U.S. Department of Agriculture HSPD 12 Program HSPD 12 Personal Identity Verification (PIV) I Core Training: Sponsors

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 2 Agenda Section 1 – Sponsor Responsibilities: New PIV ID Badges  PIV I Process  Validate and Copy Source Documents  Review BI Forms for Potentially Disqualifying Information  Complete Form AD 1197: Section A  Collect and Forward Forms Section 2 – Sponsor Responsibilities: Replacement PIV ID Badges  Validate and Copy Source Documents  Complete Form AD 1197: Section A Section 3- Frequently Asked Questions Section 4 –For More Information

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 3 Section 1 Sponsor Responsibilities: New PIV ID Badges

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 4 Sponsor Responsibilities: New PIV ID Badges The PIV Sponsor is the individual who substantiates the need for a USDA ID badge to be issued to the Applicant. Sponsor responsibilities include: 1.Validate and Copy Source Documents 2.Review BI Forms for Potentially Disqualifying Information 3.Complete Form AD 1197: Section A 4.Collect and Forward Forms 4. Collect and send forms to Registrar and Issuer 1. Validate and Copy Source Documents 3. Complete AD Review BI Forms for Potentially Disqualifying Information

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 5 PIV I Process

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 6 Validate Identity Source Documents 1a. Applicant presents two identity source documents. These identity source documents must be from the list of acceptable documents included in Form I-9 OMB # , Employment Eligibility Verification. One of the documents must be a State or Federal issued identification. 1b. Sponsor: validate the identity of the Applicant as well as the validity of the identity source documents. 1c. Complete all the information on the form for each identity source document; record:  Applicant’s Name  Document Title  Issuing Authority  Document #  Document Expiration Date (if applicable) 1d. Make copies of both documents. 1e. Return identity source documents to Applicant. DRAFT

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 7 2a. Review the PIV Enrollment Package (Delivered to Applicant by Registrar.) Ensure all forms are complete. 2b. Review PIV Enrollment Package for potentially disqualifying information. The following indicates that the Applicant should be referred to an Adjudicator:  Use, possession, supply, or manufacture of illegal drugs in the last year.  Conviction, imprisonment, probation, or parole during the last 10 years (includes felonies, firearms or explosive violations, misdemeanors, and all other offenses.)  Conviction by military court-martial in the past 10 years.  Currently under charges for any violation of law.  Fired from any job during the last 5 years.  Current delinquency on any Federal debt. 2c. If the Applicant presents any of the above information, refer to the Adjudicator and do not proceed until issues are resolved between Adjudicator and Applicant. 2d. If the Applicant does not present any potentially disqualifying information, move to step 3. Review PIV Enrollment Package for Potentially Disqualifying Information

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 8 Complete Form AD 1197: Section A 3a. Complete Applicant and Sponsor Information. 3b. Validate that the Applicant is a USDA employee or contractor who meets the requirements for a PIV ID badge. 3c. Affirm step 3b by signing Form AD d. Determine Registrar and Issuer Contact Information as specified by the agency-specific rule. DRAFT

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 9 Collect and Forward Forms 4a. Collect All Completed Forms from the Applicant. 4b. If your agency has decided to issue Provisional PIV ID Badges, the Applicant may receive the Provisional PIV ID Badge at this time. 4c. Send Form AD 1197 and all related documents to the Registrar. 4d. Notify Applicant. +

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 10 Next Steps  Once the Registrar receives Form AD 1197 and the associated documents from the Sponsor, they will initiate BI activities.  The results of the Fingerprint Check and NAC will be used to issue a PIV ID Badge (If the NAC takes longer than 5 days, the FBI Fingerprint Check can be used for issuance approval).  The Adjudicator reports whether the Applicant is eligible to receive a PIV ID Badge, based on BI results. The decision will be communicated and confirmed by the Registrar, who will then notify the Sponsor of the issuance approval. This step repeats until all BIs have been adjudicated favorably.  The Sponsor must then notify the Applicant of issuance approval/confirmation or revokes the ID badge (may be a Provisional PIV ID badge or a PIV ID badge).  The Applicant appears in person in front of the Issuer with a state- or federally- issued identification, if approved, or may appeal the denial/revocation.  The Issuer validates the Applicant’s identity and issues the PIV ID badge.

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 11 Agenda Section 1 – Sponsor Responsibilities: New PIV ID Badges  PIV I Process  Validate and Copy Source Documents  Review BI Forms for Potentially Disqualifying Information  Complete Form AD 1197: Section A  Collect and Forward Forms Section 2 – Sponsor Responsibilities: Replacement PIV ID Badges  Validate and Copy Source Documents  Complete Form AD 1197: Section A Section 3- Frequently Asked Questions Section 4 –For More Information

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 12 Section 2 Sponsor Responsibilities: Replacement PIV ID Badges

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 13 The PIV Sponsor is the individual who substantiates the need for a replacement ID badge to be issued to the Applicant. Sponsor responsibilities include: 1.Validate and Copy Source Documents 2.Complete Form AD 1197: Section A *This replacement process is valid only for PIV ID Badges. Existing Agency ID badge replacement should follow the existing Agency process. 1. Validate and Copy Source Documents 2. Complete Form AD 1197 Sponsor Responsibilities: Replacement PIV ID Badges

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 14 Validate and Copy Source Documents 1a. Applicant presents two identity source documents. These identity source documents must be from the list of acceptable documents included in Form I-9 OMB # , Employment Eligibility Verification. One of the documents must be a State or Federal issued identification. 1b. Sponsor: validate the identity of the Applicant as well as the validity of the identity source documents. 1c. Complete all the information on the form for each identity source document; record:  Applicant’s Name  Document Title  Issuing Authority  Document #  Document Expiration Date (if applicable) 1d. Make copies of both documents. 1e. Return identity source documents to Applicant. DRAFT

U.S. Department of Agriculture HSPD 12 Program Version 11/1/ Sponsors are also responsible for initiating the request for a replacement PIV ID badge due to theft, loss, damage, or expiration. The Sponsor must complete the following information in section A of Form AD 1197: A. Check the box indicating that the ID badge is a replacement B. Explain reason for replacement: Lost, Stolen, Expired, Other, etc. C. Complete Applicant and Sponsor Information D. Forward Form AD 1197 to Issuer * * The Registrar has no role in the replacement badge process. Complete Form AD 1197 DRAFT

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 16 Agenda Section 1 – Sponsor Responsibilities: New PIV ID Badges  PIV I Process: New PIV ID Badges  Distribute PIV Enrollment Package  Review BI Forms for Potentially Disqualifying Information  Complete Form AD 1197: Section A  Collect and Forward Forms Section 2 – Sponsor Responsibilities: Replacement PIV ID Badges  Validate and Copy Source Documents  Complete Form AD 1197: Section A Section 3- Frequently Asked Questions  What if an Adjudication is unsuccessful? Section 4 –For More Information

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 17 Section 3 Frequently Asked Questions

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 18 Frequently Asked Questions 1) What if there is a delay with the NAC or NACI; will the Applicant have to wait months for a ID badge? No, a PIV ID badge can be issued after the completion and adjudication of an FBI Fingerprint Check, which is usually completed within 5 days. 2) If I am a USDA Employee, can I play the role of both the Sponsor and the Registrar? No, HSPD 12 specifically requires separation of duties, and DM prohibits any individual from fulfilling the role of both Sponsor and Registrar. Waivers to this may be requested from Departmental Administration. 3) How long are ID badges active? ID badges must expire within 5 years of issuance. Contractor badges expire at the end of each fiscal year. 4) What If I suspect an identification source document is forged? Refer to the following link: Sponsor Frequently Asked QuestionsSponsor Frequently Asked Questions

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 19 Frequently Asked Questions, Continued 5) What if an adjudication is unsuccessful? The Sponsor is responsible for notifying the Applicant of the results of the identity proofing process and results of any unsuccessful adjudications. Any existing Provisional PIV ID badges or PIV ID badges must be revoked while the Applicant appeals. There are multiple points at which the PIV I process may be interrupted by adjudication:  After the verification of the Applicant’s identity source documents;  After reviewing information in the PIV Enrollment Package;  After the FBI Fingerprint Check is negatively adjudicated;  After the NAC is negatively adjudicated; and  After the NACI is negatively adjudicated.

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 20 Agenda Section 1 – Sponsor Responsibilities: New PIV ID Badges  PIV I Process: New PIV ID Badges  Distribute PIV Enrollment Package  Review BI Forms for Potentially Disqualifying Information  Complete Form AD 1197: Section A  Collect and Forward Forms Section 2 – Sponsor Responsibilities: Replacement PIV ID Badges  PIV I Process: Replacement PIV ID Badges  Validate and Copy Source Documents  Complete Form AD 1197: Section A Section 3- Frequently Asked Questions Section 4 –For More Information

U.S. Department of Agriculture HSPD 12 Program Version 11/1/05 21 For More Information Other Training Modules:  Overview: Introduction to HSPD 12 and Personal Identity Verification; Overview of USDA PIV I Process, available on AgLearn.  Role Training: Sponsors, Issuers (requires USDA eAuthentication Level 2 Access), available on AgLearn.  Applicant Job Aid, available on HSPD 12 website: Agency Point of Contacts:  Each Agency will determine an Agency Point of Contact for questions regarding their specific agency’s process.  A list of Agency Point of Contacts will be available on the HSPD 12 website: