United States Nuclear Regulatory 

Fingerprinting Require

Increased Controls L

Chris Einberg, Senior Projec

Office of Federal and State M

Environmental Management 

Tim Harris, Team Lea

Office of Nuclear Security Incide

February 27, 2008
United States Nuclear Regulatory 

Purpose

• Discuss contents of Order• Discuss fingerprinting process• Important dates• Discuss common questions and a
United States Nuclear Regulatory 

Fingerprinting Order (EA

Issued December 5, 

• Issued to NRC licensees authorized to p

radioactive material quantities of concer

– 991 Orders were issued– Of these approximately 350 are imp

Increased Controls (IC)

– On December 6, 2007 an administra

was issued to correct the date on sig

• Licensees implementing IC are required 

fingerprinting Order

• Agreement States will be issuing similar 

June 5, 2008
United States Nuclear Regulatory 

Increased Controls 

• Issued late 2005, FRN 72128• Trustworthy and Reliability (T&R) 

required for unescorted access to material quantities of concern

• Based on verification of:

– Employment– Education– Personal references

• Fingerprinting Order requires FBI 

record check results must also be 
United States Nuclear Regulatory 

Why now? 

• Implementation of Fingerprinting 

in Section 652 of EPAct

• Staff Requirements Memorandum

07-0011, dated March 12, 2007 iNRC staff to:

– Engage the Agreement States 

plan to require fingerprinting o
United States Nuclear Regulatory 

How was the Order dev

• Established a Joint NRC/Agreeme

Group 

• Purpose is:

– to modify IC requirements to in

fingerprinting and criminal histo

– to address issues associated w

implementation of the fingerprirequirements for unescorted acimplementing the IC, and 

– issue fingerprinting requiremen

licensees
United States Nuclear Regulatory 

Increased Controls Finge

Working Group (ICF

• Co-Chaired between NRC and Organization of A

(OAS)

– Chris Einberg replaced Tim Harris, NRC, Offic

State Materials and Environmental Manageme

– Alice Rogers (TX), Representing OAS

• NRC Representatives

– Frederick Sturz, Office of Nuclear Security Inc– Tison Campbell, Office of the General Counse– Andrew Pretzello, Office of Administration– Deborah Piskura, Region III Office– Robert Brown, Region IV Office

• Agreement State Representatives

– Jared Thompson (AR) – CRCPD– Julia Schmitt (NE) – OAS
United States Nuclear Regulatory 

What’s the proces

• NRC and Agreement States issue Orde

requirements, respectively to licensees to possess radioactive material quantitieimplementing the increased controls

• Licensees that do not possess Table I q

inform the NRC that they are not require

• Licensees collect fingerprints through lo

enforcement agencies, private entities, site fingerprinting program for individualunescorted access to radioactive mater
United States Nuclear Regulatory 

Process (continu

• Fingerprints are submitted directl

for processing by the FBI 

• The resulting criminal history reco

returned to the licensee by the Nevaluation

• The licensee’s T&R official determ

to grant, or continue to grant, uneto material based on review of thFBI criminal history check and in with the T&R information gathereimplementation of the increased requirements
United States Nuclear Regulatory 

Increased Controls Fingerprinting Process 

NRC and AS

issue Orders and

license conditions

START

Licensee responds

within 60 days of

issuance, if not

implementing; 90 days

if implementing 

(T&R Official)

Implement

Not implement

Licensee submits

fingerprint cards to

FBI through NRC

Is the in

on the ca

and payme

incl

NRC contacts licensee

and return cards if

necessary

Regulatory agency verifies

applicability at next

safety inspection

Employee is

granted 

unescorted

access

No

unescorted

access

Approved

Denied

Any hits 

FBI T

Screening 

Licensee notifies

regulatory agency

Yes

No

Licensee makes

determination for

unescorted access
United States Nuclear Regulatory 

Organization of Fingerprin

• Cover Letter• Enclosure 1: Order Imposing Fin

Criminal History Check RequiremUnescorted Access to Certain RMaterial– Att. 1 – List of Applicable Ma– Att. 2 – Radionuclides of Con– Att. 3 – Specific Requiremen

Fingerprinting and Criminal HChecks
United States Nuclear Regulatory 

Organization of Fingerprin

(cont.)

• Enclosure 2 – Procedures for Pro

Fingerprinting Checks

• Enclosure 3 – Guidance for Evalu

Identification and Criminal History Allowing Unescorted Access to CRadioactive Material

• Enclosure 4 – Questions and Ans

Regards to Fingerprinting and CrRecords Checks
United States Nuclear Regulatory 

Important Dates for NRC L

• January 4, 2008 – 30 days

– Request for hearing

• February 3, 2008 – 60 days

– Notify NRC if compliance with order is u

to comply 

• March 4, 2008 – 90 days

– Establish and maintain a fingerprinting p– Certification to NRC that Trustworthines

Official is deemed trustworthy and reliab

• June 2, 2008 – 180 days

– Complete implementation of all requirem– Must notify NRC within 25 days after full 

achieved
United States Nuclear Regulatory 

Enclosure 1 – The O

• Licensees have 60 days to notify the NR

unable to comply with the requirements compliance is unnecessary (reqt. A3)

• Licensees have 90 days to establish an

fingerprinting program (reqt. A1)

• Licensees have 90 days to fingerprint a

Trustworthiness and Reliability (T&R) Ounescorted access to material (reqt. A2

– T&R Official is the individual who wi

T&R determinations for individuals wunescorted access

• Licensees have until June 2, 2008 to co

implementation of the program and 25 dreaching full compliance (reqt. A4)
United States Nuclear Regulatory 

Enclosure 1 – The O

• Licensees are required to notify the NRC

Operations Office within 24 hours if resuindividual is on the FBI’s terrorist screen(reqt. A5)

• Licensees may allow any individual who 

access at the time the Order was issued 5, 2007) to continue to have unescorted material pending a decision by the T&R 

– After June 2, 2008, no-one will be al

access without a T&R determination considered FBI criminal history resu
United States Nuclear Regulatory 

Attachments 1 & 2 to Enc

(Order)

• Att. 1: List of Licensees (Redacte

from public disclosure)

• Att. 2: Radionuclides of Concern

– Includes RA-226– Footnote 5, Reflects new NRC 
United States Nuclear Regulatory 

Attachment 2 to Enclosure 

continued

Radionuclide Quantity of Concern1 (TBq) Qua

Am-241 0.6 

Am-241/Be 0.6 

Cf-252 0.2 

Cm-244 0.5 

Co-60 0.3 

Cs-137 1 

Gd-153 10 

Ir-192 0.8 

Pm-147 400 

Pu-238 0.6 

Pu-239/Be 0.6 

Ra-2265 0.4 

Se-75

2 

Sr-90 (Y-90) 10 

Tm-170 200 

Yb-169

3 

Combinations of 

radioactive materials listed above3

See Footnote Below4
United States Nuclear Regulatory 

Attachment 3 to Enclosure 

• Specific Requirements Pertaining 

Fingerprinting and Criminal HistoChecks

– All individuals seeking unesco

must be fingerprinted

– If previously favorably decided 

government program that requfingerprinting check within the new fingerprints do not need tunescorted access. (e.g., TranWorker Identification Credenti
United States Nuclear Regulatory 

Attachment 3 to Enclosure 

continued

• All fingerprints are submitted to N

submission to FBI

• Results are returned to NRC who 

licensee’s T&R official

• Licensees review results in conju

other 3 components of making a determination 

– Verification of employment, ed

personal references.
United States Nuclear Regulatory 

Enclosure 2 – Procedu

Processing Fingerpr

• Payments must be through pay.g• Submit one legible fingerprint car

258)

– Only available from NRC– Local law enforcement can tak

• Include the name and address of 

official to whom the results shoul

– Must include a copy of the oat

affirmation of the T&R Official submittal of the cards

• Can resubmit once for free
United States Nuclear Regulatory 

Enclosure 3 – Guidance for EvaluatiIdentification and Criminal History R• Attachment 3 of Enclosure 1 states:

– “The Licensee shall review the inform

from the FBI and consider it, in conjutrustworthiness and reliability requireOrder (EA-05-090), in making a deteto grant unescorted access to certaimaterials.”

– “The Licensee shall document the b

determination whether to grant, or cunescorted access to radioactive magreater than quantities listed in attac
United States Nuclear Regulatory 

Enclosure 3 – Guidance 

• Each Licensee is responsible for 

whether to grant unescorted acce

• Licensees should establish criter

disqualify someone from being grauthorized access.

• The guidance is provided to assis

in evaluating the results of FBI crrecords check results as a compoT&R determination.
United States Nuclear Regulatory 

Enclosure 3 – Guidance 

• The guidance provides minimum 

the licensee should consider whethe results. 

• Each T&R determination for unes

must be documented to include tdecision made.
United States Nuclear Regulatory 

Enclosure 4 – Q’s an

• Provides answers to some freque

questions.

• Additionally, new Questions and 

posted to our website at:

• http://www.nrc.gov/security/bypro

ml#fingerprinting
United States Nuclear Regulatory 

Answers to Common Q
United States Nuclear Regulatory 

Q: If I do not have the quantities of mateaggregate or individually, do I need to imrequirements in this Order? What shou• If you are authorized to possess, but do 

possess the quantities listed in Table 1, to implement the requirements of the Or

• However, you must notify the NRC with

February 3, 2008) that compliance with unnecessary.

• Signed responses can be faxed to 301-

signed .pdf can be e-mailed to ICfingerp

• Mail responses can be sent to: US NRC

North, 11545 Rockville Pike, Rockville, Attn: Christian Einberg, MS T8E24
United States Nuclear Regulatory 

Q: If I do not have the quantities of mate

aggregate or individually, do I need to 

requirements in this Order? What sho

• The following sample statement can be used

– "This letter is in response to your December 

Imposing Fingerprinting and Criminal History Requirements for Unescorted Access to CertMaterial" (EA-07-305). In accordance with seOrder, [enter Licensee name, license numbethe radioactive materials currently included in meet or exceed (either aggregated or collocaconcern thresholds listed on Table 1 of the Inrequirements, therefore, compliance with the requirements of Order EA-07-305 is unneces

is understood that compliance with Order EAfor individuals requiring unescorted access to concern (either aggregated or collocated), at limits of Table 1.“

• Licensees may choose to amend their licens

possession limits if they are not possessing 
United States Nuclear Regulatory 

Q: I am currently implementing the Incre(i.e., I have quantities of material above threshold). How do I certify to the NRC tOfficial is determined to be trustworthy 

• There are two types of T&R Officials

1. T&R Officials who do not require 

access to material (e.g., human 

and 

2. T&R Officials who require unesc

material (e.g., radiation safety o

• Certifications of trustworthiness and 

T&R Official must be made to the Nand affirmation within 90 days of the Order (i.e. March 4, 2008)
United States Nuclear Regulatory 

T&R Official Certification (

• T&R Officials who do not require u

access, must be determined to be tr

reliable by the Licensee in accordanrequirements of IC1 of the Increased (EA-05-090), i.e. verification of: em

education, and personal referenc

• For T&R Officials who require une

to material, the Licensee must also cresults of FBI fingerprinting and crimrecords checks in addition to verificaemployment, education and persona
United States Nuclear Regulatory 

T&R Official Certification 

• If the T&R Official is determined to be tr

reliable by the Licensee, the requiremendocuments under oath or affirmation ma

a notary public to authenticate oaths or certify that the information is correct.

• Alternatively, the following unsworn dec

may be used, but must be verbatim:

“ I declare [or certify, verify, state] unde

that the foregoing is true and correc

Executed on [date] [Sign

• Note: A copy of the T&R certification mu

with all fingerprint submittals to the NRC
United States Nuclear Regulatory 

Q: How do I submit fingerprints for tT&R Official who requires unescorteWho approves the T&R Official?• Step 1: Submit one completed, legible stand

individual nominated to be T&R Official.

• Step 2: Submit to NRC’s Division of Facilitie• Step 3: Include the name and address of the 

the nominated T&R Official’s criminal history returned for review. 

– Results should be reviewed by someone 

nominated T&R Official and should be thbe submitting certification under oath an

– Preferably the same person who initially 

Official for the original Increased Contromay be the custodian or initiator of the li

• Step 4: NRC will forward the results of the F

records check to the person identified in Ste
United States Nuclear Regulatory 

Do I need to be fingerprinted if I hactive federal security clearance?

• No. 10 CFR 73.61 relieves persons from 

requirements if they have been favorablyGovernment program involving fingerprinidentification and criminal history records last 5 calendar years

• Some examples are: National Agency C

Transportation Worker Identification Creexplosives background check, etc.

• Written confirmation from the Agency/em

granted the clearance or reviewed the Frecord results must be provided.

• See paragraph 3 of Attachment 3 for req

Question 3. 
United States Nuclear Regulatory 

Q: How far back do the FBI criminrecords checks go?• The FBI criminal history records c

information on all arrests since theighteenth birthday.
United States Nuclear Regulatory 

Who can take my finge

• Licenses may use law enforcement age

entities, contractors, or establish an on-program for the purpose of taking finger

• The individual taking fingerprints should 

– Be trained to take fingerprints – Verify the identity of the individual be

by checking a government-issued pi(e.g. a passport or driver’s license) 

– Sign the block on the fingerprint card 

“Signature of Official Taking the Fing
United States Nuclear Regulatory 

Can I submit my fingerprints ele

• Yes. Some larger Licensees may 

establish an electronic fingerprintwith the NRC. For most licenseecost prohibitive.

• To establish an electronic fingerp

with the NRC, please contact NRSecurity Branch, Division of FacilSecurity at 301-415-6511.
United States Nuclear Regulatory 

Do blood irradiators con

specified quantitie

• Yes. Blood irradiators typically e

Category 2 threshold quantities.

What’s the Cost?

• NRC currently charges $36 per p

process and submit fingerprints to 

• Additional fees could be charged 

enforcement and/or private compauthorized to do fingerprinting
United States Nuclear Regulatory 

How do I make payment for fing

• Payments for fingerprinting should be s

http://www.pay.gov

• Licensees must establish a password a

accessing http://www.pay.gov.

• To establish an account, Licensee requ

mailed to paygo@nrc.gov.

• Requests must include the Licensee’s n

of contact, e-mail address and phone nu

• Licensees who can not make payment t

NRC will accept checks, cashier checks 
United States Nuclear Regulatory 

How do I make payment for fin

(continued)

• NRC will forward each request to 

someone from Pay.gov will contacLicensee with all the necessary acinformation.

• Licensees shall make payment fo

before submitting applications to t

• Pay.gov payment receipt(s) shoul

all application(s). 
United States Nuclear Regulatory 

How long does it take to 

fingerprints?

• The NRC administrative process is a few 

FBI turns around the results within 24-4

Is there a “grandfather” clause 

employees?

• Employees who currently are already de

trustworthy and reliable under the IC Orto have unescorted access during the 1implementation period. 
United States Nuclear Regulatory 

Can additional employees be granted unprior to certification that T&R Official is trustworthy and reliable?• No. • The Order requires that within 90 days t

establish a fingerprinting program and por affirmation a certification that the T&R deemed trustworthy and reliable by the 

• Only after the T&R Official has been ce

trustworthy and reliable, can the T&R Otrustworthiness and reliability determinaemployee who requires unescorted accof the Order 
United States Nuclear Regulatory 

Are “interim” clearances 

• No. All new employees requiring unesc

be fingerprinted as part of the trustworthdetermination process before being autunescorted access by the T&R Official.

What is the process to have the 

modified? 

• The Director of the Office of Federal and 

Environmental Management Programs, or rescind any of the requirements upon good cause by the licensee.
United States Nuclear Regulatory 

Important Contact Informa

Questions/Responses on Order:• Phone: Fingerprinting for Increased Controls 

3340

• E-mail: ICfingerprint@nrc.gov• Fax: 301-415-5955Questions regarding electronic payments:• Phone: 301-415-7404For additional fingerprint cards (Form FD-258): • 301-415-5877• E-mail: forms@nrc.govNRC Website for Q’s and A’s:• http://www.nrc.gov/security/byproduct/orders
United States Nuclear Regulatory 

Addresses

• Fingerprint card submittals:

Director, Division of Facilities and SecurityUS NRCTwo White Flint North11545 Rockville PikeRockville, MD 20852-2738Attn: Criminal History Program, Mail Stop T

• Responses:

Director, Office of Federal and State Mater

Environmental Management Programs

US NRCTwo White Flint North11545 Rockville Pike RockvilleRockville, MD 20852-2738Attn: Christian Einberg, Mail Stop T8E24
United States Nuclear Regulatory 

Important Dates for NRC 

• January 4, 2008 – 30 days

– Request for hearing

• February 3, 2008 – 60 days

– Notify NRC if compliance with order is u

to comply 

• March 4, 2008 – 90 days

– Establish and maintain a fingerprinting p– Certification to NRC that Trustworthines

Official is deemed trustworthy and reliab

• June 2, 2008 – 180 days

– Complete implementation of all requirem– Must notify NRC within 25 days after full 

achieved
United States Nuclear Regulatory 

Questions?