ML15364A485

EIE User Guide_Ch Rev 6.0

ML15364A485
Person / Time
Issue date:	01/29/2024
From:	Office of Nuclear Security and Incident Response, NRC/OCIO
To:
References
Download: ML15364A485 (32)

Text

January 2024 Revision 6 Criminal History User Guide

Nuclear Regulatory Commission Revision 6 Criminal History User Guide January 2024 Table of Contents Contents

1.

Introduction......................................................................................................................... 3

2.

First Time User Required Actions........................................................................................ 3

3.

Submissions........................................................................................................................ 3 3.1 Access the Criminal History Application............................................................................ 3 3.2 Consent to Monitoring..................................................................................................... 5 3.3 First Time Users.............................................................................................................. 5 3.3.1 Request Access to Criminal History............................................................................... 5 3.4 Welcome to the NRC Criminal History Application............................................................ 7 3.4.1 Request Access to a Facility.......................................................................................... 8 3.5 New Submission............................................................................................................. 10 3.5.1 Submission Identification Section................................................................................. 11 3.5.2 Attachments and Payment Section.............................................................................. 13 3.5.3 Sign and Submit Form Section..................................................................................... 16 3.5.4 Complete Online Pay.Gov Payment............................................................................ 17 3.5.5 Email Acknowledgements............................................................................................ 20 3.6 Update My Profile............................................................................................................ 21 3.7 My Submission History.................................................................................................... 22 3.7.1 Refine Submission List................................................................................................. 24 3.7.2 Resubmit Submission................................................................................................... 25 3.8 Contact NRC................................................................................................................... 27 3.9 Help................................................................................................................................. 29 3.10 Logout........................................................................................................................... 29 3.11 Retrieving Responses................................................................................................... 30

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 3 of 32

1. Introduction This document outlines step-by-step instructions for successful electronic transmittal of background check information (e.g., fingerprints) to the Nuclear Regulatory Commission (NRC), as required by 10 CFR Part 73.57, via the Electronic Information Exchange (EIE) process, which is available on the NRC's Electronic Submittals Application Web page (http://www.nrc.gov/site-help/e-submittals.html).

2. First Time User Required Actions To submit background check information to the NRC, first-time users must successfully obtain and install a digital certificate issued by the NRC. These certificates are issued at no cost to the user. Instructions on how to gain a certificate are available at the following site:

https://pki.nrc.gov/ecs/. This site includes detailed instruction on how to install your new certificate. Additionally, a member of our Help Desk staff will contact you to assist in the installation if help is required. You may also contact the Help Desk directly at 866-672-7640.

3. Submissions 3.1 Access the Criminal History Application Navigate to the NRCs Website (www.nrc.gov). Scroll to the bottom of the page and select the Electronic Submittals Application link (within the Popular Documents section).

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 4 of 32 From the Electronic Submittals Application Web page, click on Criminal History.

A Choose a digital certificate dialogue box will appear. Click on the certificate and then select the button. A Signing data with your private exchange key dialogue box will appear.

Within the blank CryptoAPI Private Key field, enter the certificate password you created when you imported the certificate. Select the button to proceed.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 5 of 32 3.2 Consent to Monitoring The user must recognize that the use of a federal computer system constitutes consent to monitoring and is for official or authorized use only. Should monitoring reveal possible evidence of violation of criminal statues or Public Law, your identification may be provided to the appropriate law enforcement officials and subjects you to criminal prosecution, fine, imprisonment, or other disciplinary action.

The following options are provided to the user:

To acknowledge and proceed select the radio button for:

Select the button.

Continue as follows:

First Time Users (Section 3.3): See Section 3.3.1 (Request Access to Criminal History)

Continuous users: See Section 3.4 (Welcome to the NRC Criminal History Page).

3.3 First Time Users 3.3.1 Request Access to Criminal History First time users to Criminal History will receive the Request Access to Criminal History page. If you are not a first-time user, continue with Section 3.4, Welcome to the NRC Criminal History page.

Note:

When selecting I do not consent to monitoring, the only option offered is to select the Exit button:

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 6 of 32 This page contains the users profile information. All required fields, annotated with an asterisk (*) must be populated The Certificate Information is pre-populated with information extracted from your Certificate. These fields are not editable.

Contact Information and Address sections are text fields (with the exception of State, which contains a drop down menu to select from).

Facilities section: within the Available box, click on (to highlight) the Facility access is desired.

Select the arrow (this will move the highlighted item(s) to the Selected box.

After reading the information provided within the Rules of Behavior section, select the radio button for:

(To proceed, you must select Accept.)

Select the button.

Note: If an error was made, select the Facility within the Selected box, then select the arrow.

Note: To select more than one Facility, hold down the Ctrl key as you click on each Facility.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 7 of 32 After completing and submitting the form, a Request for access received page is displayed.

The requestor will receive an e-mail from CrimHist.Resource@nrc.gov acknowledging the request for access was received.

Within three (3) business days, the requestor will receive an email communicating access was granted or withheld. If granted, the user will be provided a link (https://eieprod.nrc.gov/CH) to proceed with the Criminal History submission process.

3.4 Welcome to the NRC Criminal History Application Once access to a Facility has been granted and the plug in installed, upon logging into Criminal History and accepting consent to monitoring, the user will be presented with the Home page:

The following options are available:

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 8 of 32 3.4.1 Request Access to a Facility Within the menu bar, click on Access to a Facility page.

to display the Request The following options are available to the user:

Updating the user profile information (contact information and address) and Requesting access to a facility.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 9 of 32 3.4.1.1 Certificate Information Section The Certificate Information section contains information obtained from your certificate. The four fields (First Name, Last Name, Email and Expiration) cannot be edited.

3.4.1.2 Contact Information and Address Sections All fields within the Contact Information and Address sections (with the exception of State) are text fillable fields. To update a text fillable field, click within the appropriate field, highlight (to delete) the existing information, then type the revised information into the field.

To revise the State field, click on the drop-down menu, then select the appropriate State.

3.4.1.3 Facilities Section Within the Facilities section, click on (to highlight) a Facility from the Available Facilities box on the left.

Click on the arrow to move the highlighted item(s) to the Selected Facilities box.

The facilities selected will now appear within the right box.

Note: To select more than one Facility, hold down the Ctrl key then click on each additional Facility.

Note: If an error was made, select the incorrect Facility within the right Selected Facilities box, then select the arrow to move the facility to the left box.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 10 of 32 To complete the request, click on the button.

The screen will refresh and will include the following statement:

An email will be delivered from CrimHist.Resource@nrc.gov stating the NRC has received the request and will respond to the access request by email within 3 business days.

3.5 New Submission Within the menu bar, click on Submission page.

to display the Criminal History Mozilla Firefox 4.0 and 5.0 do not work with New Submissions. Additionally, Apple Macintosh computer (Mac) is not supported.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 11 of 32 Fill out all required fields (annotated with a red asterisk [*]) and attached one or more files.

You must electronically sign the form and then submit to complete your submission. The fee to process background checks is $32.00 per item.

3.5.1 Submission Identification Section 3.5.1.1 Submitter Name, Email Address, Certificate Expiration Date Within the Submission Identification section of the form, the Submitter Name, Email Address and Certificate Expiration Date fields are auto populated with information retrieved from your Certificate. These fields cannot be edited.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 12 of 32 3.5.1.2 Docket Number Docket Number field (required) - Select the facility for which you wish to make your submission from the drop down menu.

3.5.1.3 Submission Title The Submission Title is included on the response form; therefore, the user should enter within the Submission Title field (required) information that will be an aid upon receipt of the response form.

As an example, a title could be:

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 13 of 32 3.5.1.4 Submission Comments Within the Submission Comments field, enter any information that may be useful to assist the NRC in processing the submission.

3.5.2 Attachments and Payment Section 3.5.2.1 Attaching Files Select the button.

Note:.nist,.nst and.eft are the only three (3) acceptable file formats that can be attached to the form.

At a minimum, one (1) file must be attached. Understand that for resubmissions, only one (1) file is allowed to be attached.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 14 of 32 A Choose File to Upload dialogue box will appear. Locate and click on one or more appropriate.nist or.eft or.nst files After selecting one or more files, click on the Open button within the Choose File to Upload dialogue box.

Note:

For resubmissions, only one (1) file may be attached.

Note:

Use the ctrl key on your keyboard to select several.nist,.nst and.eft files.

Use the shift key on your keyboard to select numerous.nist,.nst and.eft files listed in order.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 15 of 32 The file(s) will appear within the Fingerprint File(s) Selected field.

To attach additional files, click on the button and repeat the steps beginning within this Section.

The # of files attached field will populate with the total number of files attached to the submission.

Additionally, the Amount Due field will auto-populate with the fee amount.

1. of Files Attached and Amount Due ($) fields cannot be edited by the user.

Note: If a wrong file was attached, select the button.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 16 of 32 3.5.2.2 Payment Note: The amount due for each attached file is $32.00.

Within the Select Payment Option field (required), click on the drop-down to display the three (3) payment types (Check, Money Order or pay.gov).

Scroll down and select the appropriate payment type.

Checks and money orders will only be accepted for payment thru September 30, 2024. Effective October 1, 2024, the NRC will only accept electronic payment methods (i.e.,

debit or credit card or electronic funds transfer (e-check)) using pay.gov. To apply for a pay.gov account, follow the instructions at https://www.pay.gov/public/home. After you have created your account, forward your first and last name, company name, phone number, and username to the NRCs crimhist.resource@nrc.gov mailbox so the criminal history staff can link your pay.gov account to the appropriate application for fingerprint requests (i.e.,

NRCPRINTS).

3.5.3 Sign and Submit Form Section After populating all required fields, click on the button.

Note: For Check and Money Order payments, the submission cannot be processed until payment has been received.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 17 of 32 The certificate users name will be displayed along with todays date.

Click on the button.

A Criminal History Submission Received page will display when paying via Check or Money Order. The submittal process is completed.

An email will be delivered from CrimHist.Resource@nrc.gov acknowledging the submission.

3.5.4 Complete Online Pay.Gov Payment The NRCPRINTS, Pay.Gov page will appear. Provide the credit or debit card information, populating all required fields (annotated with a red asterisk (*). Click on the Continue button.

Jane Doe (affiliate)

Note: If paid via Pay.Gov, continue with Section 3.4.2.4.

If paid via Check or Money Order, continue below.

Note: For Pay.Gov payments, an email will be delivered from paygovadmin stating the payment has been submitted. If you have any questions regarding the payment, contact: Pay.gov Customer Service by phone at (800) 624-1373 or by email at pay.gov.clev@clev.frb.org.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 18 of 32

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 19 of 32

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 20 of 32 The NRCPRINTS, Pay.Gov page will update. Review the information provided. Ensure the check box is selected () stating you quthorize the charge to the card account, prior to completing the transaction.

Complete the process by clicking on the button.

The screen will update with a message that the payment was received.

3.5.5 Email Acknowledgements Based on the type of payment selected, the user will receive the following email:

Check or Money Order:

Acknowledgement of submission - payment pending. The email will list the Submission number as well as the number of attachments. Additionally, the email will state that payment has not yet been received and the submission cannot be processed until payment has been received.

Credit Card (Pay.gov):

Acknowledgement of submission - payment received. The email will list the Submission number as well as the number of attachments.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 21 of 32 3.6 Update My Profile Within the menu bar, click on page.

to display the Modify User Profile The Certificate Information section contains information obtained from your certificate. The four fields (First Name, Last Name, Email and Expiration) cannot be edited.

All fields within the Contact Information and Address sections (with the exception of State) are text fillable fields. To update a text fillable field, click within the appropriate field, highlight (to delete) the existing information, then type the revised information into the field.

To revise the State field, click on the drop-down menu, then select the appropriate State.

After updating all necessary fields, click the button.

The Modify User Profile page will refresh, displaying the following statement:

The user profile for Jane Doe (affiliated) has been updated successfully.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 22 of 32 3.7 My Submission History Within the menu bar, click on History page, which is primarily a reporting device for users to display My Submission Users can see a history of what they submitted and when.

Within the Status field, items at PENDING are awaiting payment (vs. items at PAID status).

Within the Pay.gov receipt field, payments made via credit card are provided the Pay.Gov Tracking ID #.

Payments made via Check or Money Order, the Pay.gov receipt field will be blank.

Users can see a history of what they submitted and when.

Pending Note: Clicking within a column header (i.e. ID, Submission Title, etc.) allows for sorting in descending and ascending order. The only exception to this rule is the

1. Attach header.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 23 of 32 Click on the icon to the left of a submission to expand and reveal the full submission information.

From My Submission History page, users can resubmit and finish a submission.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 24 of 32 3.7.1 Refine Submission List The Start Date and End Date fields are auto populated. The End Date field contains todays date, while the Start Date field is fourteen (14) days prior to todays date.

To refine or expand the list presented, the user may click within the Start Date and End Date fields.

A calendar will appear.

To expand the results, delete the date listed. Click on the button. By performing this action in both fields, all submissions made by the user will be displayed.

To revise the results, click on a desired date and the field will update (this action can be performed in both date fields to narrow the results even further). Click on the button.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 25 of 32 3.7.2 Resubmit Submission To resubmit, there must be a reason, such as the FBI sent a message stating they could not read the prints; therefore, a resubmittal must be performed.

After being informed by the FBI that a resubmit is required, from My Submission History page, expand the Submission by clicking on the icon to the left of the ID column. The page will refresh, revealing the full details of the submission:

Within the Resubmitted column, select the Resubmit link for the item the FBI responded to.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 26 of 32 The Criminal History Resubmission page is displayed.

The following fields are auto populated and disabled:

Submitter Name.

Email Address.

Docket Number.

Certificate Expiration Date.

Original File.

Submission Title (although this field is auto-populated, users may edit this field, if necessary.)

Enter any comments pertinent to the resubmittal in the Submission Comment field.

Only one file must be attached to a resubmission (see Section 3.4.2.2.1 to attach a file).

After attaching the file, click on the button.

After signing the resubmission, click on the button.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 27 of 32 A Criminal History Submission Received page will display. There is no additional fee for the first resubmission of any print. The resubmission process is completed.

The submitter will receive an e-mail from CrimHist.Resource@nrc.gov acknowledging the resubmission was received.

The Criminal History email address is an HTML hyperlink. By selecting this link, an email is created using the users default email client. The To field is populated with CrimHist.Resource@NRC.gov and the Subject field is populated with NRC Criminal History Request.

3.8 Contact NRC

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 28 of 32 Within the menu bar, click on the Contact NRC to display the NRC contact information.

The phone number and email contacts are:

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 29 of 32 3.9 Help Within the menu bar, click on

. This user Help guide will be presented 3.10 Logout Select the button. The Electronic Submittals Application page (https://www.nrc.gov/site-help/e-submittals.html) will display. You may close your internet browser.

Within the menu bar, click on The Welcome to the NRC Electronic Information Exchange System, Terms of Service page will display.

Note: To return to Criminal History, follow instructions within Section 3.2.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 30 of 32 3.11 Retrieving Responses When the results are available, an email will be delivered from CrimHist.Resource@nrc.gov with the subject: Criminal History Submission - Results Available.

Select the link provided within the email message.

Note: Be aware: The link contained within the email message will be disabled after 14 days and both the submission and the related criminal history report will be deletedfrom the EIE system. You must, therefore, make local copies of any reports that you wish to retain for your records.

Follow the certificate log in process to access the Welcome to the NRC Electronic Information Exchange System, Terms of Service page will display.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 31 of 32 To acknowledge and proceed, select the radio button for:

Select the button.

Nuclear Regulatory Commission Criminal History User Guide Revision 6 January 2024 Page 32 of 32 The Criminal History FBI Response Information page will display.

Information will be provided within the Comments field stating the number of files attached.

Click on the button.

Click on either the or the button.

If Open was selected, the response will display for your review.

If Save was selected, navigate to the file path location you would like to save the zip file to.