Electronic Fingerprint Capture Options for Industry · Electronic Fingerprint Capture for Industry...

DefenseSecurityService

ElectronicFingerprintCaptureOptionsforIndustry

Version2.0January2013IssuingOffice:DefenseSecurityServiceRussell‐KnoxBuilding27130TelegraphRdQuanticoVA22134

ElectronicFingerprintCaptureforIndustry

TableofContents

1.0Introduction.....................................................................................................................................3

2.0Purpose..............................................................................................................................................3

3.0DeploymentOptions.....................................................................................................................3

3.1Option1:CompanyPurchasesEquipment......................................................................................................4

3.2Option2:CompaniesSharingResources.........................................................................................................4

3.3Option3:Company(s)OfferingService............................................................................................................5

3.4Option4:ThirdPartyVendorProvidesElectronicFingerprintFile....................................................5

3.5Option5:OtherGovernmentEntities................................................................................................................6

4.0ImplementationPlan....................................................................................................................6

5.0HandlingPersonallyIdentifiableInformation....................................................................6

6.0Funding..............................................................................................................................................7

7.0TechnicalSupport..........................................................................................................................7

AppendixA..............................................................................................................................................8

AppendixB............................................................................................................................................11

AppendixC.............................................................................................................................................12

1.0Introduction

BymemorandumdatedJuly29,2010,theUnderSecretaryofDefenseforIntelligenceissuedarequirementforDepartmentofDefense(DoD)componentstotransitiontoelectroniccaptureandsubmissionoffingerprintimagesinsupportofallbackgroundinvestigationsbyDecember31,2013(e‐Fingerprintmemo).InanefforttocomplywiththismandatetheDefenseSecurityService(DSS)isprovidingguidancetoassistcompaniesparticipatingintheNationalIndustrialSecurityProgram(NISP)totransitiontoelectronicfingerprinting.Additionally,thistransitionwillsupportgoalsestablishedbytheIntelligenceReformandTerrorismPreventionActof2004andtheimplementationofHomelandSecurityPresidentialDirective‐12.

2.0Purpose

ThepurposeofthisdocumentistooutlinetheoptionsavailableforclearedcompanieslistedintheIndustrialSecurityFacilitiesDatabasetosubmitelectronicfingerprintfilestotheDefenseManpowerDataCenter(DMDC)forNationalIndustrialSecurityProgram(NISP)applicants.TheDMDCprovidestheSecureWebFingerprintTransmission(SWFT)enablingindustryuserstosubmitelectronicfingerprintsanddemographicinformationforapplicantsrequiringabackgroundinvestigationforapersonnelsecurityclearance.OPMreceivesthehardcopyfingerprintsandscansthefingerprintstoanElectronicFingerprintTransmissionSpecification(EFTS)filetoforwardtotheFederalBureauofInvestigation(FBI).Paper‐basedcapture,submissionandprocessingoffingerprintsarepronetoerrorsandaretimeconsumingastheyaremailedtotheOfficeofPersonnelManagement(OPM).TheSWFTapplicationeliminatesthemanualpaperprocess(hardcopyfingerprints),expeditestheclearanceprocess,andprovidesend‐to‐endaccountabilityforPersonallyIdentifiableInformation(PII)data.

3.0DeploymentOptions

ThefollowingoptionsofferalternativesforIndustrytosubmitfingerprintselectronicallytoinitiatethebackgroundinvestigation.Industrymayimplementoneormoreoptionsbasedonfunding,missionneedsandgeographiclocations.Companiesmayacquireelectronicfingerprintcapture/hardcopyscandevicesorleverageotherserviceproviders.TheFBI‐certifiedproductlistislocatedonthefollowingwebsite:FBI‐ProductList.ProceduresonhowtoregisterforSWFTarelocatedontheDMDCwebsite,underPersonnelSecurity/Assurance,SWFT:DMDC‐SWFTHomepage.Priortoworkingwithanyserviceprovidercollectingand/ortransmittingfingerprintstoSWFTandOPM,pleasenote,thesevendorsmustbevettedthroughtheSWFT/OPMregistrationprocesspriortothesubmissionofasubject’sprints.

3.1Option1:CompanyPurchasesEquipment

Thisoptionallowscompaniestopurchaseelectronicfingerprintcapture/hardcopyscannersinordertosubmitfingerprintselectronicallytoSWFT.IndustrycompaniesmaypurchaseequipmentandsoftwareusingtheFBI‐certifiedproductlocatedonthefollowingwebsite:FBI‐ProductList.

3.2Option2:CompaniesSharingResources

Thisoptionallowsmultiplecompaniestosharethecostofpurchasingelectronicfingerprintcapture/hardcopyscandevices.Beyondtheinitialcosts,thisoptionmayrequirearecurringmaintenancefeeforsustainment.IfCompanyAissubmittingonbehalfofCompanyB,Figure2showsthattheowning/servicingFacilitySecurityOfficer(FSO)doesnothavetobeinvolvedintheactualsubmissionofthefingerprintstoSWFT.

Ifcompaniesaresharingresourcesbutsubmittingtheirownelectronicfingerprintsthentheequipmentandsoftwareshouldsupportmultiplepre‐configuredCompanyprofiles.InFigure2atheelectronicfingerprintfileisprovidedbacktotheFSOwhowillsubmitthefiletoSWFT.

3.3Option3:Company(s)OfferingServiceThisoptionallowsCompanyPurchasedEquipmenttobeofferedasaserviceto

supportothercompaniesinsubmittingelectronicfingerprintstoSWFT.Thisoptionpermitsaclearedcompanytosubmitelectronicfingerprintsonbehalfofotherclearedcompanies.Clearedcompaniesmustsubmitaletterofauthorizationoncompanyletterhead,signedbyaKeyManagementPersonnel(KMP)orcorporateofficialauthorizinganotherclearedcompanytosubmitelectronicfingerprintsontheirbehalf.

3.4Option4:ThirdPartyVendorProvidesElectronicFingerprintFileThisoptionallowsacompanytoreceivetheelectronicfingerprintfilefromathirdpartyvendorthatisanFBIapprovedchanneler.ThethirdpartyvendorcollectsthefingerprintsandsavesthefileintherequiredformattomeetSWFT,OPMandFBIstandards.Thevendorprovidestheelectronicfingerprintfiletothecompanyusingagreeduponfiletransfermethods.Theowning/servicingFSOuploadsthefiletoSWFT.ThethirdpartyvendormustcoordinatethroughthesponsoringFSOtoregistertheirequipmentwithSWFTpriortoprocessinganyNISPapplicants.ThethirdpartyvendormaysubmitelectronicfingerprintfilestoSWFTonbehalfofaclearedcompanywithaletterofauthorization.

3.5Option5:OtherGovernmentEntities

ThisoptionallowsIndustrytopartnerwiththemilitaryservicesandothergovernmentagenciesparticipatingintheNISP(seeAppendixC)forelectronicfingerprintsubmissions.MilitaryservicesandgovernmentagenciesmayleveragetheirelectronicprocessestosubmitdirectlytoOPM.ItisnotnecessarytousetheDSSSubmittingOfficeNumber(SON)andSecurityOfficeIdentifier(SOI)tosubmitelectronicfingerprintsthroughagovernmententity.OPMwillmatchthefingerprintresultstotheSF86submissiontoinitiatethebackgroundinvestigationbyusingtheindividual’ssocialsecuritynumber.TheSF86submissionwillincurtheinvestigationcosttoDSSwhichincludestheFBIfingerprintcheck.

4.0ImplementationPlan

Companiesmaydeploymultipleoptionsdependingonhowwidespreadtheirclearedpopulationis,aswellasotherfactorsthatmayapplytotheirorganization.ASWFTaccountmaybenecessaryandFSOsshouldreviewtheSWFT‐Registration,AccessandTestingProceduresdocumenttoobtaininformationongainingaccesstoSWFTandregisteringequipment,ifrequired.SinceOption5allowsfingerprintstobeelectronicallysubmitteddirectlyfromagovernmentagencytoOPM,SWFTwillnottrackthesesubmissions.

5.0HandlingPersonallyIdentifiableInformation

SafeguardingPersonallyIdentifiableInformation(PII)istheresponsibilityofeveryFederalagencyandallusersofFederalinformationandinformationsystems.AsauserofDoDinformationsystems,regardlessofwhethertheyaremilitary,civilian,oracontractorpersonnel,theyareresponsibleforprotectingPIIfromunauthorizeduseordisclosure,asrequiredbyFederallawsandDoDregulations.InordertosupportauthorizedPIIdatasharing,DSSrecommendsthefollowing:

1. Companies/vendorswhowishtoprovidefingerprintservicestoothercompaniesenterinanagreementwitheachother,allowingtheserviceprovidertohavetheirSWFTaccountbeassociatedwiththeothercompany’sCAGECode.DMDCwillreceiveacopyofanysuchagreementpriortoassociatingSWFTaccountwithCAGECodesofother/unrelatedcompanies.

2. Intheabsenceofanagreement,eachrequestforaddingaCAGECodetoexistingSWFTaccountoftheserviceproviderwillrequireaseparateSystemAccessRequest(SAR)validatedbythecorporateofficialorKMPofthecompanythatisseekingthefingerprintservicesfromtheprovider.

6.0Funding

SWFTisafullyoperationalsystemthatisfunded,managedandoperatedbytheDefenseManpowerDataCenter(DMDC).Themajorfundingissueforclearedcontractorsimplementingelectronicfingerprintingisthetotalcostofownershipofhardwarethatisneededtoproducetheelectronicfingerprints.Itisrecommendedthatthecompanyevaluateacquisitionandoperatingcostswhendeterminingwhichoptionsbestsuitthecompany’sorganizationalneeds.ItisalsolikelythatcompanieswillseektoaddanycostsassociatedwithnewGovernment‐imposedsecurityrequirementstotheircontractpricesasanequitableadjustment.SingleUser:SWFTisdesignedtoacceptfingerprintsfromSWFTusersandregisteredequipment.ASWFTusermaybeassociatedwithmultipleCAGECodes(e.g.,CageCodesofsubsidiariesofalargecompany).Thisensuresthatfingerprintsarereceivedfromatrustedsourceusingapprovedequipment.MultipleUsers:Ifmultipleusersshareequipment,theequipmentwillbetestedonlyonce.TheuserswillhavetodevelopasystemthatwillhelpthemtokeepthefingerprintsseparatedbetweenindividualcompaniesandCAGEcodes,andassistwithindustrybilling.

7.0TechnicalSupport

TheDMDCSWFTteamprovidessupportforregisteringequipment,coordinatingtestactivities,andassistingwithdatadiscrepancyresolution.AllotherSWFTinquiriesshouldberoutedthroughtheDoDSecurityServicesCenterortelephone(888)282‐7682.TheSWFTSupportTeamdoesnotprovidetechnicalassistanceforhardwaredevices.Thistypeofsupportwillcomefromtheequipmentsupplierorhardwaremanufacturer.ASWFTconfigurationguideisavailabletoregisteredusersoncetheyloginintotheSWFTsystemanddownloaditfromtheHelpmenu.

AppendixA

FrequentlyAskedQuestionsQUESTIONSANDANSWERS:Thefollowingquestionsandanswersareinresponsetoqueriesoranticipatedqueriesregardingtherequirementtotransitiontoelectronicfingerprintsubmissionforpersonnelsecurityinvestigations:Q:Whyisthischange(electronicsubmissionoffingerprints)beingmandated?A:Manuallycapturingandsubmittingfingerprintsistimeconsumingandpronetoerrors.Theintentistoutilizeautomatedelectronicfingerprintdevicestospeedcapture,submission,andprocessingtime.Additionally,thistransitionwillsupportgoalsestablishedbytheIntelligenceReformandTerrorismPreventionActof2004andtheimplementationofHomelandSecurityPresidentialDirective‐12.Q:Howcanaclearedcompanyknowwhatspecificequipmenttopurchase?A:TheFBImaintainsalistofproductscertifiedastestedandcompliantwiththeFBI'sNextGenerationIdentification(NGI)initiativesandIntegratedAutomatedFingerprintIdentificationSystem(IAFIS)ImageQualitySpecifications(IQS).TheFBICriminalJusticeInformationServicesDivisionBiometricServicesSection,aspartofBiometricCenterofExcellence,certifiestheseproducts.Q:WhatisSWFT?A:SWFTisSecureWebFingerprintTransmission.SWFTprovidescompaniesparticipatingin,orapplyingtoparticipatein,theNationalIndustrialSecurityProgramtheabilitytotransmitfingerprintfileselectronicallythroughsecurewebservices.Theprocessallowsfingerprintimagestobecapturedelectronically,uploadedtoacentralcollectionpoint(SWFTserver),andthenreleasedfromtheSWFTsystemtoOPMandroutedtotheFBI.DSShasdesignatedSWFTastheonlymethodforsubmittingelectronicfingerprintstoOPMinassociationwithabackgroundinvestigationforNISPparticipants.Q:WhyuseSWFT?A:OPMisthepersonnelsecurityinvestigativeserviceproviderforDoDandchannelsthefingerprintstotheFBIinordertoreceivetheresultsfromtherecordandnamechecksinconjunctionwithbackgroundinvestigations.SWFTwasdevelopedtoprovideIndustrywithastreamlinedprocessandtraceabilityofelectronicfingerprintsubmissions.Furthermore,theDefenseSecurityServicesubmitsthepersonnelsecurityinvestigationrequesttoOPMonbehalfofIndustryandpaysforthecostassociatedwithcompletingtheinvestigation.Sincefingerprintcheckresultsarearequiredelementforallinitialpersonnelsecurityinvestigations,theservicefeeassociatedwiththesubmissionisfundedbyDSSaswell.

Q:HowsooncanclearedfacilitiestransitiontosubmittingelectronicfingerprintstoSWFTmethod?A:AnyclearedfacilitycanbeginthetransitiontoSWFTimmediatelyusinganyoftheoptionslistedinparagraph2.0.SWFTisafullyoperationalsystemthatisfunded,managedandoperatedbyDefenseManpowerDataCenter(DMDC).Q:Whatarethechallenges?A:TheUSD‐ImemorandumdatedJuly29,2010mandatesthatfingerprintsmustbesubmittedelectronicallyforallbackgroundinvestigationsbyDecember2013.Resourceissuescoulddelaydeployment,whichcouldincludeavailabilityofequipment,registrationprocessing,machinetesting,andusertraining.Q:Ourcompanyhasbeenassignedover10differentCAGEcodes,buthasonlytwocentralprocessingstationsinseparatelocations.Whichoptionisoptimalforourcompany,andhowwilltheprocessactuallywork?A:Therearetwowayshowacentralprocessingstationcouldbeengagedinprocessingandsubmissionofe‐FingerprintstoSWFT:1.CompanyAownsoneormoreelectronicfingerprintcapture/hardcopyscandevices,whichhavebeenregisteredwithOPMandSWFT.Theuseraccountofthecentralprocessingstationstaffmember(e.g.,FSO)isnotonlyassociatedwiththeCAGECodeofCompanyA,butalsowithCAGECodesofthecompany’sbranchesB,C,D,etc.Subject((i.e.,theclearanceapplicant)fromCompanyAoranyofitsbranchescomestothecentralprocessingstation,hasthefingerprintsscanned,andthee‐Fingerprintisgenerated.TheFSOthenlogsintotheSWFTsystemandselectstheCAGECodethatwillbeusedinthissession.ThentheFSOuploadstoSWFTalle‐FingerprintsthatareassociatedwiththeselectedCAGECode.Thesameprocesswillbeusedtosubmite‐FingerprintsforanyotherCAGECodethattheFSOhasbeenregisteredtouse.Alargecompanymaychoosetosubmite‐FingerprintsfortheirsubsidiariesunderasingleCAGECode.2.CompanyAownsoneormorecomputer/scannersystems,whichhavebeenregisteredwithOPMandSWFT.Theuseraccountofthecentralprocessingstationstaffmember(e.g.,FSO)isassociatedonlywiththeCAGECodeofCompanyA.IfthecompanyhasmultiplebranchesB,C,D,etc.,thentheirFSOsestablishtheirownSWFTuseraccount.SubjectfromCompanyAoranyofitsbranchescomestothecentralprocessingstation,hasthefingerprintsscanned,andthee‐Fingerprintisgenerated.ThestaffmemberoftheappropriatecompanyorbranchlaterlogsintotheSWFTsystemfromanysecurelocation(itdoesn’thavetobecollocatedwiththecentralprocessingstation),anduploadsthee‐FingerprinttoSWFT.

Q:TheSWFTsupportsmultipleCAGEcodes,butthevendorwhosupportsourfingerprintscanneradvisedusthattheyhavenotyetintegratedmultipleCAGEcodesintheirsoftware.HowcanourFSOuploade‐FingerprintsformultipleCAGEcodes?A:TheSWFTsystemonlyregisterstheCAGECodesofitsusers(e.g.,FSOs)tosupporttheuploadofe‐FingerprintfilesandviewreportstiedtoCAGECodes.ThisisintendedtoprovidesecurityandaccountabilityforthePIIuploadedandstoredinSWFT.Theprocessofgeneratingthee‐Fingerprintfiles(actiontakenonafingerprintscanner)andtheprocessofuploadingthee‐FingerprinttoSWFT(actiontakenonanycomputerwithwebbrowser)aretwoseparate,asynchronousandindependentprocesses.TheFSOfirstscansaperson'sfingerprintandgeneratesthee‐Fingerprintfile.Thisprocesscanberepeatedformultiplepersonsasneeded.Later,theFSOlogsintotheSWFTsystemfromanysecurelocation(itdoesnothavetobecollocatedwiththefingerprintscanner),anduploadsthee‐FingerprintstoSWFT.

AppendixB

References

USD(I)memo,DoDTransitiontoElectronicFingerprintCaptureandSubmissioninSupportofBackgroundInvestigations,datedJuly29,2010:e‐Fingerprintmemo

SecureWebFingerprintTransmission(SWFT)programavailablenow:

o Homepage:https://www.dmdc.osd.mil/psawebdocs/docPage.jsp?p=SWFTo SWFTProgramManagerEmail:dodhra.dodc‐mb.dmdc.mbx.swft@mail.milo Registration,AccessandTestingProcedures:

https://www.dmdc.osd.mil/psawebdocs/docRequest//filePathNm=PSA/appId=560/app_key_id=1559jsow24d/siteId=7/ediPnId=0/userId=public/fileNm=SWFT+Access+Registration+and+Testing+Procedures+v1.1.pdf

FBIApprovedList:o FBI‐CertifiedProducts:https://www.fbibiospecs.org/IAFIS/Default.aspx

FBIApprovedChannelerList:

o FBIApprovedChannelers:http://www.fbi.gov/about‐us/cjis/background‐checks/list‐of‐fbi‐approved‐channelers

DoDSecurityServicesCenter:o CustomerServiceHours:6:00AM–8:00PMEST,MondaythroughFriday

(excludingfederalholidays)o Toll‐FreeTelephone:(888)282‐7682o Website:http://www.dss.mil/about_dss/contact_dss/contact_dss.html

AppendixC

TheSecretaryofDefensehasenteredintoagreementswiththedepartmentsandagencieslistedbelowforthepurposeofrenderingindustrialsecurityservices:

1. DepartmentofAgriculture

2. DepartmentofCommerce

3. DepartmentofEducation

4. DepartmentofHealthandHumanServices

5. DepartmentofHomelandSecurity

6. DepartmentofJustice

7. DepartmentofLabor

8. DepartmentofState

9. DepartmentofInterior

10. DepartmentofTransportation

11. DepartmentofTreasury

12. EnvironmentalProtectionAgency

13. FederalCommunicationsCommission

14. FederalReserveSystem

15. GeneralServicesAdministration

16. GovernmentAccountabilityOffice

17. NationalAeronauticsandSpaceAdministration

18. NationalScienceFoundation

19. NuclearRegulatoryCommission

20. OfficeofPersonnelManagement

21. SmallBusinessAdministration

22. UnitedStatesAgencyforInternationalDevelopment

23. UnitedStatesInternationalTradeCommission

24. UnitedStatesTradeRepresentative

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