electronic fingerprint capture options for industry · electronic fingerprint capture for industry...
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DefenseSecurityService
ElectronicFingerprintCaptureOptionsforIndustry
Version2.0January2013IssuingOffice:DefenseSecurityServiceRussell‐KnoxBuilding27130TelegraphRdQuanticoVA22134
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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
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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.
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3.1Option1:CompanyPurchasesEquipment
Thisoptionallowscompaniestopurchaseelectronicfingerprintcapture/hardcopyscannersinordertosubmitfingerprintselectronicallytoSWFT.IndustrycompaniesmaypurchaseequipmentandsoftwareusingtheFBI‐certifiedproductlocatedonthefollowingwebsite:FBI‐ProductList.
3.2Option2:CompaniesSharingResources
Thisoptionallowsmultiplecompaniestosharethecostofpurchasingelectronicfingerprintcapture/hardcopyscandevices.Beyondtheinitialcosts,thisoptionmayrequirearecurringmaintenancefeeforsustainment.IfCompanyAissubmittingonbehalfofCompanyB,Figure2showsthattheowning/servicingFacilitySecurityOfficer(FSO)doesnothavetobeinvolvedintheactualsubmissionofthefingerprintstoSWFT.
Ifcompaniesaresharingresourcesbutsubmittingtheirownelectronicfingerprintsthentheequipmentandsoftwareshouldsupportmultiplepre‐configuredCompanyprofiles.InFigure2atheelectronicfingerprintfileisprovidedbacktotheFSOwhowillsubmitthefiletoSWFT.
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3.3Option3:Company(s)OfferingServiceThisoptionallowsCompanyPurchasedEquipmenttobeofferedasaserviceto
supportothercompaniesinsubmittingelectronicfingerprintstoSWFT.Thisoptionpermitsaclearedcompanytosubmitelectronicfingerprintsonbehalfofotherclearedcompanies.Clearedcompaniesmustsubmitaletterofauthorizationoncompanyletterhead,signedbyaKeyManagementPersonnel(KMP)orcorporateofficialauthorizinganotherclearedcompanytosubmitelectronicfingerprintsontheirbehalf.
3.4Option4:ThirdPartyVendorProvidesElectronicFingerprintFileThisoptionallowsacompanytoreceivetheelectronicfingerprintfilefromathirdpartyvendorthatisanFBIapprovedchanneler.ThethirdpartyvendorcollectsthefingerprintsandsavesthefileintherequiredformattomeetSWFT,OPMandFBIstandards.Thevendorprovidestheelectronicfingerprintfiletothecompanyusingagreeduponfiletransfermethods.Theowning/servicingFSOuploadsthefiletoSWFT.ThethirdpartyvendormustcoordinatethroughthesponsoringFSOtoregistertheirequipmentwithSWFTpriortoprocessinganyNISPapplicants.ThethirdpartyvendormaysubmitelectronicfingerprintfilestoSWFTonbehalfofaclearedcompanywithaletterofauthorization.
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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.
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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.
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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.
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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.
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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.
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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‐[email protected] 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
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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