Revised 08/01/2011 

Questions and Answers with Regards to Fingerprinting and Criminal History Records 

Checks 

1. Information on how I would be required to respond to this notice when I receive it 

does not appear to be included with the implementing guidance? Will my 

response include sensitive information? 

For NRC Licensees, the information on how to respond to the NRC Order requiring 

implementation of the fingerprinting requirements is contained in the Order itself. For 

Agreement States Licensee, the information on how to respond will be provided 

separately by each Agreement State licensing organization, based on the method 

chosen to execute legally binding requirements. The NRC Orders are not considered 

sensitive information. Examples of previous Orders can be found by searching ADAMS 

or NRC’s website. 

Licensee responses to the fingerprinting Order is considered sensitive information and 

should be marked appropriately with “Withhold From Public Disclosure Under 10 

CFR 2.390.” 

Agreement State licensee responses to the fingerprinting requirements should be 

marked in accordance with applicable Agreement State authority for withholding of 

sensitive security or proprietary information. 

2. Why is the NRC/Agreement State now requiring fingerprinting and criminal history 

records checks as part of the Increased Controls trustworthiness and reliability 

requirements? 

The requirement for fingerprinting for unescorted access to radioactive materials 

quantities of concern was included in Section 652 of the Energy Policy Act of 2005. The 

NRC has determined that the requirement for fingerprinting should not wait for 

rulemaking and should be issued as Orders or legally binding requirements. 

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

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

can provide documentation of favorable results to the licensee’s T&R Official, then this 

would satisfy the provisions of the Order. 

 

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

Trustworthiness and Reliability (T&R) Officials to review criminal history records? 

Do they have to be fingerprinted to be able to review and approve others? 

The requirements for fingerprinting and criminal history records should be incorporated 

into the licensee’s current program of reviewing and approving background information 

of its employees. The duties of a T&R Official can be delegated to the Human 

Resources department or any other appropriate department as long as the individuals 

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

Enclosure 4 
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determined themselves to be trustworthy and reliable by the licensee. T&R Official shall 

only be fingerprinted if his/her duties require unescorted access to radioactive materials 

quantities of concern.

5. What is a Trustworthiness and Reliability (T&R) Official? Who can be a T&R 

Official? 

A T&R Official is an individual who the licensee determines to be trustworthy and 

reliable, based on the three minimum requirements for background checks of the 

Increased Controls (i.e., employment history, education, and personal references). 

Fingerprinting and criminal history checks are only needed if the T&R Official has, or will 

have, unescorted access to radioactive material quantities of concern. 

6. (REVISED 02-26-08) Can I take my own fingerprints or can someone else at my 

company fingerprint me? 

Superceded by S3 of the Supplemental Questions and Answers - Fingerprinting 

Located at http://www.nrc.gov/security/byproduct/orders.html

7. (REVISED 02-26-08) Can a notary act as a witness when I take my fingerprints? 

Superceded by S3 of the Supplemental Questions and Answers - Fingerprinting 

Located at http://www.nrc.gov/security/byproduct/orders.html

 

8. (REVISED 02-26-08) Where can I have my fingerprints taken? 

Superceded by S3 of the Supplemental Questions and Answers – Fingerprinting 

Located at http://www.nrc.gov/security/byproduct/orders.html

9. (REVISED 08-01-11) I was only provided a few fingerprint cards, where can I get 

more? 

You can request more fingerprint cards (form FD-258) by writing to the Office of 

Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555, by 

calling (301) 492-3531, or by e-mail to forms@nrc.gov.

10. (REVISED 08-01-11) What information do I need to include on the card? 

Incomplete fingerprint cards will not be processed and will be returned to the Licensee. 

Licensees need to include the following information on each card: 

 a. Last name, first name, middle name 

 b. Signature of person being fingerprinted 

 c. Residence of person being fingerprinted (i.e., State) 

 d. Date 

 e. Signature of official taking the fingerprints 

 f. Address of employer taking fingerprints 

 g. Reason for being fingerprinted (e.g., Increased Controls) 

 h. Aliases 

 i. Citizenship 
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 j. Social security number and any of the other corresponding numbers requested on the 

 card if applicable 

 k. Date of birth 

 l. Place of birth 

 m. Sex 

 n. Race (e.g., A – Asian or Pacific Islander, B – Black, I – American Indian or Alaskan 

 Native, U – Unknown, W – White) 

 o. Height 

 p. Weight 

 q. Eye color (BLK – Black, BLU – Blue, BRO – Brown, GRY – Gray, GRN – Green, 

 HAZ – Hazel, MAR – Maroon, MUL – Multicolored, PNK – Pink, XXX - Unknown) 

 r. Hair color (BAL – Bald, BLK – Black, BLN – Blond, BLU – Blue, BRO – Brown, GRY – 

 Gray or Partially, GRN – Green, ONG – Orange, PNK – Pink, PLE - Purple, RED – 

 Red or Auburn, SDY – Sandy, XXX –Unknown, WHI –White) 

 

 NRC Licensees should use their NRC docket number in the field “YOUR NO. OCA.” 

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

 dash and the Licensee’s license number. For new license applications, an Agreement 

 State may not be able to provide a license number prior to license issuance. In this 

 situation, the Agreement State should create a unique identification number for the 

 applicant for the purpose of completing the fingerprinting card (e.g. CA-123456). The 

 number must be unique for each applicant and not repeated once used. 

11. I was able to get more fingerprint cards from my local law enforcement agency, 

can I use those instead? 

 No, because of problems that have been experienced in the past with some of the 

cards. 

12. How can I make sure that my fingerprints are classifiable (readable)? 

There are instructions on the back of each fingerprint card on how to achieve 

classifiable fingerprints. Individuals that submit fingerprint cards that are not 

classifiable will have to submit new cards. 

13. (REVISED 08-01-11) 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 
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14. (REVISED 08-01-11) Is there a fee associated with the NRC/Agreement States 

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. 

15. (REVISED 08-01-11) What method of payment does the NRC accept? 

 NRC’s preferred method of payment is electronic payment through Pay.gov at 

http://www.pay.gov. Please refer to the instructions in the Order for details on how to 

pay electronically. NRC also accepts checks, cashier checks or money orders made 

out to the U.S. Nuclear Regulatory Commission along with the submission of 

fingerprint cards. Fingerprint cards along with checks, cashier checks or money orders 

should be sent to: 

 Director, Division of Facilities and Security 

 U.S. NRC 

 Two White Flint North 

 11545 Rockville Pike 

 Rockville, MD 20852 

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

16. My facility is currently not implementing the Increased Controls requirements 

because it does not possess radioactive materials quantities of concern. Can 

we implement the fingerprinting Order? 

 No. The requirements of Section 149 of the Atomic Energy Act only apply to facilities 

that have radioactive materials in quantities of concern, as identified by the 

Commission. 

17. If I do not have the quantities of material in Table 1, in aggregate or individually, 

do I need to implement the requirements in this Order? 

 No. Implementation is only required if you possess radioactive material quantities of 

concern (i.e., at or above the thresholds of Table 1) individually or in aggregate. You 

may request that your license be amended to lower your possession limits below the 

Table 1 quantity so that requirements are not applicable. If you anticipate that you will 

exceed the Table 1 quantities, in aggregate or individually, you must implement the 

Increased Controls requirements (EA-05-090) and fingerprinting requirements prior to 

actual possession of the material. 

18. When are licensees required to submit fingerprints to the NRC/Agreement 

States? 

 Licensees are required to fingerprint and review the criminal history results for all 

individuals who currently have, or will require, unescorted access to radioactive 

materials quantities of concern to the NRC within 180 days after the Order is issued. 
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19. Will guidance be provided on how to determine trustworthiness and reliability 

based on FBI identification and criminal history records checks? 

 Guidance is included with the Order documents; however, it will ultimately be the 

decision of the licensee’s T&R Official to determine whether an individual should be 

granted unescorted access to the radioactive material, based on the results of the 

criminal records history check, and the other trustworthiness and reliability 

requirements of the Increased Controls. 

20. Can employees continue to have unescorted access until they are approved or 

denied based on the results of their fingerprints? 

During the implementation period (i.e., up to 180 days after the NRC Order is issued) 

employees who have unescorted access at the time the Order is issued may continue 

to have unescorted access in accordance with the requirements of the Increased 

Controls until they are fingerprinted and continued access is approved or denied based 

on the review of their FBI identification and criminal history record. After the expiration 

of the implementation period, no one may have unescorted access until they are 

fingerprinted and receive approval from the T&R Official based upon a review of their 

FBI identification and criminal history record. 

21. My fingerprints have been returned several times as unclassifiable, can I get an 

extension to submit my fingerprints? 

 On a rare case that a licensee needs additional time to implement the fingerprinting 

requirements beyond the 180-day implementation time, the NRC will consider granting 

extensions only on a case by case basis. Licensees must take the appropriate actions 

to minimize any potential impacts in delays from receiving the criminal history results 

from the NRC. In a rare case that an extension is needed, the request must be datestamped before the deadline to implement the requirements and must include the 

licensee’s justification as to why additional time is needed beyond the 180-day 

implementation period and the appropriate compensatory actions that will be 

implemented until the fingerprints are processed. 

22. Our radioactive material is in a room where several people have unescorted 

access, even though they do not work directly with the radioactive material (i.e. 

custodial staff), do they need to be fingerprinted? 

 Yes. Other personnel (both licensee and non-licensee) that have job duties that 

require unescorted access to the room where the materials are used or stored must be 

fingerprinted and determined to be trustworthy and reliable by the T&R Official based 

on the evaluation of the individual’s criminal history record and the other 

trustworthiness and reliability requirements of the Increased Controls. 

23. What does unescorted access to the material mean? 

 Unescorted access to the material means that an individual can exert some physical 

control over the material or device while they are alone. 
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24. If I decide that based on a federal criminal records history check one of my 

employees previously granted unescorted access should not have unescorted 

access to radioactive material what actions can I take? 

 The licensee is ultimately responsible to determine the best course of action. 

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

 The NRC and Agreement States acknowledge that employer liability potentially exists 

through the process for determining trustworthiness and reliability, just as employer 

liability potentially exists throughout the hiring process. A finding that results in 

denying someone employment may be actionable on the part of the 

employee/employee candidate, and this is no different. 

26. At this time our Human Resources department make the trustworthy and 

reliability determination for unescorted access. Since they make this decision, 

do they need to be fingerprinted? 

 Only individuals that have unescorted access to radioactive materials quantities of 

concern are required to be fingerprinted. Therefore, individuals that make trustworthy 

and reliability determinations that do not have unescorted access do not need to be 

fingerprinted. However, they are still required to be determined trustworthy and 

reliable per the requirements in the Increased Control Order (EA-05-090). 

27. How far back do the criminal history record checks go? Can the NRC provide 

guidance on what types of information could be considered when granting 

unescorted access? 

 The criminal history records check provides information on all arrests since the 

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

considered is included with the Order. However, the list of offenses is not inclusive. 

There may be additional offenses not listed in the guidance that the licensee wants to 

consider as part of unescorted access approval process. It is the licensee’s ultimate 

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

reliability determination. 

28. Is there a process to request an exemption from fingerprinting? Do employees 

that have been fingerprinted in the past need to be fingerprinted again? 

 Fingerprints for unescorted access need not be taken if an employed individual (e.g., a 

Licensee employee, contractor, manufacturer, or supplier) is relieved from the 

fingerprinting requirement by 10 CFR § 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 

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 
7

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) calendar years, or any person who has an active federal security clearance 

(provided in the latter two cases that they make available the appropriate 

documentation2

). Written confirmation from the Agency/employer which granted the 

federal security clearance or reviewed the FBI criminal history records results based 

upon a fingerprint identification check must be provided. The Licensee must retain this 

documentation for a period of three (3) years from the date the individual no longer 

requires unescorted access to certain radioactive material associated with the 

Licensee’s activities. 

29. Is fingerprinting meant to replace the trustworthiness and reliability 

determination? 

 No, fingerprinting is only one component of the trustworthiness and reliability 

determination. A trustworthiness and reliability determination should be based, at a 

minimum, by verifying employment history, education personal references and a 

federal criminal history check. All four of these components need to be considered 

when making a T&R determination. 

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

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

program is inspected by the regulatory agency. 

31. Is there financial aid or funding available to assist in the implementation of the 

fingerprinting requirements? Will the licensees be compensated in any way? 

 The NRC will not provide financial aid and there is no funding available to assist in the 

implementation of the fingerprinting requirements. 

32. Will there be a reevaluation period? 

At the moment there is no reevaluation period. The reevaluation of criminal history 

records will be addressed during the NRC’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 T&R Official to verify that the individual has fulfilled the unescorted 

access requirements of Section 149 of the AEA by submitting to fingerprinting and an FBI identification 

and criminal history records check. 
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33. The Order requires that the licensee shall provide under oath or affirmation a 

certification that the T&R Official is deemed trustworthy and reliable. What does 

it mean to submit documents to the NRC “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.