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Circular 09-01


DEPARTMENT OF HEALTH AND HUMAN SERVICES
INDIAN HEALTH SERVICE
ROCKVILLE, MARYLAND 20852

Refer to: DAS

INDIAN HEALTH SERVICE CIRCULAR NO. 2009-01

Effective Date:  May 4, 2009

HEADQUARTERS INDIAN HEALTH SERVICE
PERSONAL IDENTITY VERIFICATION CARD

  1. PURPOSE.  The purpose of this circular is to provide guidance and specify procedures for issuing identification credentials (badges) to meet the requirements for personal identity verification (PIV) by the Homeland Security Presidential Directive-12 (HSPD- 12) and other mandatory standards for Indian Health Service (IHS) Headquarters staff located in Rockville, Maryland.

  2. BACKGROUND.  The HSPD-12, "Policy for a common Identification Standard for Federal Employees and Contractors," dated August 27, 2004, requires all Federal agencies to develop specific and consistent standards for both physical and logical identification systems.  The National Institute of Standards and Technology, Federal Information Processing Standard (FIPS) 201 "Personal Identity Verification (PIV) of Federal Employees and Contractors," dated February 25,2005, establishes detailed standards for implementing processes and systems to fulfill the requirements of HSPD-12 and consists of two parts: PIV-1, security requirements; and PIV-II, technical interoperability requirements.

    The Department of Health and Human Services (HHS), General Administration Manual, Chapter 7-01-50, "Employee Badging," Transmittal Notice 89.01 (09/29/1989), provides instruction to HHS agencies on badge requirements as they relate to exterior and interior physical security measures.  Title 18,United States Code (U.S.C.) Sections 499 and 701, provide penalties for counterfeiting, altering, or misusing identification cards (PIV cards) issued by the Federal Government.

  3. POLICY.  It is IHS policy to ensure that all requirements for the issuance of PIV cards conform to HSPD-12 and all applicable statutory requirements.  Each individual who is issued a PIV card is required to visibly wear their PIV card at all times while in IHS-owned or IHS-leased facilities.  All PIV cards issued by the IHS are the property of the United States Government and must be returned to the issuing office upon the individual’s:

    1. transfer, separation, or termination of employment.

    2. termination or completion of a memorandum of agreement, memorandum of understanding, or volunteer agreement.

    3. termination of a fellowship or an internship program.

  4. DEFINITIONS.

    1. Access Control.  The process of granting or denying requests for physical access to facilities, areas, or logical systems (e.g., computer networks or software applications).

    2. Applicant.  The individual requesting a PIV card.  An applicant may be a current or prospective Federal employee, contractor, or other (see 4I of this circular for a definition of “others”).

    3. Approved Status.  Approval status is granted when an applicant has received a favorable Federal Bureau of Investigation (FBI) fingerprint check and favorable results from an adjudicated background investigation (BI).

    4. Authentication.  The process of establishing an applicant’s identity and determining whether the individual is who he or she says they are.

    5. Contractor.  An individual who is paid under a contract signed by a warranted Contracting Officer.  A contractor is hired to perform services in a federally-owned or leased facility.  The contractor’s work performance is monitored by a Project Officer or other acquisition official.

    6. Enrollment Official.  An individual who verifies identity information from an applicant by obtaining and verifying biographic data; validating identity source documents for authenticity; capturing and verifying biometrics; and photographing the applicant.

    7. Identity Proofing.  The process used by an applicant to provide sufficient documents (e.g., a valid Government or State-issued photo identification card) to a sponsor, Enrollment Official, Registrar, or Issuer for the process of verifying an applicant’s information that he or she is the individual and no other.

    8. Issuer.  An individual who assigns a PIV card to an applicant and activates it following the completion of all identity proofing, background checks, and related security approvals.

    9. Others.  Authorized individuals who require access to Government facilities for official business at the IHS.

    10. Pending Status.  Pending status applies when an applicant has received a favorable FBI fingerprint check but the BI is not finalized.  The PIV card will remain pending until a favorably adjudicated BI is received.

    11. Personal Identity Verification Card.  A Government-issued identification card (badge), bearing a color photograph of the applicant, along with other identifying information and security features.

    12. Registrar.  An individual responsible for verifying identity proofing, coordinating BIs, and providing PIV card issuance approval or denial.

    13. Sponsor.  The designated official responsible for determining each applicant’s need for a PIV card.

    14. Visitor.  An individual, who is neither an employee, nor a contractor, seeking entry to IHS Headquarters offices for official or non-official business.  Visitors can also include Federal employees from outside of the IHS.

    15. Visitor’s Pass.  A badge issued by the Reyes Building security guard for same day use.  The visitor’s pass will have the individual’s name printed on it; identify the individual as a visitor; and record the date and time the temporary badge was issued.

  5. RESPONSIBILITIES.

    1. Director, Division of Human Resources.  The Director, Division of Human Resources, is the sponsor for all Federal civilian employees.

    2. Director, Division of Commissioned Personnel Support.  The Director, Division of Commissioned Personnel Support, is the sponsor and Registrar for all United States Public Health Service (USPHS) Commissioned Corps Officers.

    3. Headquarters,Chief Contracting Officer.  Division of Acquisitions Policy.  The Headquarters, Chief Contracting Officer, Division of Acquisitions Policy, oversees the sponsoring of contractors through project officers.

    4. Director, Program Integrity and Ethics Staff.  The Director, Program Integrity and Ethics Staff, is the Registrar for all applicants, except USPHS Commissioned Corps Officers.

    5. Director, Division of Administrative Services.  The Director, Division of Administrative Services, is the enrollment official and issuer for all applicants.

  6. IDENTITY PROOFING, REGISTRATION, AND PIV CARD ISSUANCE.  A PIV card is issued to an applicant whose identity has been verified, following Registrar authorized issuance of the PIV card.  During the credential review process and before the issuance of a PIV card, an applicant (with sufficient identification) will be issued a daily visitor’s pass from the security guard stationed at the Reyes Building security guard station.  Applicants will not be granted access to the IHS Headquarters buildings and suites before 7:00 A.M., after 6:00 P.M., and on Federal holidays or weekends without proper escort.  Applicants working in the Twinbrook Metro Plaza (TMP) building will be able to access non-public areas, but will not be granted electronic access to their suites and will need an authorized employee to provide access to their suites.

    1. Personal Identity Verification Card Issuance.

      1. An applicant must provide two identity source documents in original form to the sponsor, registrar, enrollment official, and issuer throughout the PIV review process.  The identity source documents must come from a list of acceptable documents specified as appropriate in either column A or B of Attachment A. (See Circular Exhibit 2009-01-A.) http://www.uscis.gov/files/form/i-9.pdf

      2. Each applicant will begin the PIV review process with their respective sponsor.  The applicant will obtain a HHS-745 Form, "HHS Identification Badge Request," (See Circular Exhibit 2009-01-B) from the sponsor or download the application from the HHS Intranet Web sire at: http://intranet.hhs.gov/hr/ohr/forms/hhs_forms/hhs-745.pdf

      3. Each applicant will complete, sign, and date, Section A, “Applicant Information,” and return the form to the sponsor.

      4. The sponsor will complete, sign, and date, Section B, “HHS ID Badge Request.”

      5. The sponsor will hand carry the applicant-completed and signed HHS-745 Form to the enrollment official for completion of Section C, “Identity Proofing.”

      6. The enrollment official will coordinate the applicant’s appointment to be enrolled into the HHS enrollment system.

      7. The enrollment official will verify applicant’s identity, with the identity documents specified in Section A(1), enroll them into the HHS enrollment system, photograph the applicant, and obtain their fingerprints.

      8. The enrollment official will hand carry the applicant-completed and signed HHS-745 Form to the registrar for adjudication into the HHS enrollment system.

      9. The registrar will verify that the applicant has been granted a favorably adjudicated BI and notify the applicant of the findings.

      10. If there is no record of a favorably adjudicated BI, the applicant must complete all forms required to initiate a BI.

        1. Each applicant will schedule an appointment to be fingerprinted with the registrar.

        2. At the fingerprinting appointment, the applicant must present two identity source documents.

          1. The registrar must visually inspect, validate, and copy both forms of identity source documents.

          2. Upon completion of the fingerprint verification process, the applicant’s fingerprints will be submitted to the U.S. Office of Personnel Management, Office of Investigations by a designated member of the Program Integrity and Ethics Staff.

        3. If an applicant’s fingerprint results are returned for any reason, the registrar will notify the applicant that his or her fingerprints must be retaken or re-submitted.

        4. Each applicant must provide all necessary completed BI forms within 7 business days of notification of the BI requirement.

      11. Upon receipt of a favorable FBI fingerprint check of the applicant, pending the respective BI, a PIV card will be issued to the applicant by a designated member of the Division of Administrative Services.

      12. The registrar will complete, sign, and date, Section D, “HHS ID Badge Approval,” once the applicant has completed all necessary paperwork for the adjudication process.

      13. The registrar will hand carry the applicant-completed, signed, and dated HHS-745 Form to the issuer.

      14. For each applicant who lacked a previous favorably adjudicated BI, once a BI has been favorably adjudicated, the registrar will update information within the HHS enrollment system to reflect that the PIV card status has been changed from a pending status to an approved status.

      15. Each applicant must provide two identity source documents in original form to the issuer for verification.  The issuer will validate the applicant’s identity.

      16. After the issuer verifies each applicant’s fingerprints, the applicant will be asked to create a PIN number (6 to 8 digits) and to type the newly created PIN number on the keyboard, subsequently entering the PIN number into the database.  Since the applicant-created PIN number is required for PIV card use, it is important that the applicant be informed of this fact.

      17. The issuer will complete, sign, and date, Section E, “HHS ID Badge Details.”

      18. After Section E has been completed, the applicant will sign and date Section F, “Applicant Acknowledgement.”

    2. Expired, Lost, Stolen. or Damaged PIV Credentials.

      1. Each applicant is responsible for notifying the issuer of expired, lost, stolen, or damaged PIV cards.

      2. Immediately upon notification, the issuer will invalidate expired, lost, stolen, or damaged PIV cards.

      3. Each applicant must repeat the steps outlined in Section 6A of this circular, to obtain a new PIV card.

      4. Expired PIV cards will be confiscated by any uniformed security guard in a federally-owned or leased facility.

    3. Name Change.  An applicant must complete the process for requesting a name change with the sponsor prior to obtaining a name change on the issued PIV card.  The applicant will follow the steps outlined in Section 6A of this circular to obtain a new PIV card.

    4. Forgotten PIV Card.  An applicant will not be issued a replacement PIV card, but will instead be issued a visitor’s pass for 1-day access to a federally-owned or leased facility.

    5. Revocation of PIV Card.  When an applicant has not provided his or her true identity, or is determined unsuitable for employment in a current or applied-for position, the sponsor or registrar will issue a written revocation of the PIV card.

    6. Separation or Transfer of Applicant.  An applicant’s PIV card must be returned to the issuer for destruction.  It is the responsibility of the supervisor or project officer to retrieve the separated or transferred applicant’s PIV card in accordance with the instructions specified in IHS Circular No. 2002-06, “Clearance of Indian Health Service Personnel for Separation or Transfer.”  The returned PIV card will be retained by the issuer until destroyed.

  7. PHYSICAL ACCESS CONTROL.

    1. Reyes Building.  For each applicant assigned to the Reyes Building, the PIV card will provide physical access to the Reyes Building lobby entrance, work site location, and, if approved, parking entry gate.

    2. Twinbrook Metro Plaza Building.  For each applicant assigned to the Twinbrook Metro Plaza (TMP) building, the PIV card will provide physical access to their work site location.

    3. Parklawn Building.  All IHS Headquarters-issued PIV cards will provide physical access during core working hours to the Parklawn Building lobby and garage entrances.  All IHS employees working in the Parklawn Building must follow Program Support Center Parking and Information Office policy and procedures.

    4. Workstation Change.  When an applicant moves or relocates to another workstation, the PIV card must be updated to allow the applicant to physically access his or her new workstation location.  Access privileges to the previous workstation will be voided. It is the supervisor’s or Project Officer’s responsibility to notify the issuer of the effective date of the relocation.

    5. Request for Physical Access to Other Interior Suites.  A supervisor or Project Officer is the only official who can make a request for physical access to other interior suites.  The request must be made in writing and can be transmitted via electronic mail to the issuer.  Once the request has been approved, notification will be provided by electronic mail specifying the length of time this access will be granted.

  8. VISITORS.

    1. General Public.  Each visitor to the Reyes Building and the TMP Building must obtain a valid visitor’s pass. Each visitor’s pass is issued that day solely for I-day use.  The visitor’s pass is obtained from the security guard stationed in the Reyes Building lobby.  The visitor must present an accepted form of photo identification as proof of identity to the security guard prior to being issued a valid visitor’s pass.  The visitor’s pass must be worn and visible at all times.  The visitor’s pass must he returned to the Reyes Building security guard station upon exit or at the end of the day.

    2. Other Government Agencies.  Visitors from other Federal agencies must present their Agency-issued PIV card as proof of identity to the security guard stationed in the Reyes building lobby before access is granted into the Reyes Building or the TMP Building.

  9. RECORDS.

    1. PIV Credential Records.  Each PIV credential record file must be managed in compliance with Departmental and Agency-specific policies and all regulations related to HSPD-12.  Access to PIV credential record files is limited to authorized personnel in performance of their official duties in accordance with HSPD-12 requirements.  File cabinets and rooms where PIV credential record files are stored shall be locked when not in use.  During regular business hours, the file cabinets and rooms where PIV credential records are kept may remain unlocked, but access must be controlled by on-site staff.  Each PIV credential record file maintained in an electronic format shall be restricted with a password.  The passwords must be changed frequently.

    2. Disclosure of PIV Credential Information/Data.  Each authorized user shall protect PIV credential information/data from access by the public and from unauthorized personnel.  Disclosure of PIV credential information/data shall be made in accordance with the appropriate Privacy Act System of Records Notice(s).

    3. Maintenance and Disposition.  Each PIV credential record file, including electronic data, shall be maintained and disposed of in accordance with the National Archives and Records Administration, General Records Schedule 11, Item 4, “Credential Files.”

  10. PENALTY.  Counterfeiting, alteration, or misuse of a PIV credential is a violation of Title 18,U.S.C., Sections 499 and 701. (See Circular Exhibit 2009-01-C and Circular Exhibit 2009-01-D for penalties for PIV credential misuse.)

  11. SUPERSEDURE  This circular supersedes IHS Circular No. 2006-04, “Headquarters Indian Health Service Personal Identity Verification Credentials,” dated July 20,2006.

  12. EFFECTIVE DATE.  This circular is effective in date of signature.

/Robert G. McSwain/
Director
Indian Health Service

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