December 5, 2007 

EA-07-305 

Holders of Material Licenses Authorized 

To Possess Radioactive Material Quantities of Concern 

As listed in Attachment 1 to Enclosure 1 

SUBJECT: ISSUANCE OF ORDER IMPOSING FINGERPRINTING AND CRIMINAL 

HISTORY RECORDS CHECK REQUIREMENTS FOR UNESCORTED ACCESS 

TO CERTAIN RADIOACTIVE MATERIAL 

You have previously received an Order (or applicable license condition) from the U.S. Nuclear 

Regulatory Commission (NRC or Commission) requiring that you implement increased controls 

(IC) with respect to the possession of radioactive material quantities of concern. As part of the 

IC Order, you were required to determine that each person who requires access to radioactive 

material quantities of concern to perform their job duties is sufficiently trustworthy and reliable. 

The IC Order includes direction and guidance on the specific factors which must be considered 

when making that determination. 

Section 652 of the Energy Policy Act of 2005 (EPAct), enacted on August 8, 2005, amended the 

fingerprinting requirements of the Atomic Energy Act (AEA). Specifically, the EPAct amended 

Section 149 of the AEA to require fingerprinting and a Federal Bureau of Investigation (FBI) 

identification and criminal history records check for “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.” Thus, the 

NRC is issuing the enclosed Order (Enclosure 1, with attachments) to expeditiously implement, 

in part, these additional requirements as enhancements to the existing trustworthiness and 

reliability requirements of the IC Order. 

This Order does not obviate the need for Licensees to continue to meet the requirements of the 

IC Order, and to maintain the effectiveness of security measures taken in response to the 

events of September 11, 2001. In addition, the enclosed Order modifies sections 1.b., 1.c., and 

“Table 1: Radionuclides of Concern” of the IC Order to reflect recent NRC policies and 

regulations. 

Licensees have 180 days from the date of this Order to submit fingerprints and complete their 

review of the FBI criminal history records for all individuals currently authorized unescorted 

access under the IC Order.

Licensees are required to submit fingerprints in accordance with this Order. The current 

processing fee is $36.00 per submission and payment must be made electronically through 

http://www.pay.gov. Details regarding fingerprint submittals and payment of fees are found in 

Enclosure 2 to this letter. Also enclosed is the guidance for evaluating FBI identification and 

criminal history records checks for allowing unescorted access to certain radioactive material 

(Enclosure 3) to aid Licensees in their review of criminal history records. 
 2

The enclosed Order requires that all Licensees respond to this Order within ninety (90) days of 

the date of its issuance, and provide under oath or affirmation, a certification that the 

Trustworthiness and Reliability (T&R) Official (an individual with the responsibility to determine 

the trustworthiness and reliability of another individual requiring unescorted access to 

radioactive materials quantities of concern) is deemed trustworthy and reliable by the Licensee. 

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

the Director, Office of Federal and State Materials and Environmental Management Programs, 

and should be addressed to the attention of Christian Einberg. Responses to the Order are 

acceptable electronically, by fax, or mail. Electronic submissions must be signed and sent as 

an attachment in “.pdf” format and should be sent to ICfigerprint@nrc.gov. Signed faxes should 

be sent to (301) 415-5955. For normal postal delivery, mail to: 

Director, Office of Federal and State Materials and Environmental Management 

Programs 

U.S. NRC 

Washington, D.C., 20555-0001 

ATTN: Christian Einberg, Mail Stop T8E24 

For delivery services requiring a street address, mail to: 

Director, Office of Federal and State Materials and Environmental Management 

Programs 

U.S. NRC 

Two White Flint North 

11545 Rockville Pike 

Rockville, MD 20852-2738 

ATTN: Christian Einberg, Mail Stop T8E24 

Licensee fingerprint cards are required to be submitted to the Director, Division of Facilities and 

Security, and should be addressed to the attention of the Criminal History Program, Mail Stop T6E46. The following mailing address should be used: 

Director, Division of Facilities and Security 

U.S. NRC 

Two White Flint North 

11545 Rockville Pike 

Rockville, MD 20852-2738 

ATTN: Criminal History Program, Mail Stop T-6E46
 3

Please include the docket number listed in Attachment 1 to the enclosed Order in all your 

correspondence with NRC. In addition, Licensee responses shall be marked as "SecurityRelated Information - Withhold Under 10 CFR 2.390." 

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

the enclosed Order, please refer to the list of questions and answers of Enclosure 4, or call 

Fingerprinting for Increased Controls Support at (301) 415-3340. You may also send questions 

to ICfingerprint@nrc.gov. 

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

Sincerely, 

 /RA/ 

 

Charles L. Miller, Director 

Office of Federal and State Materials 

 and Environmental Management Programs 

Enclosures: 

1. Order Imposing Fingerprinting and 

 Criminal History Records Check 

 Requirements for Unescorted Access 

 to Certain Radioactive Material 

2. Procedures for Processing Fingerprint 

 Checks 

3. Guidance for Evaluating FBI Identification 

 and Criminal History Records Check 

 for Allowing Unescorted Access to 

 Certain Radioactive Material 

4. Questions and Answers with Regards 

 to Fingerprinting and Criminal History 

 Records Checks 
UNITED STATES 

NUCLEAR REGULATORY COMMISSION 

In the Matter of ) 

 ) 

LICENSEES AUTHORIZED TO ) EA-07-305 

POSSESS RADIOACTIVE MATERIAL ) 

QUANTITIES OF CONCERN ) 

 

ORDER IMPOSING FINGERPRINTING AND CRIMINAL HISTORY 

RECORDS CHECK REQUIREMENTS FOR UNESCORTED 

ACCESS TO CERTAIN RADIOACTIVE MATERIAL 

(EFFECTIVE IMMEDIATELY) 

I 

The Licensees identified in Attachment 11

 to this Order hold licenses issued in accordance with 

the Atomic Energy Act (AEA) of 1954, as amended, by the U.S. Nuclear Regulatory 

Commission (NRC or Commission), authorizing them to possess items containing radioactive 

materials in quantities of concern. These materials and the quantities of concern are identified 

in Attachment 2 to this Order. Section 652 of the Energy Policy Act of 2005 (EPAct), which 

became law on August 8, 2005, amended Section 149 of the AEA to require fingerprinting and a 

Federal Bureau of Investigation (FBI) identification and criminal history records check for “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.” NRC has decided to 

implement this requirement, prior to the completion of a future rulemaking, which will implement 

these provisions of the EPAct, because a deliberate malevolent act by an individual with 

unescorted access to these radioactive materials has the potential to result in significant 

 

1

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

Enclosure 1 
2

adverse impacts to the public health and safety. Individuals or classes of individual listed in 10 

C.F.R. § 73.61 (72 Fed. Reg. 4945 (February 2, 2007)) are relieved from the fingerprinting and 

FBI identification and criminal history records check requirements of Section 149. Individuals 

listed in Attachment 3, Paragraph 3 have already satisfied the requirements of Section 149 of 

the AEA and therefore do not need to take additional action. Therefore, as set forth in this 

Order and in accordance with Section 149 of the AEA, as amended by the EPAct, the 

Commission is imposing additional requirements for unescorted access to certain radioactive 

material.

 II 

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

Increased Controls (IC) Orders (EA-05-090)2

 to certain Licensees (IC Licensees, Licensees) 

who are authorized to possess radioactive material in quantities of concern. These Orders 

increased the Licensees’ control over their sources in order to prevent unintended radiation 

exposure and malicious acts. One specific requirement imposed by the IC Orders required 

Licensees to conduct background checks to determine the trustworthiness and reliability of 

individuals needing unescorted access to radioactive materials. “Access” to these radioactive 

materials means that an individual could exercise some physical control over the material or 

devices containing the material. Prior to the enactment of the EPAct, the NRC did not have the 

authority, except in the case of power reactor Licensees, to require Licensees to submit 

fingerprints for FBI identification and criminal history records checks of individuals being 

considered for unescorted access to radioactive materials subject to NRC regulations. The 

Commission has determined that radioactive materials possessed by IC Licensees are 

considered of such significance to the public health and safety as to warrant fingerprinting and 

 

2

 Subsequently, the IC Order requirements were imposed through license condition on new or amended 

NRC licenses authorizing the possession of radioactive materials in quantities of concern as identified in 

Attachment 2 to this Order. 
3

FBI identification and criminal history records checks for such persons. Therefore, in 

accordance with Section 149 of the AEA, as amended by the EPAct, the Commission is 

imposing the fingerprinting and FBI identification and criminal history records check 

requirements, as set forth in this Order, including those requirements identified in Attachment 3 

to this Order on all IC Licensees identified in Attachment 1 to this Order, which are currently 

authorized to possess radioactive materials in quantities of concern. These requirements will 

remain in effect until the Commission determines otherwise. 

In addition, pursuant to 10 CFR 2.202, because of the potentially significant adverse 

impacts associated with a deliberate malevolent act by an individual with unescorted access to 

radioactive materials quantities of concern, I find that the public health and safety require that 

this Order be effective immediately. 

III 

Accordingly, pursuant to Sections 81, 149, 161b, 161i, 161o, 182, and 186 of the Atomic 

Energy Act of 1954, as amended, and the Commission's regulations in 10 CFR 2.202, 10 CFR 

Parts 30 and 33, IT IS HEREBY ORDERED, EFFECTIVE IMMEDIATELY, THAT ALL 

LICENSEES IDENTIFIED IN ATTACHMENT 1 TO THIS ORDER SHALL COMPLY WITH THE 

REQUIREMENTS OF THIS ORDER AS FOLLOWS: 

A. 

1. The Licensee shall, within ninety (90) days of the date of this Order, establish and 

maintain a fingerprinting program that meets the requirements of Attachment 3 of 

this Order for individuals that require unescorted access to certain radioactive 

materials. 

2. Within ninety (90) days of the date of this Order, the Licensee shall provide under 

oath or affirmation, a certification that the Trustworthiness and Reliability (T&R) 
4

Official (an individual with the responsibility to determine the trustworthiness and 

reliability of another individual requiring unescorted access to the radioactive 

materials identified in Attachment 2) is deemed trustworthy and reliable by the 

Licensee as required in paragraph B.2 of this Order. 

3. The Licensee shall, in writing, within sixty (60) days of the date of this Order, notify 

the Commission, (1) if it is unable to comply with any of the requirements described 

in this Order or in Attachment 3 to this Order, (2) if compliance with any of the 

requirements is unnecessary in its specific circumstances, or (3) if implementation of 

any of the requirements would cause the Licensee to be in violation of the provisions 

of any Commission regulation or its license. The notification shall provide the 

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

4. The Licensee shall complete implementation of the program established in 

accordance with paragraph A.1 of this Order by June 2, 2008. In addition to the 

notifications in paragraphs 2 and 3 above, the Licensee shall notify the Commission 

within twenty-five (25) days after they have achieved full compliance with the 

requirements described in Attachment 3 to this Order. If by June 2, 2008, the 

Licensee is unable, due to circumstances beyond its control, to complete 

implementation of this Order, the Licensee shall submit a written request to the 

Commission explaining the need for an extension of time to implement the 

requirements. The request shall provide the Licensee’s justification for seeking more 

time to comply with the requirements of this Order. 

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 
5

check indicate that an individual is identified on the FBI’s Terrorist Screening Data 

Base. 

B. 

1. Except as provided in paragraph E for individuals who are currently approved for 

unescorted access, the Licensee shall grant access to radioactive material in 

Attachment 2 in accordance with the requirements of IC.1. of the Increased Controls 

Order (EA-05-090) and the requirements of this Order. 

2. The T&R Official, if he/she does not require unescorted access, must be deemed 

trustworthy and reliable by the Licensee in accordance with the requirements of 

IC.1. of the Increased Controls Order (EA-05-090) before making a determination 

regarding the trustworthiness and reliability of another individual. If the T&R 

Official requires unescorted access, the Licensee must consider the results of 

fingerprinting and the review of an FBI identification and criminal history records 

check as a component in approving a T&R Official. 

C. Prior to requesting fingerprints from any individual, the Licensee shall provide a copy of 

this Order to that person. 

D. Upon receipt of the results of FBI identification and criminal history records checks, the 

Licensee shall control such information as specified in the “Protection of Information” 

section of Attachment 3 of this Order and in requirement IC.5 of the Increased Controls 

Order (EA-05-090). 
6

E. The Licensee shall make determinations on continued unescorted access for persons 

currently granted unescorted access, by June 2, 2008, based upon the results of the 

fingerprinting and FBI identification and criminal history records check. The Licensee 

may allow any individual who currently has unescorted access to certain radioactive 

materials in accordance with the IC Order to continue to have unescorted access, 

pending a decision by the T&R Official. After June 2, 2008 no individual may have 

unescorted access to radioactive materials without a determination by the T&R Official 

(based upon fingerprinting, an FBI identification and criminal history records check and a 

previous trustworthiness and reliability determination) that the individual may have 

unescorted access to such materials.

F. 1. The Licensee shall comply with; and to the extent the recipient of this Order is also the 

recipient of the Increased Controls Order (EA-05-090), paragraph IC 1.b is superceded 

by the following:

 “For individuals employed by the licensee for three years or less, and for nonlicensee personnel, such as physicians, physicists, house-keeping personnel, and 

security personnel under contract, trustworthiness and reliability shall be determined, at 

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

fingerprinting and the review of an FBI identification and criminal history records check. 

The licensee shall also, to the extent possible, obtain independent information to 

corroborate that provided by the employee (i.e. seeking references not supplied by the 

individual). For individuals employed by the licensee for longer than three years, 

trustworthiness and reliability shall be determined, at a minimum, by a review of the 

employees’ employment history with the licensee and fingerprinting and an FBI 

identification and criminal history records check. 

 
7

2. The Licensee shall comply with; and to the extent the recipient of this Order is also 

the recipient of Increased Controls Order (EA-05-090), Paragraph IC 1.c of that prior 

Order is superceded by, the following: 

 “Service provider licensee employees shall be escorted unless determined to be 

trustworthy and reliable by an NRC-required background investigation. Written 

verification attesting to or certifying the person’s trustworthiness and reliability shall be 

obtained from the licensee providing the service.” 

3. For Licensees who have previously received the Increased Controls Order (EA-05-

090), "Table 1: Radionuclides of Concern" is superceded by Attachment 2 to include 

Ra-226. The previous Increased Controls Order (EA-05-090) will, therefore, also apply 

to Ra-226 as noted in Attachment 2. 

 Licensee responses to A.1, A.2., A.3. and A.4., above shall be submitted to the Director, 

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

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

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

 The Director, Office of Federal and State Materials and Environmental Management 

Programs, may, in writing, relax or rescind any of the above conditions upon demonstration of 

good cause by the Licensee. 

IV 

 In accordance with 10 CFR 2.202, the Licensee must, and any other person adversely 

affected by this Order may, submit an answer to this Order within thirty (30) days of the date of 

this Order. In addition, the Licensee and any other person adversely affected by this Order may 

request a hearing of this Order within thirty (30) days of the date of the Order. Where good 
8

cause is shown, consideration will be given to extending the time to request a hearing. A 

request for extension of time must be made, in writing, to the Director, Office of Federal and 

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

Commission, Washington, DC 20555, and include a statement of good cause for the extension. 

 The answer may consent to this Order. If the answer includes a request for a hearing, it 

shall, under oath or affirmation, specifically set forth the matters of fact and law on which the 

Licensee relies and the reasons as to why the Order should not have been issued. If a person 

other than the Licensee requests a hearing, that person shall set forth with particularity the 

manner in which his interest is adversely affected by this Order and shall address the criteria set 

forth in 10 CFR 2.309(d). 

 A request for a hearing must be filed in accordance with the NRC E-Filing rule, which 

became effective on October 15, 2007. The E-Filing Final Rule was issued on August 28, 2007, 

(72 Fed. Reg. 49,139). The E-Filing process requires participants to submit and serve 

documents over the internet or, in some cases, to mail copies on electronic optical storage 

media. Participants may not submit paper copies of their filings unless they seek a waiver in 

accordance with the procedures described below. 

 To comply with the procedural requirements associated with E-Filing, at least five (5) 

days prior to the filing deadline the requestor must contact the Office of the Secretary by e-mail 

at HEARINGDOCKET@NRC.GOV, or by calling (301) 415-1677, to request (1) a digital ID 

certificate, which allows the participant (or its counsel or representative) to digitally sign 

documents and access the E-Submittal server for any NRC proceeding in which it is 

participating; and/or (2) creation of an electronic docket for the proceeding (even in instances 

when the requestor (or its counsel or representative) already holds an NRC-issued digital ID 

certificate). Each requestor will need to download the Workplace Forms 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-
9

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/e-submittals.html. A filing is 

considered complete at the time the filer submits its document through EIE. To be timely, 

electronic filings must be submitted to the EIE system no later than 11:59 p.m. Eastern Time on 

the due date. Upon receipt of a transmission, the E-Filing system time-stamps the document 

and sends the submitter an e-mail notice confirming receipt of the document. The EIE system 

also distributes an e-mail notice that provides access to the document to the NRC Office of the 

General Counsel and any others who have advised the Office of the Secretary that they wish to 

participate in the proceeding, so that the filer need not serve the document on those participants 

separately. Therefore, any others who wish to participate in the proceeding (or their counsel or 

representative) must apply for and receive a digital ID certificate before a hearing request is filed 

so that they may obtain access to the document via the E-Filing system. 

 A person filing electronically may seek assistance through the “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 8:30 a.m. and 4:15 p.m., Eastern Time, Monday 

through Friday. The help line number is (800) 397-4209 or locally, (301) 415-4737. 

 Participants who believe that they have good cause for not submitting documents 

electronically must file a motion, in accordance with 10 C.F.R. 2.302(g), with their initial paper 

filing requesting authorization to continue to submit documents in paper format. Such filings 

must be submitted by (1) first class mail addressed to the Office of the Secretary of the 

Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: 

Rulemaking and Adjudications Staff; or (2) courier, express mail, or expedited delivery service 
10

to the Office of the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville Pike, 

Rockville, Maryland, 20852, Attention: Rulemaking and Adjudications Staff. Participants filing a 

document in this manner are responsible for serving the document on all other participants. 

Filing is considered complete by first-class mail as of the time of deposit in the mail, or by 

courier, express mail, or expedited delivery service upon depositing the document with the 

provider of the service. 

 Documents submitted in adjudicatory proceedings will appear in NRC's electronic 

hearing docket which is available to the public at http://ehd.nrc.gov/EHD_Proceeding/home.asp, 

unless excluded pursuant to an order of the Commission, an Atomic Safety and Licensing 

Board, or a Presiding Officer. Participants are requested not to include personal privacy 

information, such as social security numbers, home addresses, or home phone numbers in their 

filings. With respect to copyrighted works, except for limited excerpts that serve the purpose of 

the adjudicatory filings and would constitute a Fair Use application, Participants are requested 

not to include copyrighted materials in their works. 

 If a hearing is requested by the Licensee or a person whose interest is adversely 

affected, the Commission will issue an Order designating the time and place of any hearing. If a 

hearing is held the issue to be considered at such hearing shall be whether this Order should be 

sustained. 

 Pursuant to 10 CFR 2.202(c)(2)(i), the Licensee may, in addition to requesting a hearing, 

at the time the answer is filed or sooner, move the presiding officer to set aside the immediate 

effectiveness of the Order on the ground that the Order, including the need for immediate 

effectiveness, is not based on adequate evidence but on mere suspicion, unfounded 

allegations, or error. 

 In the absence of any request for hearing, or written approval of an extension of time in 

which to request a hearing, the provisions specified in Section III above shall be final twenty (20) 

days from the date of this Order without further order or proceedings. If an extension of time for 
11

requesting a hearing has been approved, the provisions specified in Section III shall be final 

when the extension expires if a hearing request has not been received. 

AN ANSWER OR A REQUEST FOR HEARING SHALL NOT STAY THE IMMEDIATE 

EFFECTIVENESS OF THIS ORDER. 

Dated this 5th day of December, 2007. 

 FOR THE NUCLEAR REGULATORY COMMISSION 

/RA/ 

 

 Charles L. Miller, Director 

 Office of Federal and State Materials 

 and Environmental Management Programs 

Attachments: 

1. List of Applicable Materials Licensees 

2. Table 1: Radionuclides of Concern 

3. Specific Requirements Pertaining to 

 Fingerprinting and Criminal History 

 Records Checks
Attachment 2 

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-2265 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 

5 On August 31, 2005, the NRC issued a waiver, in accordance to Section 651(e) of the Energy 

Policy Act of 2005, for the continued use and/or regulatory authority of Naturally Occurring and 

Accelerator-Produced Material (NARM), which includes Ra-226. The NRC plans to terminate the 

waiver in phases, beginning November 30, 2007, and ending on August 7, 2009. The NRC has 

authority to regulate discrete sources of Ra-226, but has refrained from exercising that authority 
2 

until the date of an entity's waiver termination. For entities that possess Ra-226 in quantities of 

concern, this Order becomes effective upon waiver termination. For information on the schedule 

for an entity's waiver termination, please refer to the NARM Toolbox website at http://nrcstp.ornl.gov/narmtoolbox.html.
Attachment 3 

Specific Requirements Pertaining to Fingerprinting and Criminal History Records 

Checks 

The new fingerprinting requirements supplement previous requirements issued by the 

Increased Controls Order (EA-05-090). 

Licensees currently have a program to grant unescorted access to individuals. As 

required by condition A.1 of the Order, Licensees shall modify its current trustworthiness 

and reliability program to include the following: 

1. Each Licensee subject to the provisions of this attachment shall fingerprint 

each individual who is seeking or permitted unescorted access to risk 

significant radioactive materials equal to or greater than the quantities listed 

in attachment 2. The Licensee shall review and use the information 

received from the Federal Bureau of Investigation (FBI) identification and 

criminal history records check and ensure that the provisions contained in 

the subject Order and this attachment are satisfied. 

2. The Licensee shall notify each affected individual that the fingerprints will 

be used to secure a review of his/her criminal history record and inform the 

individual of the procedures for revising the record or including an 

explanation in the record, as specified in the “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) calendar years, or 

any person who has an active federal security clearance (provided in the 

latter two cases that they make available the appropriate documentation2

). 

Written confirmation from the Agency/employer which granted the federal 

 

1

 The FAST program is a cooperative effort between the Bureau of Customs and Border Patrol 

and the governments of Canada and Mexico to coordinate processes for the clearance of 

commercial shipments at the U.S. - Canada and U.S. - Mexico borders. Participants in the FAST 

program, which requires successful completion of a background records check, may receive 

expedited entrance privileges at the northern and southern borders. 2 This documentation must allow the T&R Official to verify that the individual has fulfilled the 

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

FBI identification and criminal history records check. 
2

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. Additionally, the 

Licensee shall submit a certification of the trustworthiness and reliability of 

the T&R Official as determined in accordance with paragraph B.2 of this 

Order. 

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

consider it, in conjunction with the trustworthiness and reliability 

requirements of the IC Order (EA-05-090), in making a determination 

whether to grant unescorted access to certain radioactive materials. 

6. The Licensee shall use any information obtained as part of a criminal 

history records check solely for the purpose of determining an individual's 

suitability for unescorted access to risk significant radioactive materials 

equal to or greater than the quantities listed in attachment 2. 

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

grant, or continue to allow unescorted access to risk significant radioactive 

materials equal to or greater than the quantities listed in attachment 2. 

Prohibitions

A Licensee shall not base a final determination to deny an individual unescorted access 

to certain radioactive material solely on the basis of information received from the FBI 

involving: an arrest more than one (1) year old for which there is no information of the 

disposition of the case, or an arrest that resulted in dismissal of the charge or an 

acquittal. 

A Licensee shall not use information received from a criminal history check obtained 

pursuant to this Order in a manner that would infringe upon the rights of any individual 

under the First Amendment to the Constitution of the United States, nor shall the 

Licensee use the information in any way which would discriminate among individuals on 

the basis of race, religion, national origin, sex, or age. 

Right to Correct and Complete Information

Prior to any final adverse determination, the Licensee shall make available to the 

individual the contents of any criminal records obtained from the FBI for the purpose of 

assuring correct and complete information. Written confirmation by the individual of 

receipt of this notification must be maintained by the Licensee for a period of one (1) 

year from the date of the notification. 

If, after reviewing the record, an individual believes that it is incorrect or incomplete in 

any respect and wishes to change, correct, or update the alleged deficiency, or to 

explain any matter in the record, the individual may initiate challenge procedures. These 

procedures include either direct application by the individual challenging the record to 

the agency (i.e., law enforcement agency) that contributed the questioned information, or 

direct challenge as to the accuracy or completeness of any entry on the criminal history 
3

record to the Assistant Director, Federal Bureau of Investigation Identification Division, 

Washington, DC 20537-9700 (as set forth in 28 CFR Part 16.30 through 16.34). In the 

latter case, the FBI forwards the challenge to the agency that submitted the data and 

requests that agency to verify or correct the challenged entry. Upon receipt of an Official 

communication directly from the agency that contributed the original information, the FBI 

Identification Division makes any changes necessary in accordance with the information 

supplied by that agency. The Licensee must provide at least ten (10) days for an 

individual to initiate an action challenging the results of an FBI identification and criminal 

history records check after the record is made available for his/her review. The Licensee 

may make a final unescorted access to certain radioactive material determination based 

upon the criminal history record only upon receipt of the FBI's ultimate confirmation or 

correction of the record. Upon a final adverse determination on unescorted access to 

certain radioactive material, the Licensee shall provide the individual its documented 

basis for denial. Unescorted access to certain radioactive material shall not be granted 

to an individual during the review process. 

Protection of Information

1. Each Licensee who obtains a criminal history record on an individual pursuant to this 

Order shall establish and maintain a system of files and procedures for protecting the 

record and the personal information from unauthorized disclosure. 

2. The Licensee may not disclose the record or personal information collected and 

maintained to persons other than the subject individual, his/her representative, or to 

those who have a need to access the information in performing assigned duties in 

the process of determining unescorted access to certain radioactive material. No 

individual authorized to have access to the information may re-disseminate the 

information to any other individual who does not have a need-to-know. 

3. The personal information obtained on an individual from a criminal history record 

check may be transferred to another Licensee if the Licensee holding the criminal 

history record check receives the individual's written request to re-disseminate the 

information contained in his/her file, and the gaining Licensee verifies information 

such as the individual’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 fingerprint and criminal history records from the FBI, or 

a copy if the individual's file has been transferred, for three (3) years after termination 

of employment or determination of unescorted access to certain radioactive material 

(whether unescorted access was approved or denied). After the required three (3) 

year period, these documents shall be destroyed by a method that will prevent 

reconstruction of the information in whole or in part. 
Enclosure 2 

Procedures for Processing Fingerprint Checks

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

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

ORIMDNRCOOOZ) for each individual seeking access to unescorted access to 

certain radioactive material. 

2. Submit to the NRC’s Division of Facilities and Security,11545 Rockville Pike, 

ATTN: Criminal History Program, Mail Stop T-6E46, Rockville, MD 20852. 

Overnight mail is preferred. 

3. Include the name and address of the individual (T&R Official) to whom the 

criminal history records should be returned.

4. Fingerprints for unescorted access need not be taken if an employed individual 

(e.g., a Licensee employee, contractor, manufacturer, or supplier) is relieved 

from the fingerprinting requirement by 10 CFR § 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) 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. 

Copies of these forms may be obtained by writing the Office of Information Services, 

U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by calling (301) 

415-5877, or by e-mail to forms@nrc.gov. The Licensee shall establish procedures to 

 

1

 The FAST program is a cooperative effort between the Bureau of Customs and Border Patrol 

and the governments of Canada and Mexico to coordinate processes for the clearance of 

commercial shipments at the U.S. - Canada and U.S. - Mexico borders. Participants in the FAST 

program, which requires successful completion of a background records check, may receive 

expedited entrance privileges at the northern and southern borders. 2 This documentation must allow the T&R Official to verify that the individual has fulfilled the 

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

FBI identification and criminal history records check.
2

ensure that the quality of the fingerprints taken results in minimizing the rejection rate of 

fingerprint cards due to illegible or incomplete cards. 

Licensees must have their fingerprints taken by local law enforcement (or a private entity 

authorized to take fingerprints) because an authorized official must certify the identity of 

the person being fingerprinted. 

The NRC will review submitted fingerprint cards for completeness. Any Form FD-258 

fingerprint record containing omissions or evident errors will be returned to the Licensee 

for corrections. The fee for processing fingerprint checks includes one re-submission if 

the initial submission is returned by the FBI because the fingerprint impressions cannot 

be classified. The one free re-submission must have the FBI Transaction Control 

Number reflected on the re-submission. If additional submissions are necessary, they 

will be treated as initial submittals and will require a second payment of the processing 

fee. 

Fees for processing fingerprint checks are due upon application (Note: other fees may 

apply to obtain fingerprints from your local law enforcement agency). Licensees shall 

submit payments electronically via http://www.pay.gov. Payments through Pay.gov can 

be made directly from the Licensee’s credit/debit card. Licensees will need to establish 

a password and user ID before they can access Pay.gov. To establish an account, 

Licensee requests must be sent to paygo@nrc.gov. The request must include the 

Licensee’s name, address, point of contact, e-mail address, and phone number. The 

NRC will forward each request to Pay.gov and someone from Pay.gov will contact the 

Licensee with all of the necessary account information. 

Licensees shall make payments for processing before submitting applications to the 

NRC. Combined payment for multiple applications is acceptable. Licensees shall 

include the Pay.gov payment receipt(s) along with the application(s). For additional 

guidance on making electronic payments, contact the Facilities Security Branch, Division 

of Facilities and Security, at (301) 415-7404. The application fee (currently $36) is the 

sum of the user fee charged by the FBI for each fingerprint card or other fingerprint 

record submitted by the NRC on behalf of a Licensee, and an NRC processing fee, 

which covers administrative costs associated with NRC handling of Licensee fingerprint 

submissions. The Commission will directly notify Licensees subject to this regulation of 

any fee changes. 

It is necessary for a Licensee to resubmit fingerprints only under two conditions: 

1. The FBI has determined that the fingerprints cannot be classified due to poor 

quality in the mechanics of taking the initial impressions; or, 

2. The initial submission has been lost. 

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

quality, the Licensee must submit a request to NRC for alternatives. When those search 

results are received from the FBI, no further search is necessary. The Commission will 

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

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

record(s). 
Guidance for Evaluating FBI Identification and Criminal History Records Checks 

for Allowing Unescorted Access to Certain Radioactive Material 

Each Licensee is responsible for determining whether to grant an individual unescorted 

access to certain radioactive materials. The Licensee shall allow only trustworthy and 

reliable individuals, approved in writing by the Licensee, to have unescorted access to 

radioactive material quantities of concern (listed in Table 1 of the Increased Controls 

Order) and devices containing that radioactive material. The T&R determination, to 

grant an individual unescorted access to certain radioactive materials, is made by the 

Licensee’s T&R Official, based on information gathered from all four elements of the 

background check and evaluated by the T&R Official. The minimum four background 

check elements are: 1) fingerprinting and a Federal Bureau of Investigation (FBI) 

identification and criminal history records check, 2) verifying employment history, 3) 

verifying education, and 4) personal references. The purpose of this guidance is to 

address the fingerprinting component of the T&R determination. 

Unescorted access determinations require an evaluation of a person's trustworthiness 

and reliability. When a person's life history shows evidence of unreliability or 

untrustworthiness, questions arise whether the person can be relied on and trusted to 

exercise the responsibility necessary for working with risk-significant radioactive 

materials. The purpose of the T&R determination requirement, for unescorted access, is 

to provide reasonable assurance that those individuals are trustworthy and reliable, and 

do not constitute an unreasonable risk to the public health and safety, including the 

potential to commit or aid theft and/or radiological sabotage. This is a Licensee’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 #22 at the following web address: http://www.nrc.gov/reading-rm/doccollections/enforcement/security/2005/ml053130233.pdf. 

In evaluating the relevance of an individual's conduct, the T&R Official should consider 

the following factors: 

 (1) The nature, extent, and seriousness of the conduct; 

(2) the circumstances surrounding the conduct, to include knowledgeable 

participation; 

 (3) the frequency and recency of the conduct; 

 (4) the individual's age and maturity at the time of the conduct; 

 (5) the extent to which participation is voluntary; 

(6) the presence or absence of rehabilitation and other permanent behavioral 

changes; 

 (7) the motivation for the conduct; 

Enclosure 3 
2

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

 (9) the likelihood of continuation or recurrence. 

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

responsibility of the Licensee. In every case, the T&R Official should evaluate 

trustworthiness and reliability based on an accumulation of information which supports a 

positive finding, prior to granting unescorted access. Items to consider include: 

1. The T&R Official should evaluate the information collected for consistency 

and adequacy. 

2. True identity should be evaluated by comparing applicant provided 

identification and personal history data to pertinent information from the background 

check, and other data sources. 

3. The T&R Official should determine whether inconsistencies determined 

through review or investigation, are intentional, innocent, or an oversight. Willful or 

intentional acts of omission or untruthfulness could be grounds for denial of unescorted 

access. 

When a Licensee submits fingerprints to the NRC pursuant to an NRC Order, it will 

receive a FBI identification and criminal history record since the individual’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 

T&R Official should evaluate that information using the guidance below. 

The Licensee’s T&R Official is required to evaluate all available information in making a 

T&R determination for unescorted access to radioactive materials, including the criminal 

history records information pertaining to the individual as required by the NRC Order. 

The FBI identification and criminal history records check is used in the determination of 

whether the individual has a record of criminal activity that indicates that the individual 

should not have unescorted access to radioactive materials subject to this Order. Each 

determination of T&R for unescorted access to radioactive materials, which includes a 

review of criminal history information, must be documented to include the basis for the 

decision made. 

Licensees shall not make a final determination made solely on the basis of criminal 

history checks information involving an arrest more than 1 year old for which there is not 

information on the disposition of the case, or an arrest that resulted in dismissal of the 

charge or an acquittal. 

All information collected is to be considered by the Licensee in making a trustworthiness 

or reliability determination for unescorted access. Potentially disqualifying information 

obtained from confidential/unnamed sources must be substantiated and documented, 

and should not be used as a sole basis to deny access authorization unless 

corroborated. Licensees should establish criteria that would disqualify someone from 

being granted authorized access. In every case, the Licensee should evaluate 

trustworthiness and reliability based on an accumulation of information which supports a 

positive finding. Items to evaluate and consider include: 
3

The FBI identification and criminal history records check is used to evaluate whether the 

individual has a record of criminal activity that may compromise his or her 

trustworthiness and reliability. Identification of a criminal history through the FBI criminal 

history records check does not automatically indicate unreliability or lack of 

trustworthiness of the employee. The licensee will have to judge the nature of the 

criminal activity, length of employment, and recency of the criminal activity. The licensee 

can authorize individuals with criminal records for unescorted access to radioactive 

materials, based on a documented evaluation of the basis for determining that the 

employee was reliable and trustworthy notwithstanding his or her criminal history. Each 

evaluation conducted in review of criminal history and other background checks 

information, should be documented to include the decision making basis. 

At a minimum, the Licensee should consider the following elements when evaluating the 

results of the FBI Identification and Criminal History Records check: 

1. Committed, attempted to commit, aided, or abetted another who committed or 

attempted to commit any act of sabotage, espionage, treason, sedition, or 

terrorism. 

2. Publicly or privately advocated actions that may be inimical to the interest of the 

United States, or publicly or privately advocated the use of force or violence to 

overthrow the Government of the United States or the alteration of the form of 

government of the United States by unconstitutional means. 

3. Knowingly established or continued a sympathetic association with a saboteur, 

spy, traitor, seditionist, anarchist, terrorist, or revolutionist, or with an espionage 

agent or other secret agent or representative of a foreign nation whose interests 

may be inimical to the interests of the United States, or with any person who 

advocates the use of force or violence to overthrow the Government of the 

United States or the alteration of the form of government of the United States by 

unconstitutional means. (Ordinarily, the Licensee should not consider chance or 

casual meetings or contacts limited to normal business or Official relations.) 

4. Joined or engaged in any activity knowingly in sympathy with or in support of 

any foreign or domestic organization, association, movement, group, or 

combination of persons which unlawfully advocates or practices the commission 

of acts of force or violence to prevent others from exercising their rights under 

the Constitution or laws of the United States or any State or any subdivisions 

thereof by unlawful means, or which advocate the use of force and violence to 

overthrow the Government of the United States or the alteration of the form of 

government of the United States by unconstitutional means. (Ordinarily, the 

Licensee should not consider chance or casual meetings or contacts limited to 

normal business or official relations.) 

5. Deliberately misrepresented, falsified or omitted relevant and material facts from 

documentation provided to the Licensee. 

6. Has been convicted of a crime(s) which, in the T&R Official’s opinion, indicate 

poor judgment, unreliability, or untrustworthiness. 
4

These indicators are not meant to be all inclusive nor intended to be disqualifying 

factors. Licensees can also consider how recent such indicators occurred and other 

extenuating or mitigating factors in their determinations. Section 149.c.(2)(B) of the 

AEA requires that the information obtained as a result of fingerprinting be used solely 

for the purposes of making a determination as to unescorted access suitability. 

Unescorted access suitability is not a hiring decision, and the NRC does not intend 

for licensees to use this guidance as such. Because a particular individual may not 

be suitable for Unescorted Access does not necessarily mean that he is not suitable 

for escorted access or some other position that does not involve NRC-regulated 

activities. 

Licensees shall notify the NRC’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. 
Revised 04/11/2008 

Questions and Answers with Regards to Fingerprinting and Criminal History Records 

Checks 

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

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

response include sensitive information? 

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

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

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

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

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

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

or NRC’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 
2

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 03-28-08) I was only provided a few fingerprint cards, where can I get 

more? 

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

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

calling (301) 415-7232, or by e-mail to forms@nrc.gov.

10. (REVISED 03-28-08) What information do I need to include on the card? 

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

Licensees need to include the following information on each card: 

 a. Last name, first name, middle name 

 b. Signature of person being fingerprinted 

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

 d. Date 

 e. Signature of official taking the fingerprints 

 f. Address of employer taking fingerprints 

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

 h. Aliases 

 i. Citizenship 
3

 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 (e.g. CA-123456). 

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

can I use those instead? 

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

cards. 

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

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

classifiable fingerprints. Individuals that submit fingerprint cards that are not 

classifiable will have to submit new cards. 

13. Who do I send my fingerprints to? 

 A completed fingerprint card should be sent to: 

 Director, Division of Facilities and Security 

 U.S. NRC 

 Two White Flint North 

 11545 Rockville Pike 

 Rockville, MD 20852-2738 

 ATTN: Criminal History Program, Mail Stop T-6E46 

14. Is there a fee associated with the NRC/Agreement States processing the 

fingerprints? 

 The current fee to process each fingerprint card is a $36.00 per card. Additional fees 

may be charged by the entity taking the fingerprints. 
4

15. (REVISED 04-11-08) 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 T-6E46 

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

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

we implement the fingerprinting Order? 

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

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

Commission. 

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

do I need to implement the requirements in this Order? 

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

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

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

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

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

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

actual possession of the material. 

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

States? 

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

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

materials quantities of concern to the NRC within 180 days after the Order is issued. 

19. Will guidance be provided on how to determine trustworthiness and reliability 

based on FBI identification and criminal history records checks? 

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

decision of the licensee’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. 
5

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. 

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. 
6

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 

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 

 

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 
7

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. 

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: 

 

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. 
8

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.