36C25018B0807-004.pdf

DEPARTMENT OF VETERANS AFFAIRS MEDICAL CENTER

Cincinnati - Fort Thomas Divisions

3200 Vine Street Cincinnati, OH 45220

MEMORANDUM NO. 07B-08

December 2016

FACILITY IDENTIFICATION/VISITOR BADGES

I. PURPOSE: To establish a policy regarding the use of identification Badges and visitor badges, including the Personnel Identification Verification (PIV) Badge for employees, volunteers, vendors, contractors, and others who either work at or conduct business at this Medical Center, Fort Thomas Division, Eye Center, Community Based Outpatient Clinics (CBOC) and other off-site VA facilities.

II. POLICY: All employees, affiliates, and contractors are required to be issued a VA approved PIV badge to be permitted access to any VA controlled facility, in accordance with requirements set forth in Homeland Presidential Security Directive (HSPD) 12. This facility uses only the PIV Badge and its approved variations as photo identification badges for employees, affiliates and contractors. Visitors, other than patient visitors are required to obtain a one-day visitor badge.

III. RESPONSIBLITIES:

A. Medical Center Associate Director will ensure there is a policy in place for the issuance and wearing of badges for identification purposes throughout the facility.

B. Chief, Police Service, or designee, will ensure there is a process in place for the issuance and wearing of badges, to include PIV with Department of Homeland Security, and Service Standard Operating Procedure and is designated as the Facility PIV Badge Issuance (PCI) Manager.

C. Chief, Human Resources Management is designated as the Alternate Facility (PCI) Manager.

D. Service Chiefs will ensure that supervisors in their respective service carry out the intent of this policy with regard to positive identification of personnel at all times while in the medical center and their worksites.

E. Employees designated in holding one of the roles of Sponsor, Registrar, Issuer and Pin-Resetter must maintain annual required training and appointment by the PCI Manager.

F. All employees, affiliates, and contractors will wear ID or Visitors badges above the waist, picture side out, appropriately visible from the front while on any VA controlled property.

IV. PROCEDURES:

A. Service Chiefs will:

Medical Center Memorandum 07B-08 Facility Identification/Visitor Badges

1. Take necessary measures to designate to the PCI Manager a Service PIV Sponsor (as needed) and PIN Re-setter.

2. Ensure that employees, affiliates, volunteers and contractors within their service, comply with the requirement to be issued and have in their possession and properly wear ID Badges while on any VA controlled facility.

3. Evaluate and approve physical access to areas and space under control of the service and provides to Police Service the approval to grant unrestricted entry or entry limitations.

4. Upon termination, separation or transfer out of an employee, affiliated or contractor, the facility out-processing policy will be followed or the ID Badge will be collected and returned to Police Service.

5. Confiscate any ID Badges from employees, affiliates, volunteers and contractors who fail to favorably adjudicate a background investigation, are arrested in any criminal matter other than traffic violations (on or off duty), are a suspect of egregious conduct while on VA controlled property or is suspect in any investigation that may place in jeopardy the security of the facility, persons or logical access. Immediately report these events to VA Police.

6. Take the appropriate administrative actions when an employee, affiliate or contractor fails to meet their expectations under this policy or HSPD- 12 policies, who share or improperly use their ID badge, or who loses control or custody of their ID badge.

7. Provide an escort for all visitors, vendors, salespersons, contractors during all visits in all areas and assures the visitor, vendor, salesperson or contractor signs in/out with VA Police and is issued a visitor badge to wear. Escort is required to meet and return this person at the VA Police Operations Office.

B. Human Resources Management Service will:

1. Sponsor all employees per this policy and HSPD-12 requirements.

2. Assisting the employee, affiliate and/or contractor in the initiation of

Special Agreement Check (SAC) or National Agency Check with Written Inquiries (NACI).

3. Initiate, take and track ten point fingerprints of applicants for the issuance and re-issuance of PIV badges.

4. Adjudicate all SAC or NACI results.

5. Determine suitability for all Employees, Affiliates and/or Contractors who are unable to attain required background investigation results. Take appropriate action to deny logical and/or physical access to any employee, affiliate and/or contractor who is unable to attain a required background investigation result and/or suitability. Action may include administrative actions or notification to the appropriate authority to remove the individual.

6. Maintaining accurate SAC or NACI name file and dates and coordinating with the VA Security Investigation Center and Office of Personnel Management.

7. Completing PIV application for all employees for issue and re-issue of badges.

8. Report name changes and transfer of employees from one service to another so ID records may be updated and new badges issued as necessary. For any name changes, acceptable documentation as required by the PIV process is required to issue a new ID Badge.

9. Counsel employees on the proper HSPD-12 processes for PIV Badge Issue and Re-issue and coordinating services with the PIV Registrar and Issuer.

10. Advise the PCI Manager when PIV badges are to be terminated or suspended.

C. Police Service will:

1. Fulfill the roles of Registrar and Issuer in preparing, issuing and re-issuing the ID badges upon referral from a sponsor after all required background checks have been initiated and the individual has had their identity verified in compliance with the HSPD-12 processes or Visitor control processes.

2. Manage and maintain accountability of Badge stock and issued ID badges.

3. Assign Physical Access coding to ID Badges after approval from the service chief, who has control of that restricted or controlled space.

4. Enforce all aspects of this policy, to include all employees, vendors, volunteers, contactors and others comply with the expectations and intent of this policy.

5. Conduct ID checks as required, needed and/or during special security postures.

6. Allow and control visitor access after verification of the visit from a VA sponsoring employee.

D. Employees, Affiliates and Contractors will:

1. Secure their area and should challenge all unidentified persons who may enter.

i. Deny access to worksites, areas and information systems to persons not properly identified by an issued ID Badge.

ii. Deny Visitor access to all areas to those persons not possessing a

Visitor Badge and accompanied by a VA escort.

2. Care for and control of any ID Badge. ID Badges are the property of the

U.S. Government and must be immediately reported to the VA Police when lost and stolen.

3. Initiate the re-issuance process through their sponsor at least 30 days before the ID Badge expires, but no more than 120 days prior to the expiration date, or anytime if the ID badge becomes damaged, lost or stolen.

4. Notify the VA Police immediately whenever any individual attempts to conduct any type of business within the VA without wearing a VA issued ID badge.

E. Badge Issuance:

1. The issuance process for new applicants or re-issuance process for current ID Badge holders needs to begin as soon as possible.

i. Immediate: For any lost, stolen, damaged ID Badges or as soon as an official name change occurs.

ii. New or expired ID Badges: At least 30 days before the first day of assignment or before the ID Badge expires, but will not to begin more than 120 days prior.

NOTE: Flash Badge applicants do not need to have fingerprints or background investigations (begin with Step 4).

2. Step 1: Contact your Sponsor who will determine the type of ID Badge that is required and will initiate the issuance or re-issuance process.

Sponsors for:

i. VA Employees (Full Time, Part Time, Intermittent, Fee-Basis): HR

Personnel Suitability Section

ii. Affiliates:

a. Volunteers: Voluntary Service

b. CWT: Domiciliary Chief (designee) or Assigned Worksite

Manager

c. Residents: Assigned Administrative Officer or Manager

d. Students: Education Service

e. Interns: Assigned Administrative Officer or Manager

f. Others: Assigned Administrative Officer or Manager

iii. Contractors:

a. Contracting Officer (COTR)

b. Administrative Officer or Manager

3. Step 2: PIV and Non-PIV applicants are to have their fingerprints taken and the results adjudicated prior to starting the PIV issuance process.

i. The fingerprints and initiation of a background check is only valid for 120 days and any fingerprints outside of this window will not be accepted. NOTE: Flash Badge Applicants and Visitors do not require fingerprints or background checks.

ii. Fingerprints are done Monday through Friday 8:00am to 4:30pm at Police Operations Center Room C-119. Applicants must present two forms of valid, unexpired ID.

4. Step 3: After fingerprints have been taken (seven to ten days later) contact HR Personnel Suitability to check if your fingerprints have cleared. Once cleared go to step 4.

5. Step 4: Contact your Sponsor immediately after being informed that your fingerprints have been cleared to have the issuance or reissuance application confirmed.

i. The sponsor will complete or update your application in the PIV

Web Portal.

ii. Verify the data with the applicant.

6. Step 5:

i. Visit the PIV Registrar (Police Operations Center):

a. Must present two (2) forms of official identification of which one must be a government issued photo ID.

b. Complete biometrics and photo. Registrar will send your complete application to the PIV Issuer for the ID Badge to be printed and issued (printing may take as long as 24 hours to complete).

ii. Visit the PIV Issuer (Police Operations Center):

a. Prints and inspects the ID Badge.

b. Codes the approved physical access.

c. Will test the ID Badge and create your unique PIN with the applicant to accept the issued ID Badge.

7. Due to system limitations there is most often a 24 hour lag time between the visits from the registrar to the issuer to print the ID Badge. Typically after the applicant finishes with the registrar, the applicant will see the issuer the following business day or later. For urgent issuing needs this process may be expedited. The registrar and issuer must be informed of the priority request (most often only reserved for those applicants travelling from other sites).

8. Printed ID Badges waiting to be issued to the applicant will be held in the Police Operations Center up to 30 days. Any ID Badge held in the waiting cue and not picked up by the applicant within 30 days of being printed will be terminated and destroyed; the applicant will have to start the process again.

F. Non-Employee Badge Issuance:

1. Patient Visitors: Visitor Badges will be maintained on each patient ward/unit and will be issued to patient visitors. Each ward/unit will maintain a visitor’s record which will be collected by VA Police on a weekly basis. The visitor is required to sign in on the record to be issued a visitors badge, instructed to wear it while in the facility and to sign out prior to departing, returning the visitor badge.

2. Vendors, Salespersons, Contractors or other Business Visitors:

i. These Visitors must be sponsored and escorted while on VA properties by a VA Employee.

a. The Escort must meet and sign in the visitor and return to sign out the visitor at the VA Police Operations Center.

b. Visitors must surrender an official photo ID, sign in on the visitor log, and verify they are not parked in VA Parking lots to be issued a Visitor Badge.

ii. Visitor Badge must be worn at all times while on VA premises.

iii. Vendors and Salespersons are prohibited in conducting business in patient care areas.

iv. Employees will not conduct business with any visitor not wearing a visitor badge and will contact VA Police.

v. These visitors are prohibited in parking in VA parking lots and if found will be cited and the visit terminated, removing them from VA premises. Vehicles may be towed at the owner or vehicle operator’s expense.

a. Parking Exemption.

b. Patient escorts.

c. Vendors involved with specialized direct patient care activities are exempt when verified by the VA employee escort during the time of signing in.

d. Contractors responding to service calls.

e. Contractors inside their controlled construction site designated by Engineering Service.

G. Lost, stolen or misplaced ID badges will be immediately reported to the VA

Police and the responsible sponsor.

1. For PIV badges the Sponsor and Applicant will initiate the re-issuance process for PIV badges.

2. For Visitor Badges the sponsor will initiate re-issuance process with VA

Police Operations.

3. Replacement Costs:

i. Employees, CWT’s and Volunteers are not accessed a replacement fee and are subject to administrative action deemed appropriate by their supervisor.

ii. All other affiliates and contractors will be assessed a replacement cost of $25.00 and will make this payment to the facility Agent Cashier, providing a receipt of payment to the VA Police.

iii. Replacement fee will also be assessed to any affiliate or contractor who does not turn-in to VA Police their ID Badge upon separation or termination of their services at this facility.

iv. Visitors (other than patient visitors) will be assessed a cost of $25.00 for lost or misplaced visitor badges or when that visitor fails to turn in to VA Police their visitor badge after the issued period ends. VA has the authority to issue collection documents to the visitor or agency of employment.

v. ID badges will be replaced without cost when the ID badge fails because of normal wear and tear or other normal abnormality.

H. Clearing through Police Service when the applicant is separated from duty, service or contract: The applicant will visit Police Service Operations to turn in in their ID Badge. Failing to turn in the ID Badge may have fees (costs) or administrative actions applied.

I. ID Badges are government property. The ID badge will not be altered or tampered with. No pins, decals, or any other similar devices will be attached to any part of the ID badge. The person who has been issued an ID Badge is fully responsible for control, custody and proper use.

J. Contingency Plan: A contingency plan will be enacted when the facility is temporarily unable to complete PIV Badge issuance.

1. Any employee or affiliate who is not able to be issued a PIV Badge will be issued a facility picture ID Badge by the VA Police.

2. This badge is temporary until a PIV Badge can be issued.

3. Issuance of this facility picture ID Badge must have background investigation verified prior to issuance.

V. REFERENCES:

A. Homeland Presidential Security Directive (HSPD) 12, Policy for a Common Identification Standard for Federal Employees and Contractors, dated August 27, 2004.

B. Medical Center Memorandum 00-31, Health Care Industry Representatives on VA Premises, dated April 2015.

VI. RESCISSION: Medical Center Memorandum 07B-08, Facility Identification/Visitor

Badges, dated September 2013.

VII. REISSUE: December 2019

APPROVED BY THE EXECUTIVE LEADERSHIP BOARD: December 7, 2016

Vivian T. Hutson, FACHE Medical Center Director

ATTACHMENT

Attachment A: Definitions Attachment B: Badge Types

Attachment A

DEFINITIONS

A. Employee: Individuals who are vested by the VA and part of the VA PAID system and includes (Full Time, Part Time, Intermittent and Fee-Basis).

B. Affiliates: Individuals who are volunteers, students, residents, Interns, Without

Compensation (WOC), CWT, or any other person who has direct role at this this facility or under the supervision or control of the facility but is not considered a VA employee and is not a contractor.

C. Contractors: Individuals who are associated to this facility as part of a contract or a sub-contract.

D. SAC: Special Agency Check (Fingerprint Check).

E. NACI: National Agency Check with written Inquiries.

F. ID Badge: In the contents of this policy means any PIV Badge, Non-PIV Badge, Flash Badge, Visitor Badge or Temporary Badge.

G. PIV BADGE ROLES:

1. Applicant - The individual to whom an ID Badge needs to be issued to.

2. PIV Sponsor - Designated official who substantiates the need for an ID Badge to be issued or re-issued to the Applicant and provides sponsorship to the Applicant. The Sponsor requests the issuance of a PIV Badge through the PIV Web-Base Portal for each Applicant.

3. PIV Registrar - Responsible for verifying the information provided by the Sponsor, serving as approval for the issuance of a PIV Badge; for identity proofing the Applicant and verifying that the appropriate level of the Applicant’s background information is complete; collect the Applicant’s biometrics and forwards the applicant to the PIV Issuer.

4. PIV Issuer - Responsible for verifying the Applicant’s information and the signature of the Sponsor and Registrar, printing PIV Badges, and completing post issuance steps with the Applicant. Issuer must perform Badge Lifecycle Management processes that include, but not limited to: PIV Badge termination, PIV Badge re-issuance and Personal Identification Number (PIN) reset. Must maintain a Smart Badge Inventory Log and provide the required reports to the PIV Program Office.

5. PIN-Resetter: Responsible for re-setting PIV Personal Identification Number (PIN) for applicants who may have forgotten or have a need to re-set their PIN. Each Service/Care Line and all off-site worksite must have at least one person trained and designated in this roll.

6. PIV Badge Issue (PCI) Manager – Responsible for the overall operation of the issuance of PIV Badges and Visitor Badges at all Cincinnati VAMC facilities.

The PCI Manager is responsible for ensuring that the PCI conforms to the requirements of Homeland Security Presidential Directive 12 (HSPD-12) and Federal Information Process Standard 201 (FIPS 201).

7. Facility Privacy Official - Oversees privacy issues at the facility within the identification process.

Attachment B

BADGE TYPES

I. PIV BADGE:

A. Requires unsupervised access to the VA facility more than six months or more than 180 aggregate days in a one year period.

B. Is given unsupervised access to VA facilities/worksites including approved locked, controlled or restricted areas and/or access information systems.

C. Has name and ten point fingerprint check to initiate a Special Agreement Check (SAC) within 120 days before being issued or re-issued the PIV Badge.

D. Has, at minimum, a completed and successful recording of adjudicated Special Agreement Check (SAC) within 120 days before being issued or re-issued the PIV Badge and if required an initiated National Agency Check with Written Inquiries (NACI) or higher background investigation.

E. Must have a VA email account established.

F. Has at minimum a completed identity verification using two forms of government-issued photo ID.

II. NON-PIV BADGE:

A. Requires unsupervised access to the VA less than six months or less than

180 aggregate days in a one year period.

B. Is given unsupervised access to VA facilities/worksites including approved locked, controlled or restricted areas and/or information systems.

C. Has name and ten point fingerprint check to initiate a Special Agreement

Check (SAC) within 120 days before being issued or re-issued the PIV Badge.

D. Has at minimum a completed and successfully adjudicated Special Agreement Check (SAC) within 120 days before being issued the Non-PIV Badge.

E. Must have a VA email account established for those applicants permitted to have logical access but not required when only facility physical access is permitted.

F. Has at minimum a completed identity verification using two forms of

III. FLASH BADGE:

A. Requires supervised access to the VA less than six months or less than 180 aggregate days in a one year period.

B. Is given physical access to only public areas of the facility.

C. Are not permitted physical access to worksites, offices, controlled or restricted areas without being supervised by a VA Employee.

D. Is never permitted access to information systems or records.

E. No fingerprints or background check is required.

F. No VA email account is needed.

G. Has at minimum a completed identity verification using one form of

IV. VISITOR BADGE:

A. Visiting a VA facility less than 14 aggregate days in a one year period.

B. Is given physical access to only public areas of the facility while being escorted by a VA Employee during the entire visit.

C. No physical access is given to any locked, controlled or restricted workspaces/areas and no access is permitted to information systems or records.

D. No fingerprints or background check is required.

E. Has at minimum a completed identity verification using one form of government-issued photo ID and surrenders that ID to VA Police or the escort during the time of the visit.