensee may submit a request to NRC for alternatives. The Commission 

will receive and forward to the submitting Licensee all data from the FBI as a result of 

the Licensee’s application(s) for criminal history records checks, including the FBI 

fingerprint record(s). When the results are received from the FBI, no further fingerprintrelated search is necessary. 
1

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 Attachment 2 of the Order) and devices containing that 

radioactive material. The trustworthiness and reliability (T&R) determination, to grant an 

individual unescorted access to certain radioactive materials, is made by the Licensee’s 

Reviewing Official, based on information gathered from all four elements of the background 

check and evaluated by the Reviewing 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’s 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 #34 (Enclosure 2 to the transmittal letter of this Order). 

In evaluating the relevance of an individual's conduct, the Reviewing 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; 

(8) the potential for pressure, coercion, exploitation, or duress; and 

(9) the likelihood of continuation or recurrence. 

Enclosure 4 
2

Each case must be judged on its own merits, and final determination remains the responsibility 

of the Licensee. In every case, the Reviewing 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 Reviewing 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 Reviewing 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’s 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’s Reviewing Official 

should evaluate that information using the guidance below. 

The Licensee’s Reviewing 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 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 in writing that would disqualify someone from being granted authorized access. 

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. 
3

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 Reviewing Official’s opinion, indicate poor 

judgment, unreliability, or untrustworthiness. 

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 NRCregulated activities. 
 1 Enclosure 5 

Process to Challenge NRC Denials or Revocations of 

Unescorted Access to Certain Radioactive Material 

1. Policy. 

This policy establishes a process for individuals whom NRC licensees nominate as 

Reviewing Officials to challenge and appeal NRC denials or revocations of access to certain 

radioactive material. Any individual designated as a licensee Reviewing Official whom the 

NRC has determined may not have unescorted access to certain radioactive material shall, to 

the extent provided below, be afforded an opportunity to challenge and appeal the NRC’s 

determination. This policy shall not be construed to create a liberty or property interest of 

any kind in the unescorted access of any individual to certain radioactive material. 

2. Applicability. 

This policy applies solely to those employees of licensees who are designated as a 

Reviewing Official, and who are thus to be considered by the NRC for initial or continued 

unescorted access to certain radioactive material in that position. 

3. Unescorted Access Determination Criteria. 

Determinations for granting a designated Reviewing Official unescorted access to certain 

radioactive material will be made by the NRC staff. Unescorted access shall be denied or 

revoked whenever it is determined that an individual does not meet the applicable standards. 

Any doubt about an individual's eligibility for initial or continued unescorted access to certain 

radioactive material shall be resolved in favor of national security and result in denial or 

revocation of unescorted access. 

4. Procedures to Challenge the Contents of Records Obtained from the FBI. 

 

Prior to a determination by the NRC Facilities Security Branch Chief that an individual 

designated as a Reviewing Official is denied or revoked unescorted access to certain 

radioactive material, the individual shall: 

a. Be provided the contents of records obtained from the FBI for the purpose of 

assuring correct and complete information. 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 

record to the Assistant Director, Federal Bureau of Investigation Identification 

Division, Washington, DC 20537-9700 (as set forth in 28 C.F.R. § 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. 

b. Be afforded 10 days to initiate an action challenging the results of an FBI criminal 
 

2 

history records check (described in (a), above) after the record is made available for 

the individual’s review. If such a challenge is initiated, the NRC Facilities Security 

Branch Chief may make a determination based upon the criminal history record only 

upon receipt of the FBI's ultimate confirmation or correction of the record. 

5. Procedures to Provide Additional Information. 

Prior to a determination by the NRC Facilities Security Branch Chief that an individual 

designated as a Reviewing Official is denied or revoked access to certain radioactive 

material, the individual shall be afforded an opportunity to submit information relevant to the 

individual’s trustworthiness and reliability. The NRC Facilities Security Branch Chief shall, in 

writing, notify the individual of this opportunity, and any deadlines for submitting this 

information. The NRC Facilities Security Branch Chief may make a determination of 

unescorted access to certain radioactive material only upon receipt of the additional 

information submitted by the individual, or, if no such information is submitted, when the 

deadline to submit such information has passed. 

6. Procedures to Notify an Individual of the NRC Facilities Security Branch Chief Determination 

 to Deny or Revoke Access to Certain Radioactive Material. 

Upon a determination by the NRC Facilities Security Branch Chief that an individual 

nominated as a reviewing official is denied or revoked access to certain radioactive material, 

the individual shall be provided a written explanation of the basis for this determination. 

7. Procedures to Appeal an NRC Determination to Deny or Revoke Access to Certain 

 Radioactive Material. 

Upon a determination by the NRC Facilities Security Branch Chief that an individual 

nominated as a reviewing official is denied or revoked access to certain radioactive material, 

the individual shall be afforded an opportunity to appeal this determination to the Director, 

Division of Facilities and Security. The determination must be appealed within 20 days of 

receipt of the written notice of the determination by the Facilities Security Branch Chief, and 

may either be in writing or in person. Any appeal made in person shall take place at the 

NRC’s headquarters, and shall be at the individual’s own expense. The determination by the 

Director, Division of Facilities and Security, shall be rendered within 60 days after receipt of 

the appeal. 

8. Procedures to Notify an Individual of the Determination by the Director, Division of Facilities 

 and Security, Upon an Appeal. 

A determination by the Director, Division of Facilities and Security, shall be provided to the 

individual in writing and include an explanation of the basis for this determination. A 

determination by the Director, Division of Facilities and Security, to affirm the Facilities 

Branch Chief’s determination to deny or revoke an individual’s access to certain radioactive 

material is final and not subject to further administrative appeals.