DEPARTMENTAL
REGULATION
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Number: 4725-001 |
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SUBJECT: Procedures
for the Submission of Fingerprints in the Background Investigation Process |
DATE: January
9, 2013 |
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OPI: |
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Section Page
1 Purpose 1
2 Background 1
3
Definitions 2
4 Authorities and References 3
5 Submission Methods 3
6 Types of Results 4
7 Costs 5
8 Policy 5
9 Reciprocity 6
1.
PURPOSE
This regulation
outlines the fingerprinting responsibilities and practices of the U.S.
Department of Agriculture (USDA).
2.
BACKGROUND
Executive Order 10450, Security Requirements for Government Employment,
requires that all Federal employees be fingerprinted.
In
addition, the Office of Management and Budget (OMB) guidance and Federal
Information Processing Standard (FIPS) 201-1 require that departments and
agencies initiate a background investigation (National Agency Check and
Inquiries (NACI) or at least equivalent) and ensure the FBI fingerprint check
is completed before issuing an identity credential.
Initial
applicant suitability screening at USDA and related hiring processes are
conducted by Human Resources Offices, or delegated Personnel Security Offices,
across each Mission Area. In accordance
with Code of Federal Regulations (CFR), 5 CFR Part 731, Suitability, investigations
should be initiated before appointment or, at most, within 14 calendar days of
placement in the position. Agencies
should begin screening, to include the fingerprinting process, as soon as a
person accepts a tentative offer of employment.
3.
DEFINITIONS
a.
EOD - “Entry on Duty” refers to the first day of employment
b.
FBI Identification Record - Often
referred to as a criminal history record or a “rap sheet” – is a listing of
certain information taken from fingerprint submissions retained by the FBI in
connection with arrests and, in some instances, Federal employment,
naturalization, or military service. If
the fingerprints are related to an arrest, the Identification Record includes
name of the agency that submitted the fingerprints to the FBI, the date of the
arrest, the arrest charge, and the disposition of the arrest, if known to the
FBI.
c.
Federal Document (FD) 258 - An FBI-issued
collection chart intended for use when collecting fingerprints from contractor
personnel. The FBI does not maintain FD
258 fingerprint images for contractor personnel.
d.
Live Scan - Live Scan fingerprinting
makes it possible for a fingerprint to be taken electronically and sent to law
enforcement for identification. Live
Scan fingerprinting is inkless and it captures the fingerprint digitally on a
computer. The prints are then forwarded
electronically to the FBI or another authorized agency for a criminal
background check.
e.
Standard Form (SF) 87 - An Office of Personnel Management (OPM)
-sponsored form intended for use when collecting fingerprints from Federal civilian employees and
military personnel. The FBI maintains
Standard Form (SF) 87 fingerprint images for military and Federal employees. This information supports the
post-appointment arrest information process, which enables new FBI criminal
arrest information to be forwarded through the OPM to the employing agency of a
Federal employee.
4.
AUTHORITIES AND REFERENCES
a.
5 CFR
Part 731, Suitability
b.
Executive
Order 10450, Security Requirements for Government Employment, April 27,
1953
c.
DR
4720-001, USDA Onboarding Requirements, June 3, 2011
d.
DR
4620-002, Common Identification Standard for U.S. Department of Agriculture
Employees and Contractors, January 14, 2009
e.
OMB, Reciprocal
Recognition of Existing Personnel Security Clearances, December 12, 2005
f.
Executive
Order 13488, Granting Reciprocity on Excepted Service and Federal Contractor
Employee Fitness, January 16, 2009
5.
SUBMISSION
METHODS
Fingerprint submissions are required for all initial investigations sent to OPM. In most instances, the agency requiring the investigation will fingerprint the individual. However, individuals may go to a police station to be fingerprinted if onsite fingerprinting is unavailable due to geographical location. USDA Agencies will instruct their personnel security office to use one of the following three methods to submit fingerprints:
a.
Fingerprints are submitted to OPM’s
Fingerprint Transaction System (FTS) electronically via an FBI approved Live
Scan System or Fingerprint Card Scan System that utilizes OPM-approved
software.
b.
Hardcopy fingerprint submissions may be
provided to OPM on an approved SF 87 or FD 258 fingerprint chart. The chart type dictates the maintenance and
retention cycle for the fingerprints, which is dictated by the applicant’s
affiliation (Federal or non-Federal).
c.
Electronically submit the fingerprints
(either a scan of the fingerprint card or direct transmittal of fingerprints
must be provided) to OPM or FBI with biometric capture scanners. The table in Appendix A identifies which USDA
Agencies have currently implemented this process and the Agency they are
transmitting to.
To obtain additional information regarding OPM requirements,
please email the following address: livescanauthorization@opm.gov
For additional information regarding FBI system requirements,
please visit
https://www.fbibiospecs.org/iafis/.
6. TYPES
OF RESULTS
A
fingerprint only Special Agreement Check
(SAC) may be conducted prior to submission of any investigative request and
may be captured either (1) electronically using Live Scan System or Fingerprint
Card Scan System and transmitted to OPM’s Fingerprinting Transaction System
(FTS) or (2) captured hardcopy and mailed to OPM. The fingerprint request is processed as a SAC
case type 92.
If
the request for a higher level investigation is received within 120 days of the
fingerprint result, OPM will merge the results from the Fingerprint SAC into
the new investigation and issue an adjustment for the Fingerprint SAC. When using results from a fingerprint SAC for
a higher level investigation, indicate the letter “I” in the FIPC Codes block
of the Agency Use Block (AUB) on the SF85, SF85P, or SF86.
An
Advance Fingerprint Result may be
requested as part of a full background investigation. To request an Advance Fingerprint Result with
an SF85, SF85P, or SF86, indicate the letter “R” in the FIPC Codes block in the
AUB. This code will generate priority
processing of your request and will trigger an Advance Fingerprint Report to be
generated the day after completion of the criminal history check.
7. COSTS
OPM publishes its investigations billing rates for
each fiscal year (FY) in a Federal Investigations Notice (FIN) prior to the end
of each fiscal year. All FINs can be
viewed at http://www.opm.gov/investigate/index.aspx. The costs
below represent FY2013 costs and are subject to change thereafter.
The
FBI charges user fees for processing Federal fingerprint and name search
requests that are not specifically for criminal justice or law enforcement purposes.
Contractor positions are not eligible for exemption even if they are in a
position supporting the contracting agency’s criminal justice position.
As of FY2013, the following costs (by
submission method) are associated when requesting a fingerprint only SAC. NOTE:
These costs do not include the costs associated with obtaining and
maintaining the equipment for electronic processing (varies depending on third
party contracting costs).
a.
Electronically
submit fingerprints to OPM for a charge of $24.25*; or
b.
Electronically
submit fingerprints directly to the FBI for an approximate
charge of $47.25* (varies depending on third party contracting costs); or
c.
Mail
in hard-copy fingerprint charts directly to OPM
to initiate the fingerprint only SAC for a charge of $17.25 plus a $9
processing rate for all SAC requests = $26.25*
*All
costs are as of 10/01/2012 and are subject to change per OPM. For current costs, please contact PDSD at 202-720-7373.
There is no charge to
request an Advance Fingerprint Result
from OPM as part of the full investigation (NACI or higher).
8. POLICY
It is the policy
of USDA to utilize the most efficient and cost effective methods available to
obtain results to fingerprint searches. USDA
will no longer authorize electronically submitting fingerprint charts directly
to the FBI without an appropriate waiver (see below). USDA will submit all fingerprint checks
through OPM. As a result, the two
options agencies have for obtaining fingerprint only SAC results for pre-EOD
purposes are:
a.
Electronically
submit fingerprints to OPM for a charge of $24.25*; or
b.
Mail
in hard-copy fingerprint charts directly to OPM
to initiate the fingerprint only SAC for a charge of $17.25 plus the $9
processing rate for all SAC requests = $26.25*.
*All
costs are as of 07/11/2012 and are subject to change per OPM. For current cost please contact PDSD at,
202-720-7373.
Once an employee has entered on
duty (post-EOD), the most cost effective way for agencies to obtain fingerprint
results would be to mark the investigation (regardless of type) with an “R” in
the Federal Investigations Processing Code FIPC codes portion of the AUB for an
Advance Fingerprint Result. There is no
cost associated with this check.
In
accordance with EO 10450, (b) “…in case of
emergency a sensitive position may be filled for a limited period by a
person with respect to whom a full field pre-appointment investigation has not
been completed if the head of the department or agency concerned finds
that such action is necessary in the national interest, which finding shall be
made a part of the records of such department or agency.” In emergency situations where there is a
critical need to bring an employee onboard or grant the necessary access
permissions, the Director of the Office of Homeland Security and Emergency
Coordination (OHSEC) may grant a waiver to allow for submission to the FBI,
following an official request from an agency, and pending the proper
investigation checks.
If an
agency decides to use an alternate submission method that they find is more
cost efficient and meets their business needs, the Assistant Secretary of
Administration may grant a waiver, following an official request from an
agency.
9. RECIPROCITY
Reciprocity guidelines require agencies to accept favorable
adjudication determinations for a person transferring from another department
or agency when the favorable determination can be verified by the person's
former department or agency and the individual has undergone a current level of
investigation at the required level based on the new position. Break in service rules apply. Agencies must check for reciprocity by
utilizing OPM’s Central Verification System prior to requesting the employee
complete any investigation actions, to include fingerprinting.
-END-
Appendix
A
List of
USDA Agencies with Current Electronic Fingerprint Submission Capability as of
6/15/2012
|
USDA Agencies |
Submittal Agency |
Number of Fingerprint Scanners |
Locations |
Point of Contact |
|
Animal and Plant Health Inspection Service (APHIS) |
OPM |
6 |
Minneapolis, MN Fort Collins, CO Riverdale, MD Raleigh, NC Ames, IA Washington, DC |
Dru Dukart, dru.j.dukart@aphis.usda.gov |
|
Agricultural Research Service (ARS) |
OPM |
3 |
Beltsville, MD Albany, CA St. Louis, MO |
Eleanora Locker |
|
Rural Development (RD) |
FBI |
2 |
Washington, DC St. Louis, MO |
Deborah Oliver |
|
Office of the Chief Information Officer (OCIO) |
FBI |
2 |
Kansas City, MO Washington, DC |
Dan Loredo |
|
Farm
Service Agency (FSA) |
FBI; In process of
switching to OPM |
2 |
Kansas City, MO Washington, DC |
Kathy Kroening |
|
FNS
(Food Nutrition Service) *contracted out to Bureau of Public Debt (BPD) |
OPM |
1 |
Parkersburg, WVA |
David Brown |
|
DM
(includes OGC and OSEC) |
OPM |
1 |
Washington,
DC |
Anthony White |
|
National Finance Center (NFC) |
OPM |
1 |
New
Orleans, LA |
Larry Laurato |