ATTACHMENT J.pdf

DOL Policy for PIV Card Issuance to New Federal Employees and Contractors

Table of Contents

A. Purpose B. Background

Homeland Security Presidential Directive (HSPD) 12 Federal Information Processing Standards Publication (FIPS) 201 Office of Management and Budget Memorandum M-05-24

C. Coverage D. Definitions

Applicant Contractor Employee Federal Employee Federally Controlled Facilities Federally Controlled Information Systems Issuer Others Personal Identity Verification (PIV) Card PIV Folder PIV Package PIV Processor PIV Requesting Official (Sponsor)

E. Roles and Responsibilities — For Processing Federal Employees Applicant Servicing Human Resource Office (HRO) PIV Requesting Official or Designee PIV Processor Office of Executive Resources and Personnel Security Registrar Issuer

F. Roles and Responsibilities — For Processing Contractors Applicant Firm Holding a DOL Contract Servicing Human Resource Office (HRO) PIV Requesting Official (COTR/Contracting Officer) PIV Processor Office of Executive Resources and Personnel Security Registrar Issuer

G. PIV Card Processing H. PIV Card Use I. Approval of PIV Card Issuance J. PIV Card Replacement

Lost or Stolen Card Expired Card Damaged Card Employment Status/Attributes Change (Name change, agency change, federal-to-contractor, contractor-to-federal) K. PIV Process for Separating Federal and Contractor Employees L. Requesting the Appropriate Background Investigation

Attachments

A. Purpose

Each Federal agency is required to develop a program to ensure that all employees and contractor employees who require access to DOL facilities and information systems are issued Personal Identity Verification (PIV) cards that satisfy the standard issued by the National Institute of Standards and Technology (NIST), Department of Commerce. These instructions describe the Department's process for implementation of Part I (PIV-I) of the NIST standard for new Federal employees and contractor employees.

B. Background

1. Homeland Security Presidential Directive (HSPD) 12, Policy for a Common Identification Standard for Federal Employees and Contractors, dated August 27, 2004. This document establishes the requirement for the development and agency implementation of a mandatory, government-wide standard for secure and reliable forms of identification for Federal employees and contractors.

2. Federal Information Processing Standards Publication (FIPS) 201, Personal Identity Verification (PIV) of Federal Employees and Contractors, published by NIST, dated February 25, 2005. This document describes the standard for identification credentials issued by Federal agencies to Federal employees and contractors under HSPD-12. The PIV standard consists of two parts: PIV-I describes the minimum requirements for a Federal agency identification system that meets the control and security objectives of HSPD-12, including the personal identity proofing, registration, and issuance. PIV-II provides detailed technical specifications of components and processes required for interoperability of PIV cards with the personal authentication, access control, and PIV card management systems across the Federal government.

3. Office of Management and Budget Memorandum M-05-24, Implementation of Homeland Security Presidential Directive (HSPD) 12 — Policy for a Common Identification Standard for Federal Employees and Contractors, dated August 5, 2005. This document provides guidance to Federal agencies on the implementation of HSPD-12 using the FIPS 201 standard.

C. Coverage

This process applies to all new Federal employees and contractors who begin work with the Department on or after October 27, 2005. DOL will issue guidance regarding current Federal employees and contractors at a future date. Current Federal employees transferring to the Department from another Federal agency are considered new Federal employees and are covered by this policy.

D. Definitions

Applicant

An individual for whom a PIV card is being requested.

Contractor Employee

An individual under contract to the Department who requires routine access to Federally controlled facilities and/or Federally controlled information systems and to whom the Department would issue an identity card, consistent with its existing security policies.

Does not apply to individuals under contract to a department or agency, requiring only intermittent access to federally controlled facilities.

Federal Employee

A Federal employee working for the Department who requires routine access to Federally controlled facilities and/or Federally controlled information systems and to whom the Department would issue agency identity credentials, consistent with its existing security policies. This also includes employees from non- Federal organizations who are working for the Department under the Intergovernmental Personnel Act.

Federally Controlled Facilities

These include the following:

Federally-owned buildings or leased space, whether for single or multi-tenant occupancy, and its grounds and approaches, all or any portion of which is under the jurisdiction, custody or control of the Department.

Federally controlled commercial space shared with non-government tenants. For example, if the Department leased the 10th floor of a commercial building, only the 10th floor would be a Federally controlled facility.

Government-owned contractor-operated facilities.

Facilities under a management and operating contract, such as for the operation, maintenance, or support of a Government-owned or-controlled research, development, special production, or testing establishment.

Federally Controlled Information Systems

These include the following:

Information technology systems (or information systems), as defined by the Federal Information Security Management Act of 2002 (44 U.S.C. § 3502(8)).

Information systems used or operated by an agency or by a contractor of an agency or other organization on behalf of an agency (44 U.S.C. § 3544(a) (1) (A)).

Applicability for access to Federal systems from a non-Federally controlled facility (e.g., a researcher up-loading data through a secure website or a contractor accessing a government system from their own facility) should be based on the risk determination required by existing National Institute of Standards and Technology (NIST) guidance.

Note: Any identification associated with national security systems as defined by the Federal Information Security Management Act of 2002 (44 U.S.C. § 3542(2) (A)) is excluded.

Issuer

This is the individual (s) who adds the applicant's information into the DOL ID database and/or physically produces and issues the PIV Card. The Issuer may revoke the PIV card if requested by the Registrar due to unsatisfactory background investigation.

Others

Guest researchers, volunteers, and occasional visitors to facilities to whom the Department may issue a temporary identification.

Personal Identity Verification (PIV) Card

Each DOL PIV card is printed on a color-coded 2 ½ x 3 ½ white polyvinyl chloride (PVC) card with: United States Department of Labor, a picture of the bearer on the right with an unobstructed background, the DOL litho printed seal on the left, a 2 or 3 letter abbreviation representing the region they work in (or near), an PIV number, the bearer's name, DOL agency and the expiration date. The Applicant's photograph is a one-inch by one-inch color photograph clearly showing the Applicant's face. (See Attachment #7.) The PIV card is laminated with an official DOL seal hologram overlay. Located on the back of each card is: "This card is the property of the U.S. Government and its counterfeiting, alteration or misuse is a violation of Section 499, Title 18 U.S. Code. If found, drop in mailbox. Postmaster, postage guaranteed. Return to:

U.S. Department of Labor, Washington, D.C. 20210." The language on the back of DOL PIV cards may be different for those facilities with an electronic access control system. The color codes are as follows:

Blue: Issued to all DOL employees. Permits full access to DOL properties.

Red: Issued to DOL contractors, with limited access to DOL properties. The word "Contractor" appears after the DOL agency name.

Green: Issued to DOL contractors, with full access to DOL properties. The word "Contractor" appears on the card after the DOL agency name.

PIV Folder

The PIV Folder is used to document the completion of activities necessary for the issuance of an Applicant's PIV Card and into which to file original and photo static copies of PIV Card processing documents, as appropriate. The PIV Folder contains sensitive personal information and must be maintained in accordance with the Privacy Act. Documents to be filed in the PIV Folder include, but are not limited to:

PIV Processing Checklist. (See Attachment #1.) Instructions for completion of the actions on the Checklist are found on Attachment #8.

Applicant's current photograph, which the Applicant presented at PIV Processing. It must be a color photograph that is at least 2 inches by 2 inches in size (i.e., passport size). Also, this photograph may be copied to create a photograph for the PIV card. However, the Applicant's original photograph must remain in the PIV Folder.

Photo static copy of the Form I-9, Employment Eligibility Verification, with photo static copies of the documents used for identity verification attached. (A copy of the Form I-9 can be obtained online.

Photo static copies of background investigation forms (i.e., Standard Forms (SF) 85, 85P, or 86) and the Security Clearance Record (DL Form 1-189).

Original Fingerprint Card (SF 87, revised 4-84) for Federal employees and FD-258 (revised 12-29-

82) for Contractors, until transmitted as part of the security investigative package sent to OPM when a photo static copy of the Fingerprint Card will be made.

Request for PIV Card Issuance (Attachment #3).

Remote Location Receipt for Issuance of PIV Card (Attachment #4).

Note: The PIV Folder and associated documents will remain in the secure possession of the PIV Processor, Registrar, or Issuer at all times; at no time will the Applicant be given access to his/her PIV Folder.

PIV Package

This is the package of documents that must be completed and/or brought by the Applicant to his or her PIV Processing/Entrance on Duty and consists of:

Two (2) forms of identification in original form at least one of which must be a valid State or Federal government-issued picture identification (ID) as listed on the Form I-9, Employment Eligibility Verification.

A copy of the Form I-9 can be obtained online.

The completed background investigation form, i.e., SF 85, 85P or 86, as appropriate. (See Attachment #6 for guidance on determining the appropriate form.); and

A current, color photograph of the Applicant that is at least 2 inches by 2 inches in size. (Note: The photograph will not be returned to him or her.)

PIV Processor

This is the individual (Federal employee) that escorts the Applicant during PIV processing and maintains the chain of custody and security of the PIV Folder until transferred to the Registrar. In National and Regional Offices, the default PIV Processor, unless otherwise designated by the PIV Requesting Official, will be a staff person within the servicing Human Resources Office.

PIV Requesting Official (Sponsor)

The management official(s) designated within an agency with the authority to request the issuance of a PIV card.

Registrar

This is the individual(s) in the servicing Human Resources Office designated to approve the issuance of an Applicant's PIV card.

Temporary Federal Employees.

Individuals on appointments that are short-term (less than 6 months), intermittent, or seasonal to whom the Department would issue a temporary identification.

E. Roles and Responsibilities — For Processing Federal Employees

The roles of Applicant, Requesting Official (Sponsor), Registrar and Issuer must be filled by four different people.

Applicant

Physically report for PIV Processing.

Provide two (2) forms of identification in original form at PIV Processing at least one of which must be a valid State or Federal government-issued picture identification (ID) as listed on the Form I-9, Employment Eligibility Verification. A copy of the Form I-9 can be obtained online.

Report to PIV Processing with the completed SF 85, 85P or 86. (See Attachment #6.)

Provide an original, current photograph of himself or herself. (This photograph will not be returned to the Applicant.)

Servicing Human Resource Office (HRO)

Appoint at least one Registrar.

Prepare the PIV Folder.

Coordinate with the Applicant's employing Agency to identify position risk and sensitivity.

Provide instructions in the Applicant's Entry on Duty (EOD) Notification Letter about the documents to bring to EOD. (See Attachment #2.).

Submit the Applicant's background investigation forms (SF 85, 85P, or 86; and fingerprint chart) to the Office of Personnel Management (OPM). If the Applicant indicates that he or she previously had a NACI or other background investigation, request the Office of Executive Resources and Personnel Security to verify with OPM. A previous NACI or more extensive investigation with favorable results satisfies the investigation requirement.

Provide a copy of the DL Form 1-189, which documents successful completion of the background investigation requirement, to the PIV Card Issuer.

PIV Requesting Official or Designee

Initiate Request for PIV Card Issuance, Part 1. (See Attachment #3.)

Designate a PIV Processor (in the National and Regional Offices, the default PIV Processor will be a designated staff person within the servicing Human Resources Office).

PIV Processor

Escort the Applicant to complete fingerprinting and document verification.

Ensure all PIV processing activities are completed.

Maintain the chain of custody and secure the PIV Folder until transferred to the Registrar.

Office of Executive Resources and Personnel Security

Notify the servicing Human Resource Office when the successful FBI Fingerprint Report, National Agency Check (NAC), and final investigation results have been completed.

Registrar

Verify that PIV identity proofing has been completed.

Verify successful completion of background investigation.

Maintain and secure the PIV Folder until it is transferred to the Issuer.

Enter data into the PIV Card database when applicable.

Issuer

Appoint a person to add the applicant's information into the DOL ID database.

Verify that the Request for PIV Card Issuance (Attachment #3) has been completed by an authorized Registrar and Requester.

Verify the identity of the Applicant prior to card issuance.

Issue a PIV card to the Applicant upon receipt of authorization from the Registrar and obtain the

Applicant's signature documenting his or her receipt of the PIV card. The Applicant will sign either Part 5 of the Request for PIV Card Issuance (Attachment #3) or Part 2 of the Remote Location Receipt for Issuance of PIV Card (Attachment #4), as appropriate.

Notify the Registrar and PIV Requesting Official of PIV card issuance.

Document issuance of the PIV card to the Applicant.

Maintain and secure the PIV Folder.

F. Roles and Responsibilities — For Processing Contractors

The roles of Applicant, Requesting Official (Sponsor), Registrar and Issuer must be filled by four different people.

Applicant

Physically report as directed by the COTR, to the COTR or the COTR's designated PIV Processor, for PIV Processing.

Provide two (2) forms of identification in original form at least one of which must be a valid State or Federal government-issued picture identification (ID) as listed on the Form I-9, Employment Eligibility Verification (a copy of the Form I-9 can be obtained online.), completed SF 85, 85P or 86 (as appropriate), and an original current photograph (which will not be returned) at PIV processing.

Firm Holding a DOL Contract

Notify the COTR that the Firm is proposing a new employee requiring a PIV Card.

Ensure that the Applicant brings a complete PIV package to PIV Processing.

Servicing Human Resource Office (HRO)

Appoint at least one Registrar.

Prepare the PIV Folder.

Submit the Applicant's background investigation forms (SF 85, 85P, or 86; and fingerprint chart) to the Office of Personnel Management (OPM). If the Applicant indicates that he or she previously had a NACI or other background investigation, request the Office of Executive Resources and Personnel Security to verify with OPM. A previous NACI or more extensive investigation with favorable results satisfies the investigation requirement.

Provide a copy of the DL Form 1-189, which documents successful completion of the background investigation requirement, to the PIV Card Issuer and the COTR.

PIV Requesting Official (COTR/Contracting Officer)

Initiate Request for PIV Card Issuance, Part 1. (Attachment #3) Identify position risk and/or sensitivity of the Applicant's position.

Designate a PIV Processor (in the National and Regional Offices, the default PIV Processor will be the COTR).

Separate guidance for COTR's and Contracting Officers will be provided by the DOL Procurement

Executive.

PIV Processor

Escort the Applicant to complete fingerprinting and document verification.

Ensure all PIV Processing activities are completed.

Maintain the chain of custody and secure the PIV Folder until transferred to the Registrar.

Office of Executive Resources and Personnel Security

Notify the servicing Human Resource Office when the successful FBI Fingerprint Report, NAC, and final investigation results have been completed.

Registrar

Verify that PIV identity proofing has been completed.

Verify completion of background investigation.

Notify the COTR of final background investigation results.

Maintain and secure the PIV Folder until it is transferred to the Issuer.

Enter data into the PIV Card database when applicable.

Issuer

Appoint a person to add the applicant's information into the DOL ID database.

Verify that the Request for PIV Card Issuance (Attachment #3) has been completed by an authorized Registrar and PIV Requesting Official.

Verify the identity of the Applicant prior to card issuance.

Issue a PIV Card upon receipt of authorization from the Registrar.

Notify the Registrar and PIV Requesting Official of PIV Card issuance.

Document issuance of the PIV Card to the Applicant.

Maintain and secure the PIV Folder.

G. PIV Card Processing

The PIV Processing Checklist will be used for all PIV Card processing activities.

The photograph provided by the Applicant, located in the PIV Folder, will be used to verify the

Applicant's identity at the start of each Activity.

Alternative resources, e.g., local law enforcement agency or Federal agency, may be used to complete the PIV Fingerprint Card activity. If an alternative resource is used, the PIV Processor must physically escort the Applicant to the location where the fingerprinting will occur.

PIV Processing Activities may be completed prior to the actual PIV processing date.

The PIV Folder and associated documents will remain in the secure possession of the PIV

Processor, Registrar, or Issuer at all times; at no time will the Applicant be given access to his or her PIV Folder.

Each Departmental agency will provide a list of authorized Requesting Officials to their servicing Human resources Office.

H. PIV Card Use

The DOL PIV card is to be used to gain access to Department of Labor facilities and/or information systems. It may be used as identification to gain access to other federal buildings and/or information systems while the bearer is on official business.

I. Approval of PIV Card Issuance

The Registrar will approve the issuance of a PIV card to the Applicant once both the identity proofing and background investigation requirements are successfully completed. The documents required for identity proofing are described above in the Applicant's Roles and Responsibilities. The background investigation requirement is satisfied when:

1. The National Agency Check and Inquiries NACI) or other appropriate background investigation is initiated (i.e., the completed investigation forms have been sent to OPM); and

2. One of the following successful investigation results occurs:

Favorable results are received on the NACI or other investigation; or Favorable results are received on the National Agency Check (NAC) portion of the background investigation; or If the NAC results are not received within 5 days after the initiation of the background investigation, and favorable results are received on the FBI National Criminal History Check (i.e., the fingerprint check) .

A previously completed NACI or other background investigation at least comparable to a NACI, for which there were favorable results, satisfies this investigation requirement.

J. PIV Card Replacement

Lost or Stolen Card

The Applicant must submit a request for a new card to the PIV Requesting Official explaining the date and circumstances involving loss of the PIV card as soon as possible. The PIV Requesting Official will submit the Applicant's request and the Request for PIV Card Issuance, Part 1, to the Issuer who will verify all identity proofing documents are in the Applicant's PIV Folder and reissue a replacement PIV card.

Expired Card

The PIV card expires 5 years after the date of issuance for Federal employees and I year for contractors.

The Applicant must apply for renewal no more than 6 weeks prior to expiration date. The PIV Requesting Official will submit the Applicant's request and the Request for PIV Card Issuance, Part 1, to the Registrar who will follow the established identity proofing procedures described in this policy. However, the Applicant does not have to undergo another background investigation, unless otherwise subject to reinvestigation (e.g., reinvestigation is required for a security clearance).

Damaged Card

The Issuing Office will exchange a damaged DOL PIV card without written notice from the Registrar.

Employment Status/Attributes Change (Name change, agency change, federal-to-contractor, contractor-to-federal):

The Applicant must submit a request for a new card to the PIV Requesting Official explaining the reasons for the request as soon as possible. The PIV Requesting Official will submit the Applicant's request and the Request for PIV Card Issuance, Part 1, to the Registrar who will follow established procedures.

K. PIV Process for Separating Federal and Contractor Employees

All DOL Federal and contractor employees must relinquish their PIV cards upon separation or any circumstances (e.g., transfer or reassignment) under which the continued possession or use of the card is inappropriate.

The Federal employee's supervisor or the COTR/Contract Officer must ensure that the employee's PIV Card is collected. The supervisor or COTR/Contract Officer will document the collection of the PIV card on item 1n of DL Form 1-107, Separation Clearance (Attachment #5).

The Federal employee's supervisor or the COTR/Contract Officer must return the separating employee's PIV card to the Issuer.

The Issuer will notify the Registrar and the employee's former Requesting Official of the returned PIV card.

L. Requesting the Appropriate Background Investigation

Attachment #6 contains guidance for determining the appropriate background investigation to initiate on an Applicant, based on the position risk and/or sensitivity level. This attachment also explains how to request that OPM provide results on the fingerprint check and NAC portions of the background immediately, rather than when the entire investigation has been completed.

Attachments

Servicing HRO or PIV Processor: Actions to be completed:

1. Create a PIV Folder

2. Obtain the Request for PIV Card Issuance and verify that Part 1 is completed and signed by an authorized Requesting Official

3. Attach the Request for PIV Card Issuance to the PIV Folder

Completed By: _______________________________________________________

(Printed Name, Signature and Date)

PIV Processor: Actions to be completed:

4. Obtain a photo of the Applicant and verify it is a recognizable likeness of the Applicant

5. Attach the Applicant's photo to the PIV Folder

6. Verify the Applicant's identity using 2 forms of ID listed on Form I-9, Employment Eligibility Verification, one of which is a government-issued picture ID

7. Make photo static copies of identity verification documents and attach to the Form I-9

8. Attach a copy of the completed Form I-9 to the PIV Folder

9. Obtain the Applicant's fingerprints using an SF 87 for Federal employees or an FD-258 for Contractor Employees

10. Obtain the Applicant's completed background investigation form (SF 85, SF 85P, or SF 86) and have the Applicant sign the certification on the investigation form and the appropriate Authorization for Release of Information forms

11. Attach the original Fingerprint Card to the completed background investigation forms and attach to the PIV Folder

12. Make a photo static copy of the Fingerprint card and the investigation questionnaire and place them in the PIV Folder

13. Transfer the PIV Folder to the designated Registrar

Completed By: _______________________________________________________

(Printed Name, Signature and Date)

Registrar: Actions to be completed:

14. Take custody of the PIV Folder from the PIV Processor, inventory its contents, and ensure that it is complete and that the authorized Requesting Official completed and signed Part 1, Request for PIV Card Issuance

15. Send completed background investigation forms and the original Fingerprint Card to OPM

16. Obtain notification of successful FBI Fingerprint Check or NAC

17. Complete Part 2, Request for PIV Card Issuance, and attach to the PIV Folder

18. Notify Issuer, Requesting Official, and PIV Processor of approval

19. Transfer the PIV Folder to the Issuer

Completed By: _______________________________________________________

(Printed Name, Signature and Date)

Issuer: Actions to be completed:

20. Take custody of the PIV Folder from the Registrar, inventory its contents, ensure that it is complete, verify that Parts 1 and 2, Request for PIV Card Issuance, have been completed and signed by the respective Requesting Official and Registrar, and complete Part 3.

21. Enter Applicant's information into the DOL ID database.

Completed By: _______________________________________________________

(Printed Name, Signature and Date)

Issuer: Actions to be completed in the presence of the Applicant:

22. Verify Applicant's identity using the photo attached to the PIV Folder and the Form I-9 with the two attached IDs

23. Issue the PIV Card

24. Obtain Applicant's signature on the Request for PIV Card Issuance, Part 5, or Remote Location Receipt for Issuance of PIV Card, Part 2

Completed By: _______________________________________________________

(Printed Name, Signature and Date)

The statement below should be included in the current EOD Notification Letter:

You must also bring a current color photograph of yourself that is at least 2 inches by 2 inches in size to your EOD processing appointment. The photograph must reflect your physical appearance on the day of your EOD processing, e.g., a photograph with a beard and moustache would not be acceptable if you are clean-shaven when you report. The photograph will not be returned to you.

You are required to provide two (2) forms of identification in original form at your EOD processing appointment. At least one of these documents must be a valid State or Federal government-issued picture identification (ID).

Failure to bring the required documents may result in your being re-scheduled for EOD processing at the next available EOD date. EOD processing is scheduled every two weeks on the first workday of a pay period.

Request for PIV Card Issuance

Part 1: To be completed by the PIV Requesting Official New

Please issue a Personal Identification Card (PIV) for the Applicant listed below:

Replacement

Section A — For Federal Employees and Contractor Personnel:

Duty Status

Federal Permanent Contractor Permanent

Federal Temporary Contractor Temporary

NTE ___________ NTE ___________

Access Requirement

Federally Controlled Facilities Federally Controlled Information Systems Both

Personal Information

Name: EOD Date:

Home Address: Social Security Number:

Home Phone Number: Home E-mail Address:

Duty Information

DOL Organization:

Duty Location Address:

Home Phone Number: Duty e-mail Address:

Duty Phone Number:

Position/Job Title:

Position Sensitivity: Special-Sensitive Critical-Sensitive Noncritical-Sensitive

Risk Level: High Moderate Low

Type of Investigation:

National Agency Check & Inquiries (NACI) Minimum Background Investigation (MBI)

Limited Background Investigation (LBI) Background Investigation (BI)

Single Scope Background Investigation (SSBI)

Security Clearance Level (if appropriate):

No Access Confidential Secret Top secret

Section B — For Contractor Personnel Only:

Employing Contract Organization Name:

Employing Contract Organization Address:

Employing Contract Organization Phone Number:

Contract Number: Contract Effective Date: Contract Expiration Date:

Point-of-Contact Name:

Point-of-Contact Phone Number:

Point-of-Contact E-mail Address:

I have completed Part 1 of this form to the best of my knowledge.

Sponsor's Printed Name/Signature Date

Organization Phone Number

Part 2: To be completed by the Registrar

Please issue a Personal Identification Card (PIV) for the Applicant listed above. I certify the below information.

Identity proofing completed on _______________________________.

Favorable FBI Advanced Fingerprint Report completed on ___________________________.

DL Form 1-189 on-hand and indicates a previously completed investigation on file.

Investigation Type: NACI NAC MBI

LBI BI SSBI

Security Clearance Level (if appropriate): No Access Confidential Secret

Top secret

Date:

I certify that the above information is correct and has been verified.

Sponsor's Printed Name/Signature Date

Organization Phone Number

Part 3: To be completed by the Issuer at PIV Folder transfer from the Registrar

I have conducted a PIV Folder Review with the Registrar and all actions have been completed and all documents are contained in the PIV Folder. I acknowledge taking possession of the PIV Folder. The appropriate Personal Identification Verification (PIV) Card will be issued as requested.

Issuer's Printed Name/Signature Date

Organization Badge Number Phone Number

Part 5: To be completed by the Applicant on Receipt of PIV Card

I certify that I have issued a PIV Card to the above Applicant as identified below:

PIV Card Type:

Federal Employee Contractor

Card Number: __________________

Applicant's Printed Name/Signature Date

Organization Badge Number Phone Number

Remote Location Receipt for Issuance of PIV Card

Part 1: To be completed by the Issuer at PIV Card Issuance

I certify that I have issued a PIV Card to the above Applicant as identified below:

PIV Card Type:

Federal Employee Contractor

Card Number: __________________

Expiration Date : __________________ Issuance Date : __________________

Issuer's Printed Name/Signature Date

Organization Badge Number Phone Number

Part 2: To be completed by the Applicant on Receipt of PIV Card

I certify that I have received a PIV Card as identified below.

I understand that I must return the PIV Card to my Supervisor upon my separation from the Department of Labor.

PIV Card Type:

Federal Employee Contractor

Card Number: __________________

Applicant's Printed Name/Signature Date

Organization Phone Number

Guidance for Completing Security Investigation Request Forms

A. Determining Risk/Sensitivity Level and Minimum Investigations Requirement

The following table shows the manner in which the Agency determines the Final Risk Level, Assigned Position Sensitivity Level, and Minimum Investigation Required for the position. Once this has been done, the Agency must record these items in the space provided at "IV. Final Designation" on the Position Designation Record form for the position.

Determining Risk/Sensitivity Level and Minimum Investigations Requirement

If the Public Trust Risk

Level Is

And the Computer Risk Level

Is

And the National Security

Sensitivity Level Is

Then the Final Risk/Sensitivity

Level Is

And the Minimum

Investigation Is

And the Investigation

Questionnaire Is

N/A Low (1) NACI SF-85

Noncritical Noncritical (2) MBI SF-86Low or N/A

Critical Critical (3) SSBI SF-86

N/A Moderate (5) MBI SF-85P

Noncritical Noncritical (2) MBI SF-86Moderate

Critical Critical (3) SSBI SF-86

N/A High (6) BI SF-85P

Noncritical Noncritical (2) BI SF-86

Low

High

Critical Critical (3) SSBI SF-86

N/A Moderate (5) MBI SF-85P

Noncritical Noncritical (2) MBI SF-86Low or N/A

Critical Critical (3) SSBI SF-86

N/A Moderate (5) MBI SF-85P

Noncritical Noncritical (2) MBI SF-86Moderate

Critical Critical (3) SSBI SF-86

N/A High (6) BI SF-85P

Noncritical Noncritical (2) BI SF-86

Moderate

High

Critical Critical (3) SSBI SF-86

N/A High (6) BI SF-85PHigh Low or N/A

Noncritical Noncritical (2) BI SF-86

Critical Critical (3) SSBI SF-86

N/A High (6) BI SF-85P

Noncritical Noncritical (2) BI SF-86Moderate

Critical Critical (3) SSBI SF-86

N/A High (6) BI SF-85P

Noncritical Noncritical (2) BI SF-86High

Critical Critical (3) SSBI SF-86

B. Additional Information on Background Investigation Processing and PIV Card Issuance

1. The Applicant must undergo a National Agency Check with Inquiries (NACI) (or another OPM investigation whose content is equivalent or greater than the NACI), and the NAC portion of the NACI investigation must be completed and favorably adjudicated before the Registrar can approve issuance of the permanent PIV card. However, if the Department does not receive the NAC results within 5 days of submission to OPM, the Registrar can approve issuance of the temporary PIV card based on favorable results from the Federal Bureau of Investigation National Criminal History Check (i.e., the fingerprint check).

NOTE: If the Registrar approves the issuance of the PIV card based on the fingerprint check or the NAC, the full NACI must still be completed.

2. The NACI requirement may be satisfied by locating and referencing a previously completed and favorably adjudicated NACI on the Applicant

3. The Registrar does not have to re-adjudicate the NACI on an Applicant who is transferring to DOL from another Federal agency provided:

The Applicant's former employing Federal agency can verify his or her possession of a valid PIV card, and The Applicant has undergone the required NACI or other investigation at the former

Federal agency.

4. Upon the Applicant's successful completion of a NACI, NAC, or fingerprint check, the Registrar will complete and sign the Applicant's PIV Card Request Form and notify the Issuer to issue a PIV card to the Applicant. The Applicant's PIV Card Request Folder will accompany the Registrar's notification.

5. The Applicant must appear in person before the Issuer, or his or her designee at a remote location, to receive his or her PIV card. The Applicant must produce two forms of identification documents included in the acceptable documents list on the Form 1-9, Employment Eligibility Verification, one of which must be a valid state or Federal issued picture identification.

6. The Issuer must validate that the picture and name on the Applicant's identification document matches the picture and name on the new PIV card. The Issuer must also validate that the appearance of the Applicant matches the picture being printed on the PIV credential.

C. Coding of Agency Information the SF-85, SF-85P, and SF-86

When coding the investigation questionnaire, ensure that the following entries are made on the appropriate investigation questionnaire, so that OPM will provide the results of the FBI fingerprint check and the NAC to the Department as soon as they are completed:

1. Advance Fingerprint Check. To request the advance fingerprint check, enter the code "R" on the investigation questionnaire in the following locations:

For the SF-85 and SF-85P. Enter in the "Codes" box of the "OPM Use Only" section at the top of the questionnaire.

For the SF-86. Enter in the "Codes" box of the "Investigative Agency Use Only" at the top of the questionnaire.

2. Advance NAC. To request the advance NAC, enter the code "3" in box "B" of the "Agency Use Only" section of the investigation questionnaire.

For further information on proper coding of the investigation questionnaires, consult (1) Section 6, Request Procedures, in Chapter 2 of the Department's Personnel Suitability and Security Handbook on LaborNet, and (2) OPM's Requesting OPM Personnel Investigations.

For case status and other case-related information, such as questions about the forms, contact the OPM Federal Investigation Processing Center Liaison at (724) 794-5612.

For information on the results of the fingerprint check and NAC, as well as other parts of the background investigation, contact the DOL Office of Executive Resources and Personnel Security at (202) 693-7800.

Servicing HRO or PIV Processor: Actions to be completed

Step 1. Create a PIV Folder

The PIV folder must be created. This includes ensuring that a copy of the PIV Folder Checklist is attached to the outside front cover and label the folder with Last Name, First Name, Middle Initial.

Step 2. Obtain the Request for PIV Card Issuance and verify that Part 1 is completed and signed by an authorized Requesting Official

The PIV Issuance Process begins with a Request for PIV Card Issuance. No action towards PIV Card Issuance (including identity proofing and registration) should take place until there is a Request for PIV Card Issuance.

The validity of the Request for PIV Card Issuance should be established. The Servicing HRO or PIV Processor should verify that Part 1, Request for PIV Card Issuance is completely filled out and signed by an authorized PIV Requesting Official. Although signature verification is desirable, it is not strictly required, as this will be done by the Issuer. However, the servicing HRO or PIV Processor should have a list of authorized Requesting Officials for the Human Resources Office's serviced organization.

Step 3. Attach the Request for PIV Card Issuance to the PIV Folder

The Request for PIV Card Issuance should be attached to the PIV Folder so that the two cannot inadvertently become separated.

PIV Processor: Actions to be completed

At no time may the Applicant be in possession of the PIV Folder.

The PIV Processor must secure the PIV Folder to assure its "Chain of Custody"

Step 4. Obtain a photo of the Applicant and verify it is a recognizable likeness of the Applicant

This photo will be used by the Issuer to verify that the individual appearing for the PIV Card is the same individual who registered and whose fingerprints were used for the background check. At least for the short-term, this is the mechanism DOL is using to satisfy the requirement to make sure that no substitution is made after the Applicant's identity has been verified.

If the PIV Processor has access to the proper equipment (i.e. digital camera, printer), then the photo can be obtained using that equipment. It is expected that most DOL locations will not initially have this equipment, so applicants have been instructed to provide their own photograph, and that it will not be returned.

If the Applicant-provided photo is used, the PIV Processor should verify that it is a recognizable likeness of the individual. Applicants have been instructed that the photo must be current, and that changes in appearance (beard vs. clean-shaven) are not acceptable.

If in the judgment of the PIV Processor the Applicant provided photo is not a reasonable likeness, the Applicant should be sent away and told to return with a more suitable photo.

The Applicant should be reminded that the photo will not be returned.

Step 5. Attach the Applicant's photo to the PIV Folder

The photo of the Applicant should be attached to the PIV Folder so that the two cannot inadvertently become separated. This photo must be in color and at least 2 inches by 2 inches in size.

Step 6. Verify the Applicant's identity using 2 forms of ID listed on Form I-9, Employment Eligibility Verification, one of which is a government-issued picture ID.

The Applicant's identity must be verified using two forms of identification in original form one of which must be a valid State or Federal government-issued picture identification. The Form I-9 provides a list of acceptable documentation.

Step 7. Make photo static copies of identity verification documents and attach to the Form I-9

Photocopies of each of the two IDs used to establish the Applicant's identity must be obtained.

Step 8. Attach a copy of the completed Form I-9 to the PIV folder

The Form I-9 (Employment Eligibility Verification Form) must be completed and then attached to PIV Folder. If the applicant is a contractor employee and he/she provided his/her employer with a Form I-9, the contractor employee should provide a copy of that I-9.

Step 9. Obtain the Applicant's fingerprints using an SF-87 for Federal Employees and an FD-258 for Contractor Employees

The fingerprints are required for the background investigation. These must be obtained in the presence of the PIV Processor. This may be done at the PIV Processor's location, either by the PIV Processor or another individual, if the necessary equipment and expertise are available. Otherwise, the fingerprints may be obtained at an alternate government location, e.g., a local police station. Either way, DOL policy requires that the PIV Processor be present when the fingerprints are taken. The PIV Processor must then provide a "chain of custody" for the fingerprints to assure that another set of fingerprints cannot be substituted for them.

At no time may the Applicant be in possession of the fingerprints.

Step 10. Obtain the Applicant's completed background investigation forms (SF 85, SF 85P, or SF

86) and have the Applicant sign the certification on the investigation form and the appropriate Authorization for Release of Information forms

This form must be obtained so that a background investigation can be requested. Verify that the form has been completely filled out and signed.

Step 11. Attach the original Fingerprint Card to the completed background investigation forms and attach to the PIV Folder

The original fingerprints will be submitted as part of request for a background investigation.

The original completed background investigation forms should be attached to the PIV Folder so that the two cannot inadvertently become separated.

Step 12. Make a photo static copy of the Fingerprint Card and the investigation questionnaire and attach to the PIV Folder

Step 13. Transfer the PIV Folder to the designated Registrar

The PIV Folder must be provided to the Registrar.

For PIV Processors located at the National Office and Regional Offices, this transfer must occur in person.

The Registrar must acknowledge receipt and sign for the PIV Folder.

For PIV Processors located in remote locations not within commuting distances of the National Office or a Regional Office, the transfer must be by a carrier (e.g. USPS, UPS, FedEx). The PIV Processor must notify the Registrar via email that the folder has been sent via carrier together with appropriate tracking information. Once the PIV Folder arrives, the Registrar will acknowledge receipt via a return email.

Once PIV Folder has been transferred and acknowledged, the PIV Processor's responsibility for this Applicant's Folder is complete.

Registrar: Actions to be completed

At no time may the Applicant be in possession of the PIV Folder.

The Registrar must secure the PIV Folder to assure its "Chain of Custody"

Step 14. Take custody of the PIV Folder from the PIV Processor, inventory its contents, and ensure that it is complete and the authorized Requesting Official completed and signed Part 1of the Request for PIV Card Issuance.

The Registrar must verify that the PIV Processor followed the proper process and verified proper documents to establish the applicant's identity.

For PIV Processors located at the National Office and Regional Offices, the Registrar must acknowledge receipt in person and sign for the PIV Folder. The Registrar must acknowledge in writing (by signing the PIV Checklist) that custody of the PIV Folder has been transferred from the PIV Processor to the Register.

For PIV Processors located in remote locations not within commuting distances of the National Office or Regional Office, the Registrar must acknowledge receipt by the PIV folder by return email.

Step 15. Send completed background investigation forms and the original Fingerprint Card to OPM

The complete package for the background investigation must be submitted to OPM to initiate the background investigation.

Step 16. Obtain notification of successful FBI Fingerprint Check or NAC

The Registrar maintains custody of the PIV Folder while the appropriate background check is being performed. The Office of Executive Resources and Personnel Security will notify the servicing HR Office of the results and the HR Office will notify the Registrar.

Step 17. Complete Part 2, Request for PIV Card Issuance, and attach PIV Folder

The Registrar may approve PIV card issuance when any of the following are true:

1. The background investigation in its entirety is completed successfully.

2. The National Agency Check (NAC) portion of the background investigation is completed successfully.

3. The FBI Fingerprint Check portion of the background investigation is completed successfully and more than 5 business days have elapsed since the background investigation was submitted to OPM.

Step 18. Notify Issuer, Requesting Official, and PIV Processor of approval

The Registrar should notify the (a) Issuer, (b) Requesting Official, and (c) PIV Processor via email that the PIV Request has been approved.

Step 19. Transfer the PIV Folder to the Issuer

For Registrars located at the National Office and Regional Offices this transfer must occur in person. The Issuer must acknowledge receipt and sign for the PIV Folder.

For Registrars located in remote locations not within commuting distances of the National Office or a Regional Office, the transfer must be by a carrier (e.g. USPS, UPS, FedEx). The Registrar must notify the Issuer via email that the folder has been sent via carrier together with appropriate tracking information.

Once the PIV Folder arrives, the Issuer will acknowledge receipt via a return email.

Once PIV Folder has been transferred to the Issuer and acknowledged, the Registrar's responsibility for this Applicant's Folder is complete.

Issuer: Actions to be completed:

Step 20. Take custody of the PIV Folder from the Registrar, inventory its contents, ensure that it is complete, verify that Parts 1 and 2 of the Request for PIV Card Issuance have been completed and signed by the respective Requesting Official and Registrar, and complete Part 3.

For Issuers located at the National Office and Regional Offices, the Issuer must acknowledge receipt in person and sign for the PIV Folder. The Issuer must acknowledge in writing, by signing the PIV Checklist, that custody of the PIV Folder has been transferred from the Register to the Issuer.

For Issuers located in remote locations not within commuting distance of the National Office or a Regional Office, the Issuer must acknowledge receipt by the PIV folder by return email.

Step 21. Enter Applicant's information into the DOL ID database.

(To be developed)

Issuer: Actions to be completed in the presence of the Applicant:

At no time may the Applicant be in possession of the PIV Folder.

The Issuer must secure the PIV Folder to assure its "Chain of Custody"

Step 22. Verify applicant's identity using the photo attached to the PIV Folder and the Form I-9 with two attached IDs.

The Issuer must verify that the photo of the applicant attached to the PIV Folder is a recognizable likeness beyond a reasonable doubt of the individual standing before him or her and claiming to be the Applicant.

The Issuer must:

Verify the Applicant is presenting the same two forms of identification shown during registration.

This is done using the Form I-9 and the photocopies of the two forms of identification contained in the PIV Folder (attached to the Form I-9).

Verify the forms of identity are on the approved list. (Documented in step 8) Verify the authenticity of at least the government issued picture ID. This is done by comparing that

ID to the samples presented in the US Identification Manual.

Step 23. Issue the PIV Card

The Issuer must employ a two-man rule to assure that a PIV Card cannot be issued by a DOL official acting alone. Two different individuals must server as issuing agents:

The first issuing agent enters the information in the ID Card Application.

The second issuing agent causes the card to be printed.

The issuer is responsible for assuring that the issuing agents' accounts have privileges to perform at most one of PIV data entry and PIV printing. Issuing agents must protect their passwords to ensure that the effective implementation of the two-man rule is not compromised.

The Issuer must provide adequate physical security to assure that blank card stock and laminate supplies are physically protected and accounted for at all times.

Step 24. Obtain Applicant's signature on the Request for PIV Card Issuance, Part 5, or Remote Location Receipt for Issuance of PIV Card, Part 2

Part 5, Request for PIV Card Issuance, or Part 2, Remote Location Receipt for Issuance of PIV Card (for issuance at remote locations), must be completed and then attached to PIV Folder so that the two cannot inadvertently become separated. (This may be a separate form, or contained as part of the Request for PIV Card Issuance that is already attached to the PIV Folder.)

Last Updated: 12/20/2005

DOL Policy for PIV Card Issuance to New Federal Employees and Contractors

Table of Contents

M. Purpose N. Background

Homeland Security Presidential Directive (HSPD) 12 Federal Information Processing Standards Publication (FIPS) 201 Office of Management and Budget Memorandum M-05-24

O. Coverage P. Definitions

Applicant Contractor Employee Federal Employee Federally Controlled Facilities Federally Controlled Information Systems Issuer Others Personal Identity Verification (PIV) Card PIV Folder PIV Package PIV Processor PIV Requesting Official (Sponsor)

Q. Roles and Responsibilities — For Processing Federal Employees Applicant…