Attachment 5 SWFT Electronic Fingerprint Guide.pdf

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This document is an Electronic Fingerprint Capture Options guide provided by the Defense Security Service (DSS) to assist cleared companies in the National Industrial Security Program (NISP) with transitioning to electronic fingerprint submission.

The guide outlines five options for companies to submit electronic fingerprints through the Secure Web Fingerprint Transmission (SWFT) system, including purchasing equipment, sharing resources, offering fingerprint services, using a third-party vendor, or partnering with other government entities. It provides details on implementation, handling of personally identifiable information, funding, and technical support. The guide also includes FAQs about the SWFT system and electronic fingerprint submission requirements.

The related federal contract opportunity is an RFQ for Electronic Fingerprinting services issued by the Defense Information Systems Agency (DISA). The contractor shall provide live scan electronic fingerprinting services in accordance with the attached Performance Work Statement.

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Defense Security Service

ElectronicFingerprintCaptureOptions
forIndustry
Version5.0
April2016
IssuingOffice:DefenseSecurityService
RussellKnoxBuilding
27130TelegraphRd
QuanticoVA22134

Electronic Fingerprint Capture Options for Industry

Table of Contents

1.0 Introduction

2.0 Purpose

3.0 Deployment Options

3.1 Option 1: Company Purchases Equipment

3.2 Option 2: Company Shares Resources

3.3 Option 3: Company Offers Service

3.4 Option 4: Third Party Vendor Provides Electronic Fingerprint File

3.5 Option 5: Other Government Entities

4.0 Implementation Plan

5.0 Handling Personally Identifiable Information

6.0 Funding

7.0 Technical Support

Appendix A

Appendix B

Appendix C

Electronic Fingerprint Capture Options for Industry

1.0 Introduction

InamemorandumdatedJuly29,2010,theUnderSecretaryofDefensefor
IntelligenceissuedarequirementforDepartmentofDefense(DoD)componentsto
transitiontoelectroniccaptureandsubmissionoffingerprintimagesinsupportofall
backgroundinvestigationsbyDecember31,2013(eFingerprintmemo).Inaneffort
tocomplywiththismandatetheDefenseSecurityService(DSS)isproviding
guidancetoassistcompaniesparticipatingintheNationalIndustrialSecurity
Program(NISP)totransitiontoelectronicfingerprinting.Additionally,this
transitionwillsupportgoalsestablishedbytheIntelligenceReformandTerrorism
PreventionActof2004andtheimplementationofHomelandSecurityPresidential

Directive12.

EffectiveOctober1,2016,allfingerprintsassociatedwithSON346W
(Industry),mustbesubmittedelectronicallytoOPMorthefingerprintwill
berejected.Thiswillalsoresultintherejectionofanyinvestigationrequestifan
electronicfingerprintisnotreceivedwithin14daysoftheinvestigationrequest
beingreceivedbyOPM.Itisimportantthatallcompaniesimmediatelybegintaking
stepsnecessarytoensuretheyareabletosubmitelectronicfingerprintsviathe
SecureWebFingerprintTransmission(SWFT)nolaterthanSeptember30,2016.A
Newsitem,datedFebruary16,2016ontheDSSwebsitepertainingtothiseffortis
postedtotheDSSWebsite.Forinquiriesassociatedwiththismessage,please
contactaskPSMOI@dss.mil.

2.0 Purpose

Thepurposeofthisdocumentistooutlinetheoptionsavailableforcleared
companieslistedintheIndustrialSecurityFacilitiesDatabase(ISFD)tosubmit
electronicfingerprintfilestotheDefenseManpowerDataCenter(DMDC)for
NationalIndustrialSecurityProgram(NISP)applicants.DMDCprovidestheSecure
WebFingerprintTransmission(SWFT)systemenablingIndustryuserstoupload
electronicfingerprintsanddemographicinformationforapplicantsrequiringa
backgroundinvestigationforapersonnelsecurityclearance.Paperbasedcapture,
submissionandprocessingoffingerprintsarepronetoerrorsandaretime
consumingastheyaremailedtoOPM.TheSWFTsystemeliminatesthemanual
paperprocess(hardcopyfingerprints),expeditestheclearanceprocess,andprovides
endtoendaccountabilityforPersonallyIdentifiableInformation(PII)data.

3.0 Deployment Options

ThefollowingoptionsofferalternativesforIndustrytosubmitfingerprints
electronicallytoinitiatethebackgroundinvestigation.Industrymayimplementone
ormoreoptionsbasedonfunding,missionneedsandgeographiclocations.
Companiesmayacquireelectronicfingerprintcapture/hardcopyscandevicesor

NEW!

Electronic Fingerprint Capture Options for Industry

leveragefingerprintserviceproviders.Allfingerprintcapture/hardcopyscanners
mustbeFBIcertifiedinordertogeneratecompliantelectronicfingerprintrecords.
TheFBIcertifiedproductlistislocatedatthefollowingwebsite:FBIProductList.
ProceduresonhowtoregisterforSWFTarelocatedontheDMDCSWFTHomepage.
ThefingerprintserviceprovidermustbevettedthroughtheSWFT/OPMregistration
processpriortothesubmissionofasubject’sprints.

3.1 Option 1: Company Purchases Equipment

Thisoptionallowscompaniestopurchaseelectronicfingerprint
capture/hardcopyscannersinordertosubmitfingerprintselectronicallyto
SWFT.Industrycompaniesmaypurchaseequipmentandsoftwareusingthe
FBIcertifiedproductlocatedonthefollowingwebsite:FBIProductList.

3.2 Option 2: Company Shares Resources

Thisoptionallowsmultiplecompaniestosharethecostofpurchasingelectronic
fingerprintcapture/hardcopyscandevices.Beyondtheinitialcosts,thisoption
mayrequirearecurringmaintenancefeeforsustainment.IfCompanyAis
submittingonbehalfofCompanyB,Figure2showsthattheowning/servicing
FacilitySecurityOfficer(FSO)doesnothavetobeinvolvedintheactual
submissionofthefingerprintstoSWFT.
Ifcompaniesaresharingresourcesbutsubmittingtheirownelectronic
fingerprintsthentheequipmentandsoftwareshouldsupportmultiplepre
configuredCompanyprofiles.InFigure2atheelectronicfingerprintfileis
providedbacktotheFSOwhowillsubmitthefiletoSWFT.

Updated

Electronic Fingerprint Capture Options for Industry

3.3 Option 3: Company Offers Service

This option allows a cleared company to support other companies in submitting

electronicfingerprintstoSWFT.Companiesprovidingtheservicetoupload
fingerprintstoSWFTmaysubmitallfingerprintfilesundertheirownCAGECode.
However,thefollowingalternativesareavailable:
FullPrivileges on Behalf of Another Company
ClearedcompaniesuploadingtoSWFTonbehalfofanothercompanymust
submitaseparatePersonnelSecuritySystemAccessRequest(PSSAR)to
associatethecompany’sCAGEcodewiththeserviceprovider’sSWFTaccount.

Limited Privileges on Behalf of Another Company Any SWFT account holder can act as a service provider for one or more companies if a “Multiple-Company Uploader” role is indicated on the PSSAR. This allows the service provider to submit electronic fingerprints for another company, but will not permit access to detailed SWFT reports and PII data for any of the serviced companies. Serviced companies must obtain their own SWFT account before the service provider can submit electronic fingerprints.

3.4 Option 4: Third Party Vendor Provides Electronic Fingerprint File

Thisoptionallowsacompanytoreceivetheelectronicfingerprintfilefroma
thirdpartyvendorthatisanFBIapprovedchanneler.Thethirdpartyvendor
collectsthefingerprintsandsavesthefileintherequiredformattomeetSWFT,

Electronic Fingerprint Capture Options for Industry

OPMandFBIstandards.Thevendorprovidestheelectronicfingerprintfileto
thecompanyusingagreeduponfiletransfermethods.Theowning/servicing
FSOuploadsthefiletoSWFT.Thethirdpartyvendormustcoordinatethrough
thesponsoringFSOtoregistertheirequipmentwithSWFTpriortoprocessing
anyNISPapplicants.
Theowning/servicingFSOmayenterintoanagreementwithacleared
companyasdefinedinOption3touploadthethirdpartyvendorcreated
electronicfingerprintfiletoSWFT.Thisprocessallowscompaniesthatsubmit
asmallvolumeoffingerprintsannuallytocomplywiththeelectronic
submissionrequirementwithouthavingtomaintainaSWFTaccount.

3.5 Option 5: Other Government Entities

ThisoptionallowsIndustrytopartnerwiththemilitaryservicesandother
governmentagenciesparticipatingintheNISP(seeAppendixC)forelectronic
fingerprintsubmissions.Militaryservicesandgovernmentagenciesmay
leveragetheirelectronicprocessestosubmitdirectlytoOPM.Agencies
capturingIndustrycontractorfingerprintsundertheNISPmustusetheDSS
SubmittingOfficeNumber(SON):346W,SecurityOfficeIdentifier(SOI):DD03
andtheIntraGovernmentalPaymentandCollection(IPAC):DSSINDtosubmit
electronicfingerprintsthroughagovernmententity.OPMwillmatchthe
fingerprintresultstotheSF86submissiontoinitiatetheinvestigationbyusing
thesubject’ssocialsecuritynumber.
Note:Atthistime,DSSdoesnotmanagealistofpointsofcontactforthese
agenciesnorcanDSSenforcetheirparticipation.Theseagenciesoperate
fingerprintcaptureandsubmissionservicesattheirowndiscretion.Shouldyou
havedifficultyworkingwithanearbyagency,pleaserevisitOptions3and4.

4.0 Implementation Plan

Companiesmayemploymultipleoptionsdependingonhowwidespreadtheir
clearedpopulationis,aswellasotherfactorsthatmayapplytotheirorganization.A
SWFTaccountmaybenecessaryandFSOsshouldreviewtheSWFTAccess,
Registration,andTestingProceduresdocumenttoobtaininformationongaining

Electronic Fingerprint Capture Options for Industry

accesstoSWFTandregisteringequipment,ifrequired.SinceOption5allows
fingerprintstobeelectronicallysubmitteddirectlyfromagovernmentagencyto
OPM,SWFTwillnottrackthesesubmissions.

5.0 Handling Personally Identifiable Information (PII)

SafeguardingPIIistheresponsibilityofeveryFederalagencyandallusersofFederal
informationandinformationsystems.AsauserofDoDinformationsystems,
regardlessofwhethertheyaremilitary,civilian,oracontractorpersonnel,theyare
responsibleforprotectingPIIfromunauthorizeduseordisclosure,asrequiredby
FederallawsandDoDregulations.InordertosupportauthorizedPIIdatasharing,
DSSrecommendsthefollowing:
1. Companies/vendorsthatwishtoprovidefingerprintservicestoother
companiesenterintoaserviceagreementwitheachother,allowingthe
serviceprovidertohavetheirSWFTaccountassociatedwiththeother
company’sCAGECode.
2. Intheabsenceofaserviceagreement,eachrequestforaddingaCAGE
CodetoanexistingSWFTaccountwillrequireaseparatePersonnel
SecuritySystemAccessRequest(PSSAR)validatedbythecorporate
officialorKeyManagementPersonnel(KMP)ofthecompanythatis
seekingthefingerprintservicesfromtheprovider.

6.0 Funding

SWFTisafullyoperationalsystemthatisfunded,managedandoperatedbyDMDC.
Themajorfundingissueforclearedcontractorsimplementingelectronic
fingerprintingisthetotalcostofownershipofhardwarethatisneededtoproduce
theelectronicfingerprints.Itisrecommendedthatthecompanyevaluateacquisition
andoperatingcostswhendeterminingwhichoptionsbestsuitthecompany’s
organizationalneeds.Itisalsolikelythatcompanieswillseektoaddanycosts
associatedwithnewGovernmentimposedsecurityrequirementstotheircontract
pricesasanequitableadjustment.

7.0 Technical Support

TheDMDCSWFTteamprovidessupportforregisteringequipment,coordinatingtest
activities,andassistingwithdatadiscrepancyresolution.AllotherSWFTinquiries
shouldberoutedthroughtheDMDCContactCenterortelephone(800)4675526.
TheSWFTSupportTeamdoesnotprovidetechnicalassistanceforhardwaredevices;
theequipmentsupplierorhardwaremanufacturermustprovidethistypeofsupport.

Electronic Fingerprint Capture Options for Industry

ASWFTconfigurationguideisavailabletoregisteredusersoncetheyaccessthe
SWFTsystemanddownloaditfromtheHelpmenu.

Electronic Fingerprint Capture Options for Industry

Appendix A

Frequently Asked Questions

QUESTIONSANDANSWERS:Thefollowingquestionsandanswersareinresponseto
queriesoranticipatedqueriesregardingtherequirementtotransitiontoelectronic
fingerprintsubmissionforpersonnelsecurityinvestigations:

Q: Why is this change (electronic submission of fingerprints) being mandated?

A:Manuallycapturingandsubmittingfingerprintsistimeconsumingandpronetoerrors.
Theintentistoutilizeautomatedelectronicfingerprintdevicestodecreasecapture,
submission,andprocessingtime.Additionally,thistransitionwillsupportgoalsestablished
bytheIntelligenceReformandTerrorismPreventionActof2004andtheimplementationof
HomelandSecurityPresidentialDirective12.

Q: How can a cleared company know what specific equipment to purchase?

A:TheFBImaintainsalistofproductscertifiedastestedandcompliantwiththeFBI'sNext
GenerationIdentification(NGI)initiativesandIntegratedAutomatedFingerprint
IdentificationSystem(IAFIS)ImageQualitySpecifications(IQS).TheFBICriminalJustice
InformationServicesDivisionBiometricServicesSection,aspartofBiometricCenterof
Excellence,certifiestheseproducts.

Q: What is SWFT?

A:TheSecureWebFingerprintTransmission(SWFT)programenablesclearedDefense
Industryuserstosubmitelectronicfingerprints(efingerprints)anddemographic
informationforapplicantswhorequireaninvestigationbytheOfficeofPersonnel
Management(OPM)forapersonnelsecurityclearance.Clearedcontractorscollectand
securelytransmitefingerprintstoSWFTforsubsequentreleasetoOPMbasedonaJPAS/e
QIPsubmissionapprovedbythePersonnelSecurityManagementOfficeforIndustry(PSMO
I).Paperbasedcapture,submissionandprocessingoffingerprintswastimeconsumingand
pronetoerrors.SWFTeliminatesthemanualpaperprocess,expeditestheclearance
process,andprovidesendtoendaccountabilityforPIIdata.

Q: Why use SWFT?

A:OPMisthepersonnelsecurityinvestigativeserviceproviderforDoDandchannelsthe
fingerprintstotheFBIinordertoreceivetheresultsfromtherecordandnamechecksin
conjunctionwithbackgroundinvestigations.SWFTwasdevelopedtoprovideIndustrywith
astreamlinedprocessandtraceabilityofelectronicfingerprintsubmissions.

Electronic Fingerprint Capture Options for Industry

Q:Sincethedeadlinehaspassed,canaclearedfacilitystilltransitiontosubmitting
electronicfingerprintsthroughSWFT?
A:AnyclearedfacilitycanbeginthetransitiontoSWFTassoonastheyarereadyusingany
oftheoptionslistedinSection3.0.SWFTisafullyoperational,PKIenabledsystemthatis
funded,managedandoperatedbyDefenseManpowerDataCenter(DMDC).

Q: When should we submit the electronic fingerprint file through SWFT?

A:ItisrecommendedthattheelectronicfingerprintfilebesubmittedthroughSWFT
immediatelyaftertheeQIPhasbeenreleasedtothePSMOI.

Q: Do we need to provide the eQIP number on the electronic fingerprint submission?

A:ItisnotnecessarytoassociatetheeQIPnumberwiththeelectronicfingerprintfile.In
fact,thereisnofieldtoenterthatdata.
Q:OncewesubmittheelectronicfingerprintfilethroughSWFT,whenshouldwedelete
thefilefromoursystem?
A:CompaniesmayholdtheelectronicfileuntiltheFBIresultsarepostedinJPASasspecial
agreementcheck(SAC)or120days.
Q:Doesaclearedfacilityneedtoownandoperatefingerprintscanningdevicesinorder
tobeabletouseSWFT?
A:Owningoroperatingscanningdevicesisnotnecessary.Anyclearedfacilitycanobtaina
SWFTaccount.

FSO collects eFP

FSO uploads eFP to SWFT

SWFT

forwards eFP to OPM

OPM

forwards eFP to FBI

FBI returns FP results to OPM

OPM

schedules investigation

FSO submits e-QIP to

PSMO-I

Subject releases e- QIP to FSO

Figure 5- eFingerprint Process Flow

Electronic Fingerprint Capture Options for Industry

Q:Arethereanyspecialconsiderationsfornewlysponsoredfacilitiesthatare
interestedinOption3?
A:ItisimportantthattheinprocessfacilityconfirmstheexistenceofaSWFTaccountwith
thechosenserviceproviderasthenewfacilitywillnotbeimmediatelyeligiblefortheirown
account.Withthatbeingsaid,ifneithertheinprocessfacilitynorthechosenservice
providerhaveanactiveSWFTaccount,theinprocessfacilitywillneedtoselectanother

option.

Q: What are the challenges?

A:TheUSDImemorandumdatedJuly29,2010mandatedthatfingerprintsmustbe
submittedelectronicallyforallbackgroundinvestigationsbyDecember2013.Resource
issuescoulddelaydeploymentofOptions1and2,whichmayincludeavailabilityof
equipment,registrationprocessing,machinetesting,andusertraining.
Q:Ourcompanyhasbeenassignedover10differentCAGECodes,buthasonlytwo
centralprocessingstationsinseparatelocations.Whichoptionisoptimalforour
company,andhowwilltheprocessactuallywork?
A:Therearetwowaysacentralprocessingstationcanbeengagedinprocessingand
submittingeFingerprintstoSWFT:
1. Thecompanyoreachprocessingstationcansubmitallofitsfingerprintsundera
singleCAGECode.Thiswill,however,preventyoufrombeingabletotrackand
reportthefingerprinttransactionsseparatelyforeachCAGECodeifneeded.
2. Theoptimalapproachistorequesttheenablingof“MultipleCompanyUploader”
SWFTroleforyourprocessingstations.Thiswillalloweachprocessingstationto
uploadefingerprintsforanyofthetenCAGECodesandtorunreportson
transactionsbyCAGECode.UsersofeachCAGECodemustmaintaintheirownSWFT

account.

Q:SWFTsupportsmultipleCAGECodes,butthevendorwhosupportsourfingerprint
scanneradvisedusthattheyhaveyettointegratemultipleCAGECodesintheir
software.HowcanourFSOuploadeFingerprintsformultipleCAGECodes?
A:Ifyouarenotgoingtosubmitunderthe“MultipleCompanyUploader”role,youcan
processallsubmissionsunderoneCAGECode.
Q:MycompanyisaThirdPartyVendorwhosefingerprintscannersarebeingsponsored
forusewithSWFTbyaclearedDODcontractor.WillIhavetoreregisterthesame
equipmenteachtimeweofferservicestoanotherNISPcontractor?
A:Fingerprintscanningworkstationsorserverbasedscanningsystemsdonothavetobe
reregisteredorretestedbeforebeingabletoserviceotherclientcompanies.Provideyour

Electronic Fingerprint Capture Options for Industry

customerswiththemanufacturerandserialnumberofyourscanners,yourCAGECode,or
theCAGECodeofthecompanythatsponsoredtheregistrationofyourdevicessothatyour
customerscanverifyinSWFTthatyourequipmenthasbeenregisteredandapprovedfor
use.However,anychangetoyoursystemthatcouldaffectthequalityorcontentsof
electronicfingerprintfiles(e.g.,softwarepatchesorupgrade,hardwarereplacement,etc.)
requirestheequipment’sretest.

Electronic Fingerprint Capture Options for Industry

Appendix B

References

USD(I)memo,DoDTransitiontoElectronicFingerprintCaptureandSubmissionin
SupportofBackgroundInvestigations,datedJuly29,2010:eFingerprintmemo

Secure Web Fingerprint Transmission (SWFT) Program:

o DMDCSWFTHomepage
o SWFTCoordinatorEmail:dmdc.swft@mail.mil
o Registration,AccessandTestingProcedures
o AdditionalSWFTFAQs
o PSSARInstructions&Sample
o SWFTApprovedVendorList

FBI Approved List:

FBIProductList
FBIApprovedChannelerList:

o FBI Approved Channelers

DMDCContactCenter
o CustomerServiceHours:6:00AM–8:00PMEST,MondaythroughFriday
(excludingfederalholidays)
o TollFreeTelephone:(800)4675526
o Email:dmdc.contactcenter@mail.mil
o DSN:(312)9839580
o FAX:(502)6131096

DSS Knowledge Center o (888) 2827682 dss.quantico.dsshq.mbx.knowledgecenter@mail.mil

DSS PSMOI

o AskPSMOI@dss.mil

When submitting eFPs use:

o SOI:DD03
o SON:346W
o IPAC:DSSIND

Updated

Electronic Fingerprint Capture Options for Industry

Appendix C

TheSecretaryofDefensehasenteredintoagreementswiththedepartmentsandagencies
listedbelowforthepurposeofrenderingindustrialsecurityservices:

1. Department of Agriculture

2. Department of Commerce

3. Department of Education

4. Department of Health and Human Services

5. Department of Homeland Security

6. Department of Justice

7. Department of Labor

8. Department of State

9. Department of Interior

10. Department of Transportation

11. Department of Treasury

12. Environmental Protection Agency

13. Federal Communications Commission

14. Federal Reserve System

15. General Services Administration

16. Government Accountability Office

17. National Aeronautics and Space Administration

18. National Archives and Records Administration

19. National Science Foundation

20. Nuclear Regulatory Commission

21. Office of Personnel Management

22. Overseas Private Investment Corporation

23. Small Business Administration

24. United States Agency for International Development

25. United States International Trade Commission

26. United States Trade Representative

27. United States Postal Service NEW!

File details come from the government source that posted it. Updated .