Chapter_3_Code_1_(Fingerprinting-Photo).pdf

Chapter 3

Benefit Procedure – Code - 1 (Fingerprinting & Photo)

ASC Standard Operating Procedures

Chapter 3: Benefit Procedure – Code - 1 (Fingerprinting & Photo)

2015 Edition July 2015

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Introduction: This chapter is designed to provide standardized step-by-step operating procedures at each ASC to ensure consistency in processing fingerprints. In general, all applicants should be processed using the biometrics workstation and procedures described in Section A, when feasible. Reasons for exceptions to this policy are listed in Section B. Section A covers how to process electronic fingerprinting via a biometrics workstation - “Live Scan”, and Section B covers how to process manual (ink) fingerprinting - “Card Scan”. All ASCs will implement the procedures established in this chapter. All applicants will have their photograph taken at the conclusion of the fingerprint capture process as described in Section C.

At ASCs staffed only with a Site Supervisor, the Site Supervisor shall perform the steps and actions usually performed by the guard/receptionist and biometrics technician. Site Supervisors and/or the ASC ISOs shall perform the quality assurance (QA) steps and actions when required.

The key points to remember in processing applicants are not to leave the applicant alone at an active workstation and not to conduct a QA review of fingerprints you have taken unless you have been designated a “self QA” by your Site Supervisor.

Note 1: As a customer service, if a BT has taken the best quality print but realizes that the fingerprints will likely be rejected by the FBI, with the Site Supervisor’s approval, the BT may take a second set of prints manually (ink) – a “possible first-time reject” card. If the first set is indeed rejected, these manual prints would then be scanned and submitted in lieu of the applicant returning to the ASC. Remember to follow the procedures in Chapter 8.C – Re-fingerprinting Applicants. This manual process for suspected rejects is a customer service the ASC Program provides, minimizing the number of appearances an applicant would have to make at an ASC.

Note 2: Religious belief accommodations are to be offered when requested by the applicant during photograph and fingerprint capture (see Chapter 4 for photograph accommodations).

When requested due to religious beliefs, ASCs will accommodate individuals who request a same-gender fingerprint technician, if possible. If there are no same-gender technicians available to capture fingerprints, the applicant will be offered the chance to reschedule the appointment for a different day or at a different office where it might be feasible to accommodate the individual’s request. Requests and accommodations should be handled through the ASC ISO.

Note 3: All Code-1 applicants will have both their fingerprints AND their photograph taken as part of the Code-1 process.

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Table of Sections

Section 3.A: Electronic Fingerprinting - “Live Scan”

• Background

• Operational Procedures o Amputations & Deformities

• Phases: Electronic Fingerprinting

Section 3.B: Manual (Ink) Fingerprinting - “Card Scan” o Reasons for Manual (Ink) Fingerprinting Applicants

• Operational Procedures o Amputations & Deformities o Names o Coercive Population Control (CPC) Applicants

• Phases: Manual Fingerprinting

Section 3.B.1: Scanning Fingerprint Cards, Signatures, and Photographs o Reasons for Scanning Fingerprint Card, Signature, and Photograph o “Possible First-Time Reject” Customers o Retention / Destruction of FD-258 Cards

• Operational Procedures o Scanning Fingerprinting Cards o Scanning a Signature o Scanning a Photograph

Section 3.C: Photograph

• Operational Procedures

3.A - 1

Section 3.A: Electronic Fingerprinting – “Live Scan”

Background: The biometrics workstation captures and transmits electronic “digital” fingerprints without the use of ink. The system features a continuous real-time image preview and allows operators to preview each fingerprint while pre-positioning the finger for pressure, moisture, and quality review; and to monitor image quality as the print is being rolled. The operator can use this immediate feedback image to reject and re-roll unacceptable prints before they are electronically transmitted. The demographics entry features enable operators to enter demographic data using defined, pull-down menus and/or a barcode reader. Using the biometrics workstations, technicians can perform the following basic functions:

• Enter the biographical information and store to memory.

• Query previously entered information by name, social security number, A-number, and/or date of entry.

• Capture, store, and electronically transmit fingerprints to a service center.

Operational Procedures: The following operational procedures shall be used in processing applicants on biometrics workstations.

Specific biometrics workstation operating instructions may be found in the current version of the Operations Guide. Biometrics workstations will be left on continuously throughout the work week unless otherwise instructed.

If an applicant does not have a first name, enter “No given name” in the “First:” name data field on the biometrics workstation demographics page.

Amputations & Deformities: If the applicant has an amputation, one or more fingers, thumbs, or hand removed, special options may be denoted by selecting “Annotate” on the display screen. If an applicant is born with a missing finger, thumb, or hand, select “Unable to Print (UP)”. Select “Amputation (XX)” for total amputation. In the case of partial amputation of the first joint of a finger or thumb, the impression of remaining end joint is placed in the appropriate block.

Phases: Electronic Fingerprinting

• Applicant Fingerprinting (Electronic) o Preparing the Applicant for Fingerprints o Accessing the Biometrics Workstation o Taking the Applicant’s Press Fingerprints o Taking the Applicant’s Right-Hand Roll Prints o Taking the Applicant’s Left-Hand Roll Prints o Biometrics Technician’s Quality Assurance (QA) Check

• Quality Assurance (QA) Review o QA Check of the Applicant’s Demographics o QA Check of the Applicant’s Fingerprint o QA Check of the Applicant’s Photograph

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Applicant Fingerprinting (Electronic)

General Procedure Description: This phase is used in fingerprinting an applicant at a biometrics workstation.

When to Use This Procedure: After the applicant has completed the receptionist-processing phase.

Who Performs This Procedure: A biometrics technician, Site Supervisor, or ASC ISO shall complete this phase.

Preparing the Applicant for Fingerprinting Step Action

1 Retrieve only the applicant from the waiting area by calling the next customer service number (if applicable) or the next applicant. Family or friends accompanying the applicant will remain in the waiting area unless their physical assistance is required to fingerprint the applicant and/or function as a translator.

2 Request the applicant’s customer service number, picture ID, appointment notification letter, and AIW.

3 Verify the applicant has the required government issued picture ID for the desired benefit. If the applicant does not have the required picture ID for the desired benefit, check the applicant’s AIW to see if it has been annotated by the ASC ISO.

If the applicant’s AIW has not been annotated, refer the applicant to the ASC ISO.

4 Verify the applicant’s identity by comparing the picture ID to the applicant. If the picture ID does not match the applicant’s physical characteristics, refer the applicant to the ASC ISO.

5 Verify the accuracy of the A-number, name, and DOB by comparing the AIW with the applicant’s appointment notification letter and ID card. If the AIW A-number, name, and/or DOB do not match the applicant’s appointment notification letter and/or ID card, refer the applicant to the ASC ISO.

6 Verify completeness of the personal information by ensuring all blocks on the AIW are checked/completed.

Note: To access the biometrics workstation and enter the applicant’s demographic information;

refer to the most current version of the Operations Guide.

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Accessing the Biometrics Workstation Step Action

1 Using the “New Capture Record” button on the initial biometrics-capture screen, select either ‘Code 1 Applicant (Rolled)’ or ‘Code 3 Applicant (Rolled)’ as appropriate. Use the 2 - D barcode reader to scan the 2 - D barcode from the applicant’s notification letter. The demographic information entered using the 2 - D barcode displays with a prompt to add the information to the record. Press “Yes” or “Enter”.

2 Complete the two (2) demographic screens if Code-1 only or the three (3) demographic screens if Code-3. Edit demographic data as needed.

A new feature to Code-1 processing is the eventual requirement to enter a receipt number for all applicants. While this requirement has yet to be implemented, a receipt number is mandatory for any IOE receipt-numbered applicants. Thus, when the biometric technician enters an IOE prefixed receipt number, both the “Receipt Number:” field and the “Retype to Verify Receipt Number:” field are activated (require information). Also, the “Account ID:” and the “Retype to Verify Account ID:” fields become mandatory. Until appointment notices have the Account ID embedded in the 2-D barcode, enter 12 zeros ‘0’ for each field.

Ignore the “External System ID:” field. Nothing needs to be entered.

Once all the mandatory fields on a page are completed correctly (no error symbols), the green ‘Next’ button on the navigation panel will activate allowing access to the next demographic screen.

NOTE: If the form type of the appointment notice does NOT exist on the menu pull-down options, select “X999” as the form type. (This catch-all form type will allow the continued processing of the applicant.)

3 Once all the demographic data has been properly entered, the ‘Ten Prints’ screen will appear.

4 Prepare to take applicant’s fingerprints.

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Applicant Fingerprinting (Electronic) (cont’d)

Taking the Applicant’s Press Prints

1 Check the applicant’s hands for texture and softness. Spray or wipe fingertips with water, if needed.

2 Take the applicant’s left hand. Place the applicant’s left four fingers flat over the slap print glass prism and either press the “Capture/Yes” button on the control pad.

If needed, adjust the hands to assure all fingertips are captured.

3 Verify press print clarity. Press the “Capture/Yes” button on the control pad to approve the fingerprint or press the “No” button to reject the fingerprint. If the fingerprint is approved, the “Flat Left Thumb” screen will appear. If the fingerprint is rejected, repeat step #2.

4 Take the applicant’s left hand. Place the applicant’s left thumb in the center of the roll print glass prism and press the “Capture/Yes” button on the control pad.

5 Verify press print clarity. Press “Capture/Yes” button on the control pad to fingerprint is approved, the “Flat Right 4” screen will appear. If the fingerprint is rejected repeat, step #4.

6 Take the applicant’s right hand. Place the applicant’s right four fingers flat over the slap print glass prism and press the “Capture/Yes” button on the control pad. If needed, adjust the hands to assure all fingertips are captured.

7 Verify press print clarity. Press the “Capture/Yes” button on the control pad to fingerprint is approved, the “Right Flat Thumb” screen will appear. If the fingerprint is rejected, repeat step #6.

8 Take the applicant’s right hand. Place the applicant’s right thumb in the center of the roll print glass prism and press the “Capture/Yes” button on the control pad.

9 Verify press print clarity. Press the “Capture/Yes” button on the control pad to fingerprint is approved, the “Right Thumb Roll” screen will appear. If the fingerprint is rejected repeat step #8.

10 If no press-print is possible, select the appropriate exception code for the missing hand and/or thumb. If amputated and no end joint is present, annotate with the

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“XX” code. If the hand and/or finger is unprintable, annotate with the “UP” code.

Note: If a biometrics technician determines that s/he cannot capture any fingerprints due to a physical impairment of the applicant, the technician shall refer the applicant to the ASC ISO for a possible fingerprint waiver. If the ASC ISO approves a fingerprinting waiver, the applicant shall be processed in accordance with Chapter 8, “Waivers, Re-scheduling, and Re-fingerprinting”.

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Taking the Applicant’s Right-Hand Roll Prints

1 Take the applicant’s right hand. Place the right thumb in the center of the roll print glass prism. Roll the thumb toward the applicant’s body and back to the female or male roll fingerprint start line, as appropriate. Press the “Capture/Yes” button on the control pad, roll the right thumb away from the applicant’s body, and nail-to-nail over the roll print glass prism.

2 Verify print is classifiable (or best print possible) by determining if ridges and deltas are visible. Press the “Capture/Yes” button on the control pad to accept the fingerprint or press the “No” button to retake the fingerprint. If the fingerprint is accepted, the “Right Index” screen will appear. If the fingerprint is rejected, repeat step #1.

3 Take the applicant’s right hand. Place the right index finger in the center of the roll print glass prism. Roll the finger toward the applicant’s body and back to the female or male roll fingerprint start line. Press the “Capture/Yes” button on the control pad and roll the index finger away from the applicant’s body and nail-to-nail over the roll print glass prism.

4 Verify print is classifiable (or best print possible) by determining if ridges and fingerprint or press the “No” button to retake the fingerprint. If the fingerprint is accepted, the right middle fingerprint screen will appear. If the fingerprint is rejected, repeat step #3.

5 Repeat steps 3 and 4 for the right middle, ring, and little fingers, in that order.

6 If a finger is missing or unable to be printed, select the appropriate exception code.

Notes:

1. The top of the each screen will indicate the finger to roll and an arrow will indicate the recommended direction of the roll for the indicated finger.

2. The prism should be cleaned with a white cloth and appropriate cleaner, as needed.

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Taking the Applicant’s Left-Hand Roll Prints

1 Take the applicant’s left hand. Place the left thumb in the center of the roll print glass prism. Roll the thumb away from the applicant’s body and back to the female or male roll fingerprint start line, as appropriate. Press the “Capture/Yes” button on the control pad, roll the left thumb toward the applicant’s body, and nail-to-nail over the roll print glass prism.

2 Verify print is classifiable (or best print possible) by determining if ridges and fingerprint or press the “No” button to retake the fingerprint. If the fingerprint is accepted, the “Left Index” screen will appear. If the fingerprint is rejected repeat step 1.

3 Take the applicant’s left hand. Place the left index finger in the center of the roll print glass prism. Roll the finger away from the applicant’s body and back to the female or male roll fingerprint start line. Press the “Capture/Yes” button on the control pad, roll the index finger toward the applicant’s body and nail-to-nail over the roll print glass prism.

4 Verify print is classifiable (or best print possible) by determining if ridges and fingerprint or press the “No” button to retake the fingerprint. If the fingerprint is accepted, the left middle fingerprint screen will appear. If the fingerprint is rejected repeat step 3.

5 Repeat steps 3 and 4 for the left middle, ring, and little fingers, in that order.

6 If a finger is missing or unable to be printed, select the appropriate exception code.

7 Refer to Section 3.C to capture the applicant’s photograph.

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Biometrics Technician’s Quality Assurance (QA) Check

1 Once the fingerprints are captured and the photo has been taken, verify fingerprints are classifiable (or best possible) by determining if ridges and deltas are visible.

2 Verify fingerprints are rolled nail-to-nail in top ten (10) blocks.

3 Verify fingerprints are not smudged and in the proper order. Confirm that the rolled prints are in the correct sequence corresponding to the press prints.

4 Verify press-prints clarity and that the total numbers of press-prints equal the total number of rolled fingerprints.

5 If Special Options are used in cases of missing digits, verify “XX” for amputations or “UP” for unable to print is visible in lieu of a fingerprint in the appropriate blocks of Form FD-258.

6 If there is a problem, repeat the appropriate steps to recapture the unacceptable fingerprint. Press ‘Photo’ button on the left-side navigation panel to review the photograph.

7 Review the captured photo to assure that the picture has a uniform background color, the eyes are horizontal with the framed picture, the applicant’s facial features are clear and visible, and that there are no “hot spots” – visible glares from the flash or overhead lighting. If there are any issues, recapture the photo, applying the appropriate corrective action.

8 Conduct a (self-QA) quality assurance review of the completed Form FD-258 template per steps outlined in the Quality Assurance (QA) Review.

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Quality Assurance (QA) Review

General Procedure Description: This phase is used to conduct a QA review of the biometrics workstation electronic fingerprints.

When to Use This Procedure: After the biometrics technician has completed the digital fingerprinting phase.

Who Performs This Procedure: The “self QA” BT or Site Supervisor shall complete the actions in this phase for every digital fingerprint.

QA Check of the Applicant’s Demographics

1 Review the applicant’s appointment notification letter, picture ID, and AIW.

2 Verify the applicant has the required government issue picture ID for the desired benefit, check the AIW to see if it has been annotated by the ASC ISO. If the applicant’s AIW has not been annotated, summon the ASC ISO.

3 Verify the applicant’s identity by comparing the picture ID to the applicant. If the picture ID does not match the applicant’s physical characteristics, summon the

ASC ISO.

4 Verify accuracy of the applicant’s demographic information with the appointment notification letter, AIW, and ID card. If there is an error in the name, DOB, and/or A-number, mark the appropriate ‘Reason for Referral’ on the AIW and refer the applicant to the ASC ISO for further guidance.

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Quality Assurance (QA) Review (cont’d)

QA Check of the Applicant’s Fingerprints

1 Verify all fingerprints are classifiable (or best print possible) by determining if ridges and deltas are visible. See Note 1 below.

2 Verify fingerprints are rolled nail-to-nail in top ten blocks.

3 Verify fingerprints are not smudged and in the proper order.

4 Verify press-prints clarity and that the total number of press-prints is equal to the total number of rolled prints.

5 If Special options are used in cases of missing digits, verify “XX” or “UP” is visible in lieu of a fingerprint in the appropriate blocks.

6 If there is a problem, re-capture the unacceptable fingerprints.

7 Proceed to the next process to perform a Quality Review of the applicant’s photograph.

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Quality Assurance (QA) Review (cont’d)

QA Check of the Applicant’s Photograph

1 Press ‘Photo’ button on the left-side navigation panel to review the photograph.

2 Review the captured photo to assure that the picture has a uniform background color, the eyes are horizontal with the framed picture, the applicant’s facial features are clear and visible, and that there are no “hot spots” – visible glares from the flash or overhead lighting. If there are any issues, recapture the photo, applying the appropriate corrective action.

3 Complete the QA process by recording the BT’s employee number in the fingerprint portion of the “Biometrics Stamp” on the applicant’s appointment notification letter.

4 Ensure “FOR OFFICIAL USE” section on the AIW is complete and accurate.

5 Return the applicant’s appointment notification letter and ID to the applicant and provide the applicant with a Customer Comment card.

June 2015

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Section 3.B: Manual (Ink) Fingerprinting - “Card Scan”

Background: A manual (ink) fingerprinting workstation consists of a manual inkpad with black fingerprinting ink, a mallet roller, and a FD-258 card holder.

When an applicant must be manually fingerprinted, the biometric data will be entered when the FD-258 card scanning process is done using the applicant’s appointment notice and/or her/his

AIW.

Reasons for Manual (Ink) Fingerprinting of Applicants: Manual (ink) fingerprinting of applicants shall only be used for special circumstances. Special circumstances where manual (ink) Form FD-258 cards shall be generated include:

• Applicants with disabilities that prevent them from being fingerprinted at a biometrics workstation may be fingerprinted with ink on Form FD-258 cards. ASC ISO and Site Supervisor shall exercise discretion in providing service to disabled applicants with the comfort of the applicant given highest priority.

• Fingerprinting applicants on mobile fingerprint routes. The procedures in Chapter 7, “Benefit Procedure – Special Cases” shall be used.

• High volume. Instances where high volumes of applicants are waiting to be fingerprinted and all available biometrics workstations are busy or out of service. Remember: Only Code-1 applicants may be processed under this circumstance.

• Possible First-Time Reject. For possible first-time rejects, Site Supervisors will use their discretion as not to disrupt customer service for the scheduled applicants who are waiting.

When the applicant flow permits, a set of manual fingerprints can be captured for applicants who the Site Supervisor determines that the initial set of fingerprints may be rejected by the FBI. These prints will only be submitted if the FBI rejects the first electronic set. Note: The TCR number from the FBI reject report must be entered with the second submittal per the procedures detailed in Chapter 8.C – Re-fingerprinting Applicants.

In all cases, if a manual (ink) Form FD-258 card is generated, the standardized step-by-step procedures of this chapter will be used with the exception of Military Accessions Vital to the National Interest (MAVNI) who will be process per Chapter 7, Section 7.B.8, Military Naturalization N-400 Applicants.

Operational Procedures: The following operational procedures shall be used in processing applicants on manual (ink) workstations.

• Amputations & Deformities: If the applicant has an amputation, one or more fingers, thumbs, or hand removed, the condition shall be noted in black ink in the appropriate Form FD-258 block. Total amputation should be designated “XX”. In the case of partial amputation of first joint of a finger or thumb, the impression of the remaining end joint is placed in the appropriate block.

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If the applicant has a deformity that prevents the taking of a fingerprint, such as severe arthritis, AND the ASC-ISO confirms that specific finger(s) cannot be printed without causing harm or pain to the applicant, the condition shall be noted in black ink in the appropriate Form FD-258 block as “UP” – Unable to Print. Unable-to-Print fingers should be annotated “UP”.

With the exception of amputated digits or confirmed deformities, handwritten notes on

Form FD-258 cards are not permitted in individual fingerprint blocks. Any marks other than fingerprints in the Form FD-258 fingerprint blocks may render good prints as rejects when they are electronically scanned.

• Names: If an applicant does not have a first name, enter “No given name” in the “First” name data field on the fingerprinting workstation demographics page. Also, remember that no suffixes (Sr, Jr, the Second, III, etc.) will be entered.

• Coercive Population Control (CPC) Applicants: CPC applicants and their families are asylum applicants filing Form I-589. If they appear at the ASC without proper identification and cannot be fingerprinted electronically, they must be manually ink-printed (see procedures in Chapter 7).

Phases: Manual Fingerprinting

• Applicant Fingerprinting (Manual) o Preparing the Applicant for Fingerprints o Taking the Applicant’s Fingerprints o Biometrics Technician’s Quality Assurance (QA) Check o Taking the Applicant’s Press Prints

• Quality Assurance Review o Documentation & Form FD-258 Masthead QA Check o Fingerprint QA Check

• Scanning Fingerprint Cards, Signature, and Photographs o Scanning Fingerprint Cards (FD-258) o Scanning a Signature o Scanning a Photograph

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Applicant Fingerprinting (Manual)

General Procedure Description: This procedure is used to fingerprint an applicant at a manual (ink) fingerprinting workstation.

phase and the applicant has met the requirements to be manually fingerprinted.

Who Performs This Procedure: A trained Biometrics Technician, Site Supervisor, or ASC ISO shall complete this phase.

Preparing the Applicant for Fingerprints

1 Retrieve only the applicant from the waiting area by calling the next customer service number (if applicable) or the next applicant. Family or friends accompanying the applicant will remain in the waiting area unless their physical assistance is required to fingerprint the applicant and/or to function as a translator.

2 Request the applicant’s customer service number, government-issued photo ID, appointment notification letter, and AIW.

3 Verify the applicant has the required government-issued picture ID for the desired benefit, check the applicant’s AIW to see if it has been annotated by the ASC ISO.

If the applicant’s AIW has not been annotated, refer the applicant to the ASC ISO.

4 Verify the applicant’s identity by comparing the picture ID to the applicant. If the picture ID does not match the applicant’s physical characteristics, refer the

5 Verify the accuracy of the A-number, name, and DOB by comparing the AIW with the applicant’s appointment notification letter and ID card. If the AIW A-number and/or DOB do not match the applicant’s appointment notification letter, refer the

6 Verify completeness of the personal information by ensuring all blocks on the AIW are checked/completed.

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Applicant Fingerprinting (Manual)

Taking the Applicant’s Fingerprints

1 Check the applicant’s hands for texture and softness. If hands are rough, apply liquid to soften and moisturize the fingertips.

2 Place/slide a blank card into metal template/brace on the ink-fingerprinting stand where all right-hand fingerprint boxes are visible and fingerprints can be applied.

3 Apply ink to inkpad and roll ink flat and even with mallet roller until smooth.

4 Take the applicant’s right hand and roll right thumb in ink and then roll thumb on card, toward the applicant’s body, and nail-to-nail in the “1. R. Thumb” block.

Take the applicant’s right index finger and roll in ink and then roll finger on card, away from the applicant’s body, and nail-to-nail in the “2. R. Index” block. Repeat the same steps by placing the applicant’s fingers in ink and then rolling the finger away from the applicant’s body, and nail-to-nail in the “3. R. Middle,” “4. R.

Ring,” and “5. R. Little” blocks, in that order.

5 Slide card in metal template/brace on the ink-fingerprinting stand where all left-hand fingerprint boxes are visible and fingerprints can be applied.

6 Re-apply ink to inkpad, as required, and roll ink flat and even with mallet roller until smooth.

7 Take the applicant’s left hand and roll the left thumb in ink and then roll thumb on card, toward applicant’s body, and nail-to-nail in the “6. L. Thumb” block. Take the applicant’s left index finger and roll in ink and then roll finger on card, away from the applicant’s body, and nail-to-nail in the “7. L. Index” block. Repeat the same steps by placing the applicant’s fingers in ink and then rolling the fingers away from the applicant’s body, and nail-to-nail in the “8. L. Middle,” “9. L.

Ring,” and “10. L. Little” blocks, in that order.

Notes:

1. With the exception of amputated digits, handwritten notes are not permitted in individual fingerprint blocks. Any marks other than fingerprints in the Form FD-258 fingerprint blocks may render good prints as rejects when they are electronically scanned.

2. If the applicant has an amputation, one or more fingers, thumbs, or hand removed, the condition shall be noted in black ink in the appropriate Form FD-258 block. Total

3.B - 5 amputation should be designated “XX”. In the case of partial amputation of the first joint of a finger or thumb, the impression of the remaining end joint is placed in the appropriate block.

3. If the applicant has a deformity that prevent the taking of a fingerprint, such as severe arthritis, AND the ASC-ISO confirms that specific fingers cannot be printed without causing harm or pain to the applicant, the condition shall be noted in black ink in the appropriate Form FD-258 block as an “UP” – Unable to Print. Unable-to-Print fingers should be annotated “UP”.

4. If a biometrics technician determines that s/he cannot capture any fingerprints due to a physical impairment of the applicant, the technician shall refer the applicant to the ASC ISO for a possible fingerprint waiver. If the ASC ISO approves a fingerprinting waiver, the applicant shall be processed in accordance with Chapter 8, “Administrative Procedures”.

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Biometrics Technician’s Self Quality Assurance (QA) Check

1 Verify prints are classifiable (or best print possible) by determining if ridges and deltas are visible.

2 Verify prints are rolled nail-to-nail in blocks 1 through 10.

3 Verify prints are not smudged and on the Form FD-258 card in the proper order.

4 Verify press print clarity and the total number of press prints recorded is equal to the total number of rolled prints.

5 If there is a problem, recapture prints on either manual tabs or full strips by re-inking and rolling/pressing on a manual tab/full strip and by following the steps for fingerprinting that thumb/finger. Verify the new print is classifiable. There is no limit on the number of tabs or strips that may be used to obtain acceptable fingerprints. However, tabs should not be placed over tabs; therefore, take the unacceptable print tab off the card before putting a new one on the card.

6 Re-verify that any empty blocks on Form FD-258 are a result of missing fingers or confirmed deformity, and either “XX” or “UP” is noted in the appropriate block (s) on the form.

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Note: Full strips and a printing spoon may be used on elderly, handicap, and/or applicants with worn ridges to increase the possibility of taking classifiable fingerprints.

Taking the Applicant’s Press-Prints

1 Slide card in metal template/brace on the ink-fingerprinting stand where all press print fingerprint boxes are visible and press prints can be applied.

2 Re-apply ink to manual inkpad, as required, and the roll ink flat and even with mallet roller until smooth.

3 Take the applicant’s left hand and press thumb in ink and then press on card in the “L.

Thumb” block for the left thumb press print. Take the applicant’s left hand and press all fingers in ink and then press fingers on card at a 45 - degree angle, in the “Left Four Fingers Taken Simultaneously” block for the left-hand press prints.

4 Re-apply ink to inkpad, as required, and roll ink flat and even with mallet roller until smooth.

5 Take the applicant’s right hand and press thumb in ink and then press on card in the “R. Thumb” block for the right thumb press print. Take the applicant’s right hand fingers and press all fingers in ink and then press fingers on card at a 45 - degree angle, in the “Right Four Fingers Taken Simultaneously” block for the right-hand press prints.

6 Conduct a (self-QA) quality assurance review of the completed Form FD-258 card per steps outlined in the Quality Assurance (QA) Review.

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Quality Assurance (QA) Review

General Procedure Description: This phase is used to conduct a QA review of a manual (ink) Form FD-258 card.

When to Use This Procedure: After the biometrics technician has completed the manual (ink) fingerprinting phase.

Who Performs This Procedure: The “self QA” BT or Site Supervisor shall complete the actions in this phase for every manual (ink) Form FD-258 card.

Documentation & Form FD-258 QA Check

1 Review the applicant’s appointment notification letter, Form FD-258 card, picture ID, and AIW.

2 Verify the applicant has the required government issue picture ID for the desired benefit, recheck the applicant’s AIW to see if it has been annotated by the ASC ISO. If the applicant’s AIW has not been annotated, refer the applicant to the ASC

ISO.

3 Verify the applicant’s identity by comparing the picture ID to the applicant. If the picture ID does not match the applicant’s physical characteristics, refer applicant to the ASC ISO.

4 Verify empty blocks on Form FD-258 are a result of missing fingers or confirmed deformity, and either “XX” or “UP” is noted in the appropriate block (s) on the form.

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Quality Assurance (QA) Review

Fingerprint QA Check

1 Verify all fingerprints are classifiable (or best print possible) by determining ridge clarity and delta visibility.

2 Verify prints are rolled nail-to-nail in blocks 1 through 10.

3 Verify prints are not smudged and on the card in the proper order.

4 Verify press-print clarity and the total number of press-prints recorded is equal to the total number of rolled prints.

5 If there is a problem with fingerprints, recapture the prints on either manual tabs or full strips by following the appropriate steps for fingerprinting that thumb/finger if they have not done so.

6 Verify empty blocks on Form FD-258 are a result of missing fingers or confirmed deformity, and either “XX” or “UP” is noted in the appropriate block (s) on the form.

7 Proceed with the applicant to the biometric machine with the FBI approved card-scanner to complete the remaining Code-1 processing and photograph requirements (see Section 3.B.1).

Note: Upon completion of the QA’s check, the biometrics technician will instruct applicant to clean hands prior to proceeding with the remainder of the applicant processing.

3.B.1 - 1

Section 3.B.1: Scanning Fingerprint Cards, Signatures, and Photographs

Background: When an applicant’s fingerprints are taking manually (ink), ASCs will no longer forward the FD-258 cards to their respective service centers; instead, they will scan the card(s) and process them electronically using the procedures described in this section. Although unlikely, it may be necessary that signatures from the FD-258 card and submitted photographs also be scanned. Doing so requires approval from the ASC ISO.

Reasons for Scanning Fingerprint Card, Signature, and Photograph: As denoted in the introduction to Section 3, the manual (ink) fingerprinting of applicants is used for special circumstances. Should one of those circumstances prevail, the Biometrics Technician (BT) will use these procedures to process both the completed FD-258 card and other requirements of that applicant’s processing, i.e., a photograph, press-print, or signature.

Possible First-Time Reject Customers: For those customers for which a “Possibly First-Time Reject” FD-258 card was made, once the manual prints have been taken, the biometric technician who took the prints will write the applicant’s name on the masthead to verify applicant identity, affix the applicant’s FD-258 card to the applicant’s AIW by stapling the two forms (the FD-258 card and the AIW) in the upper left-hand corner. This will allow for the retrieval of the correct card once FBI confirmation of the expected reject has occurred.

After confirmation from the FBI that an applicant’s initial set of fingerprints was rejected, the “Possibly First-Time Reject” record (FD-258 card and AIW) will be retrieved from storage, and the FD-258 card will be scanned using the Code-1 card-scanning option on the biometric-capture machine, and biographic information for the rest of the Code-1 processing will come from the information off the attached AIW and the FBI’s Transaction Control Reference (TCR) number that was received on the FBI’s first-time reject report.

Note: If the “Possibly First-Time Reject” record was for an IOE receipted applicant, the IOE receipt number must be entered as part of the submittal of the biometrics.

Retention /Destruction of FD-258 Cards: Once scanned and confirmation that the biometrics record has been gone to “Completed” status, the paper copies of the FD-258 card will be destroyed by shredding. If the FD-258 cards cannot be shredded immediately, the cards MUST be safe guarded in a locked container until such time that shredding can be completed. In NO CASE will the FD-258 card be given to the applicant.

For those “Possibly First-Time Reject” FD-258 cards, the record (FD-258 card and the AIW) will be retained in a locked container until confirmation of the initial FBI review has occurred.

If the results of the initial set were classifiable (thus no further submittal is required), then the card will be destroyed, and the AIW will be retained as per Section 2.B and Attachment 2.B – B.

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If the results of the initial set were unclassifiable (as denoted on the first-time reject report in NASS), then the FD-258 card and AIW will be used to resubmit those fingerprint images as a Code-1 reject submittal (using the TCR number) and the applicant information from the AIW. If more biographical information is needed, then the ASC ISO will print the original NASS appointment notice for that applicant from which the BT can obtain the necessary information to process the scanned fingerprints as a Code-1.

Again, once the system confirmation is received that the record has gone to “Completed” status on the BBSS Transaction List (or current report), the paper copy of the expected reject FD-258 card will be destroyed by shredding, and the AIW will be retained as per Section 2.B and Attachment 2.B – B.

Operational Procedures: The following operational procedures shall be used to complete the electronic scanning of completed FD-258 cards. Only rarely will signatures and/or photographs be scanned.

The procedures will be detailed in the following sequence:

1) FD-258 card scanning

2) Signature scanning (if required)

3) Photograph scanning (if required)

Note: Signature and/or photograph scanning will only occur if the ASC ISO has approved such processing.

3.B.1 - 3

Section 3.B.1 – A: Scanning Fingerprinting Cards

General Procedure Description: This procedure is used to scan a completed FD-258 fingerprint card at the scanner-equipped biometric workstation.

and the applicant has met the requirements to be manually fingerprinted, or anytime a completed FD-258 card(s) needs to be scanned, i.e., the first set of an applicant’s fingerprints have been rejected by the FBI and the customer service FD-258 card taken for such an event must now be scanned.

Who Performs This Procedure: A trained Biometrics Technician (BT), Site Supervisor, or ASC ISO can complete this phase. Since only one workstation at each ASC is equipped with the FBI-approved card-scanning device, either that workstation or the BT assigned to that workstation should be used to process those applicants requiring manual fingerprints.

Preparation for FD-258 Fingerprint Card Scanning

For those applicants for which manual (ink) processing of their fingerprints is required, once verification of the applicant’s identity has been made and the processing code under which the applicant is to be processed has been determined, the BT will then process the applicant at the manual fingerprint workstation, completing the FD-258 fingerprinting process, and then use the procedures described in Section 3.A.1 of this chapter, with one exception:

The process to complete the card scanning and remaining biometrics capture will be done at the electronic biometrics-capture workstation, thus the demographic data (and other capture processes) will be entered electronically.

2 Once the manual processing is complete, return with the applicant to the electronic biometric-capture workstation to which the FBI-approved card-scanner is affixed and log onto that workstation per normal log-in procedures.

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Scanning the Completed FD-258 Fingerprint Card

1 Upon logging into the scanner-equipped biometric workstation, select “Create New

Record” by pressing the icon in the upper left-hand corner of the screen or moving the selection arrow over that icon and press “Enter”.

2 A number of process options will appear. Depending on the code-type for which the applicant is to be processed (i.e., Code 1, 2, or 3), select the appropriate procedures.

For example, if the applicant is to be processed using the Code-1 procedures, select ‘Code 1 - Code 1 Applicant (with Card scan)’ and press the ‘OK’ button.

If the applicant is to be processed using the Code-3 procedures, select ‘Code 3

- Code 3 Applicant (with Card scan)’ and press the ‘OK’ button.

Regardless of the code type, the card scanning procedure involves using a card template and scanning the completed FD-258 fingerprint card. The system will extract the required fingerprint images. Image requirements must be met before a scanned transaction will be completed. Individual images can be annotated or skipped, and cards can be rescanned, if needed.

3 Open the card scanner and place the card to be scanned on the flatbed scanner platen with the image facing down, the top edge of the card along the top edge of the scanner platen and flush with the white mark in the upper-right hand corner of the platen. The card should be flush up and to the right where the arrow appears on the upper right-hand corner of the scanner frame.

Close the scanner cover.

4 On the biometric-capture workstation screen, select the Start Capture button.

5 A “Select the Card Scan Template to use” display box will appear with two options; highlight and select the ‘FD258’ option and then press the ‘Select’ button.

6 A ‘Progress” dialog box will appear with a Scanning window that shows the progress of the scanning. At the same time, the scanner’s light bar will move down the card, capturing the images on the card. After scanning is complete, the fingerprint images should appear on an extracted fingerprint display with the Right hand rolled images on the top, followed by the Left-hand rolled images, and the four images of the slap fingerprints.

3.B.1 - 5

Scanning the Completed FD-258 Fingerprint Card Step Action

7 If an error occurs during the extraction process, a dialog box will display indicating any fingerprints that cannot be extracted from the card. Select the check box(es) for any missing finger(s) and the select the OK button.

8 For those fingerprint images where an “XX” for amputation or an “UP” for unable to print have been annotated, be sure the card-scanner image depicts a readable annotation.

NOTE: DO NOT use the Image type button with the down arrow to the right of each finger descriptor as those annotations and descriptors are NOT approved for use by the FBI.

9 To view a scanned card: Select the View Card button.

Note: If the images are not properly aligned with the display boxes, the card may have to be repositioned slightly on the scanner platen and rescanned.

10 To return to the Fingerprint Card Scan screen, select the Back button.

11 Proceed with the Next task of the scanning process or the rest of the biometrics-capture code processing (Code -1 or Code-3).

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Section 3.B.1 – B: Scanning a Signature

General Procedure Description: This procedure is used to scan a signature at the scanner-equipped biometric workstation.

When to Use This Procedure: Only when approved by the ASC ISO. Remember, a signature is not required on a Code-1 submission.

Who Performs This Procedure: A trained Biometrics Technician (BT), Site Supervisor, or ASC ISO can complete this phase. Since only one workstation at each ASC is equipped with the FBI-approved card-scanning device, either that workstation or the BT assigned to that workstation should be used to process those applicants requiring manual fingerprints.

Scanning Signatures

1 Receive approval from the ASC ISO to scan a signature. Scanning a signature involves scanning, cropping, viewing, and saving an image.

2 Click the Scan button to initiate the signature capture process.

3 Place the paper/document to be scanned on the flatbed scanner platen with the image facing down and flush with the upper right corner of the platen.

4 To scan the signature, click the Scan button. The image begins scanning as a Progress indicator displays.

5 When the scan is complete, the image displays the results in the Capture Signature window.

6 To crop a signature from a scanned image:

• Place the cursor above and to the left of the signature.

• Click and drag the mouse diagonally across the signature.

• Release the mouse.

7 The selected portion of the image is highlighted and the Crop button at the bottom of the window activates.

8 Click the Crop button. The signature is cropped.

9 To accept the cropped signature, click the Accept Signature button.

3.B.1 - 7

Section 3.B.1 – C: Scanning a Photograph

General Procedure Description: This procedure is used to scan a photograph at the scanner-equipped biometric workstation.

When to Use This Procedure: Only when approved by the ASC ISO.

Who Performs This Procedure: A trained Biometrics Technician, Site Supervisor, or ASC ISO can complete this phase. Since only one workstation at each ASC is equipped with the FBI-approved card-scanning device, either that workstation or the BT assigned to that workstation should be used to process those applicants requiring manual fingerprints.

Scanning a Photograph

1 Receive approval from the ASC ISO to scan a Photograph. Capturing a photograph involves scanning, viewing and saving an image.

2 Place the paper/document to be scanned on the flatbed scanner platen with the image facing down and flush with the upper right corner of the platen.

3 To scan the photograph, click the Scan button. The image begins scanning as a progress indicator displays.

4 When the scan is complete, the image displays in the Scanned Image Box.

5 To crop a photograph from a scanned image:

• Place the cursor above and to the left of the desired area in the photograph.

• Click and drag the mouse diagonally across the desired photograph.

• Release the mouse.

6 The selected portion of the image is highlighted and the Crop button at the bottom of the window activates.

7 Click the Crop button.

8 The photograph is cropped and displays in the Scanned Image Box.

9 To accept the cropped signature, click the Accept Scan button.

10 The photograph now displays on the right side of the screen.

3.B.1 - 8

Scanning a Photograph

11 To accept the photograph, click the Accept Photo button.

3.C - 1

Section 3.C: Photographs

Background: With the increased capacity for identity data storage in the Office of Biometric Identity Management (OBIM), all data entries must include a photograph of the person from whom the biometrics were captured. Hence, the former Code-1 – Fingerprints Only has been changed to add a photograph of the applicant.

Operational Procedures: All Code-1 processing will include a photograph of the applicant.

There is NO WAIVER of the photograph requirement.

Capturing the Applicant’s Photo

Once fingerprinting has been completed, the photograph capture process will automatically follow. To capture the photo, refer to the most current version of the biometrics workstation Operations Guide.

Position the applicant in the photo capture chair (or have them stand if the chair would be visible in the photo) and direct the applicant to remove all items that cover any part of her/his face.

Review the final capture formatted photo to assure that the picture has a uniform background color, the eyes are horizontal with the framed picture, the applicant’s facial features are clear and visible, and that there are no “hot spots” – visible glares from the flash or overhead lighting. If there are any issues, recapture the photo, applying the appropriate corrective action.

Contrast between the image and background is essential. Biometric technicians should adjust the lighting. This may include shading the applicant to reduce overhead glare or obtaining a better image by suppressing the flash.