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U.S. Department of Energy NOTICE
Washington, D.C. DOE N 206.3

Approved: 11-22-05
Expires: 11-22-06

SUBJECT: PERSONAL IDENTITY VERIFICATION

1. OBJECTIVE. To implement the requirements of Homeland Security Presidential
Directive 12 (HSPD-12) related to the secure and reliable identification of Department of
Energy (DOE) Federal and contractor employees. In particular, this Notice concerns the
objective of HSPD-12 which requires such identification to be issued based upon sound
criteria for verifying an individual’s identity. HSPD-12 requirements are being instituted
incrementally within DOE beginning with the incorporation of HSPD-12 identity
proofing procedures into the current issuance process for DOE security badges.
During the initial implementation of HSPD-12 the Department is required to issue a
Federal agency identity credential which will indicate that an individual’s identity has
been verified through the HSPD-12 personal identity verification (PIV) process. The
DOE security badge identified in DOE M 470.4-2, Physical Protection, Chapter XV
“DOE Badge Program,” paragraph 2a, “DOE Federal and Contractor Employee Badges,”
has been determined to be the Department’s Federal agency identity credential. This
badge will be issued to all Federal employees, contractors with DOE access authorization
(security clearance), and designated contractors without a DOE access authorization
(security clearance) as determined by the applicable Departmental element. The Local
Site Specific Access badge, temporary visitor badge, Office of Science badge, and
foreign national badge are not HSPD-12 compliant and are not recognized as the
Department’s Federal agency identity credential.

2. CANCELLATIONS. DOE N 206.2, Personal Identity Verification, dated 9-14-05.
Cancellation of an Order does not, by itself, modify or otherwise affect any contractual
obligation to comply with the Order. Cancelled Orders that are incorporated by reference
in a contract remain in effect until the contract is modified to delete the references to the
requirements in the cancelled Orders.

3. APPLICABILITY.

a. All Departmental Elements. Except for the exclusion in paragraph 3c, this Notice
applies to all newly hired Federal employees and contractors within all
Departmental elements who require a DOE security badge. (See Attachment 1 for
a complete list of Departmental elements.) This Notice automatically applies to
Departmental elements created after it is issued. This Notice does apply to those
facilities that do not currently issue badges.
The National Nuclear Security Administration (NNSA) Administrator will assure
that NNSA employees and contractors comply with their respective
responsibilities under this Notice.

b. DOE Contractors. Except for the exclusion in paragraph 3c, the Contractor
Requirements Document (CRD), Attachment 2, applies to all management and
operating (M&O) and other major facilities contracts in which the contractor is
responsible for physical access to a DOE-owned or DOE-leased facility.

c. Exclusion. In accordance with the responsibilities and authorities assigned by
Executive Order (E.O.) 12344 and to ensure consistency throughout the joint
Navy and DOE organization of the Naval Nuclear Propulsion Program, the
Director of the Naval Nuclear Propulsion Program will implement and oversee all
requirements and practices pertaining to this DOE Notice for activities under the
Director’s cognizance.

4. REQUIREMENTS.

a. General.

(1) Security badges can only be issued to individuals whose identity has been
verified via—
(a) presentation of two original identity source documents and
(b) a background investigation (BI).
(2) No individual known or suspected by the government of being a terrorist
may be issued a security badge.
(3) Expired or invalidated security badges must be immediately revoked and
confiscated.
(4) The security badge described in DOE M 470.4-2, Physical Protection,
dated 8-26-05, Chapter XV, currently serves as the identification
credential required by HSPD-12.
(5) Foreign National employees/contractors/visitors will be processed in
accordance with DOE O 142.1, Classified Visits Involving Foreign
Nationals, dated 1-13-04, and DOE O 142.3, Unclassified Foreign Visits
and Assignments Program, dated 6-18-04, pending further Office of
Management and Budget guidance.
(6) Individuals who do not require a DOE security badge, including short
term (6 consecutive months or less) uncleared contractors, but require
access to DOE facilities are issued badges consistent with Departmental
policies and local procedures. For short-term individuals, at a minimum,
the following procedures will be implemented.
(a) Apply adequate controls to systems and facilities (i.e., ensuring
short-term individuals have limited/controlled access to facilities).
(b) Provide short-term individuals with clear documentation on the
rules of behavior and consequences for failure to comply before
granting access to facilities and/or systems.
(c) The badges issued to these short-term individuals must be visually
distinguishable from security badges issued to individuals to whom
Federal Information Processing Standards (FIPS) Publication
(Pub) 201 does apply.
(7) Heads of Departmental and field elements are responsible for ensuring
that sites under their cognizance that are responsible for identify proofing
complete the Accreditation Checklist (Attachment 3). The completed
checklist is to be provided to the Office of the Chief Information Officer.
No new DOE security badge can be issued by any site until the self-
accreditation is positively completed and sent to the Office of the Chief
Information Officer.
(8) Heads of Departmental and field elements are responsible for ensuring
that personal information collected for employee and contractor
identification is handled in accordance with the Privacy Act of 1974.

b. Procedures.

(1) The procedures below apply to DOE Federal employees and applicants for
employment who will require access to DOE-owned and DOE-leased
facilities in the performance of official duties. The identity proofing
procedures also apply to individuals who will be issued a security badge
and are DOE contractor employees and applicants for employment with
them, as delineated in the CRD (Attachment 2).
(2) Specific roles for executing these procedures are defined under
paragraph 6, “Definitions,” below. The roles of applicant, sponsor,
registrar, and issuer are mutually exclusive; one individual must not hold
more than one of these roles in the identity proofing process. (Note: For
DOE Headquarters, the role of registrar will be fulfilled by the
Headquarters Personnel Security Office.)
(3) The sponsor requests a security badge for the applicant. The request,
which is sent to the registrar, must include the following information:
(a) sponsor name, organization, and contact information, including the
address of the sponsoring organization;
(b) applicant name, date of birth, position, and contact information;
(c) registrar name and contact information;
(d) issuer name and contact information; and
(e) sponsor signature.
(4) The applicant completes BI forms as required for a Federal employment
suitability investigation or a personnel security investigation, if the
applicant will require access authorization under DOE M 470.4-5,
Personnel Security, dated 8-26-05, and submits to the registrar.
(5) If the applicant is currently awaiting a hearing or trial; has been convicted
of a crime punishable by imprisonment of 6 months or longer; or is
awaiting or serving a form of preprosecution probation, suspended or
deferred sentencing, probation, or parole in conjunction with an arrest or
criminal charges against the individual for a crime that is punishable by
imprisonment of 6 months or longer, the registrar may suspend further
processing and notify the sponsor of the cause. At such time as the
hearing, trial, criminal prosecution, suspended sentencing, deferred
sentencing, probation, or parole has been completed, the applicant may be
resubmitted to the identity proofing process to determine eligibility for a
DOE security badge permitting unescorted access to DOE facilities.
(6) The applicant appears in person before the registrar or registrar designee
(Federal or contractor employee) with two identity source documents in
original form. If applicants are physically remote from the registrar, the
head of the Departmental element or field element having cognizance over
the identity proofing process must designate, in writing, an individual
located in proximity to the applicant to act as registrar by proxy. Identity
source documents must come from the list of acceptable documents
included in Form I-9, OMB No. 1115-0136, Employment Eligibility
Verification. At least one of the documents must be a valid State- or
Federal Government-issued picture identification (see
http://uscis.gov/graphics/formsfee/forms/files/i-9.pdf).
(7) The registrar validates the applicant’s identity and source documents and
makes a record copy for each identity source document consisting of—
(a) document title,
(b) document issuing authority,
(c) document number,
(d) document expiration date (if any), and
(e) any other information used to confirm the identity of the applicant.
(8) The registrar—
(a) compares the applicant’s information with information on the
sponsor’s request;
(b) has the applicant’s photograph taken;
(c) checks for prior BI, either from previous Federal employment or a
previous position requiring an access authorization/personnel
security clearance;
(d) has the applicant’s fingerprints taken for the BI request package;
and
(e) retains a copy of fingerprint data and identity source validation
documentation in a file created and maintained specifically for
identity proofing records. [NOTE: When identity proofing is
linked to a personnel security determination, the personnel security
file (PSF) is only used for documentation of the personnel security
process, not documentation related solely to the identity proofing
process.]
(9) The registrar submits the BI request packages as follows.
(a) For applicants not requiring access authorization (personnel
security clearance), the registrar submits requests to OPM using
the appropriate OPM submitting office number (SON) for the
servicing personnel office.
(b) For applicants requiring access authorization, the registrar submits
packages to the processing personnel security office.
(c) All BI submissions must include a request for an advance National
Agency Check (NAC).
(10) When the FBI criminal history fingerprint portion of the NAC is received,
it, or a copy, will be forwarded to the registrar for adjudication. The
following are disqualifying criteria but are not all inclusive and may vary
depending on access requirements.
(a) The individual is, or is suspected of being, a terrorist.
(b) There is an outstanding warrant against the individual.
(c) The individual has deliberately omitted, concealed, or falsified
relevant and material facts from any Questionnaire for National
Security Positions (SF-86), Questionnaire for Non-Sensitive
Positions (SF-85), or similar form used in the determination of
eligibility for a DOE security badge.
(d) The individual has presented false or forged identity source
documents.
(e) The individual has been barred from Federal employment.
(11) Once eligibility for a DOE security badge has been determined, the badge
is issued in accordance with the following. [Note: If the full NAC results
are not received within 5 days, the security badge can be issued based on
the FBI National Criminal History Check (fingerprint check).]
(a) The registrar signs indicating approval and sends notification of
favorable determination of eligibility for unescorted access to DOE
facilities, the applicant’s photograph, and other data associated
with the applicant to the badge issuing office (issuer) via secure
means.
(b) The issuer ascertains the completeness of the information provided
by the registrar, including the fact of a favorable adjudication, and
creates a DOE security badge.
(c) The applicant signs for and collects the security badge in person at
the badge office (or at an office authorized to act as issuer) by
presenting a valid State- or Federal Government-issued picture
identity source document. The issuer validates the appearance of
the applicant against the photograph on the identity source
document and validates the name and photograph of the security
badge against those on the identity source document.
(d) All documentation created in the security badging process will be
retained in an identity-proofing file created for the individual
applicant and given a unique file identification.
(e) If, subsequent to the issuance of the security badge, further
adjudication of the BI by the registrar or by DOE under either
Federal employment suitability standards or personnel security
criteria reveals derogatory information requiring resolution under
the criteria established in 4(b)(10) above, the badge will be
immediately revoked and confiscated and all privileges of
unescorted access to DOE facilities will be withdrawn pending
resolution of the issues.
(12) For unfavorable adjudication under the criteria in paragraph 4(b)(10)
above, the registrar must do the following within 2 working days of the
determination:
(a) notify the sponsor in writing that a DOE security badge will not be
issued to the applicant;
(b) notify the applicant in writing of the unfavorable adjudication [the
notification must contain the reasons for the denial of the DOE
security badge and the appeal process available to the applicant as
detailed in paragraph 4(b)(13), including contact information]; and
(c) for those cases with ongoing suitability or personnel security
adjudication, maintain contact with the adjudicating office to
ensure that final decision information is conveyed to the registrar.
(13) Appeals Process.
(a) The identity proofing appeals process does not supersede,
supplant, or in any way affect a final determination of eligibility
for Federal employment under Title 5, Code of Federal
Regulations, Part 731, or a final determination for eligibility for
access to classified matter or special nuclear material as detailed in
Title 10, Code of Federal Regulations, Part 710.
(b) Upon receipt of the registrar’s denial of badge notice, the applicant
has 10 working days in which to indicate, in writing or by
electronic means, the intent to file an appeal. The applicant may
be represented and advised by counsel or a representative of the
applicant’s choosing in the appeals process, at the applicant’s
expense.
(c) The applicant must file the actual appeal 10 working days after
notifying the registrar of intent to file. The appeal must be in
writing and provide a response to the information that formed the
basis of the denial of security badge.
(d) Upon receiving the applicant’s notification of intent to file an
appeal, the registrar will identify and notify members of the
appeals panel. The appeals panel will consist of three members,
who must be DOE employees, as follows.
1 A representative of the Departmental or field element
having cognizance over the site, appointed by the head of
that element, will be the first member of the appeals panel.
Such person must be a professional who holds a DOE Q
access authorization.
2 A DOE attorney designated by the General Counsel will be
the second member of the appeals panel. Such person must
hold a DOE Q access authorization.
3 A representative of the security office for the hiring site,
appointed by the head of the relevant Departmental or field
element, will be designated to act as the third member of
the appeals panel. Such person must be a professional who
holds a DOE Q access authorization.
(e) Upon receipt of the applicant’s written appeal, the registrar
prepares an appeals package for each panel member consisting of a
copy of all identity proofing documentation maintained by the
registrar, the BI, the notification of denial of security badge
providing the registrar’s rationale for denial, and the written appeal
of the applicant.
(f) Each panel member will review the package and, within 30 days,
respond to the registrar in writing indicating either concurrence or
nonconcurrence with the denial of security badge decision. For
any nonconcurrence, the panel member will provide a brief
rationale.
(g) The decision of the appeals panel will be determined by simple
majority of concurrence or nonconcurrence. This decision is final.
The registrar will inform the applicant and sponsor of the appeal
decision and, in those instances where there is majority
nonconcurrence with denial of security badge, the registrar will
follow the steps in paragraph 4(b)(11), above.

5. RESPONSIBILITIES.
a. Office of the Secretary provides guidance to the heads of Departmental elements
on the application of HSPD-12 and its associated processes requirements for
contractors within the Department.

b. Heads of Departmental Elements.

(1) Oversee the implementation of this Notice for sites and operations under
their immediate cognizance, including assigning tasks and roles to the
appropriate site personnel. This includes designation of registrar and
issuer and the appointment of members to the appeals panel.
(2) Ensure contracts affected by this Notice are modified, as appropriate,
including ensuring the incorporation of the CRD into contracts in
accordance with paragraph 3b of this Notice.
(3) Verify that any security badging operations under their cognizance
observe the requirements of this Notice, thereby establishing that those
operations meet approved identity proofing, registration, and security
badge issuance procedures under HSPD-12. Verification will be
accomplished through the completion of the “Accreditation Checklist”
(Attachment 3) by sites under their cognizance.
(4) For sites under their cognizance, designate the adjudication office for the
identity proofing of contractor employees not requiring access
authorization.
(5) For sites under their cognizance, determine which, if any, contractors
without access authorizations require an HSPD-12 compliant DOE
security badge. The determination should be based on job duties, a risk
analysis, and be consistent with DOE security policies.

c. Heads of Field Elements.

d. General Counsel.

(1) Provides resources for legal advice and assistance regarding revisions to
laws and regulations that may affect the implementation of FIPS.
(2) Provides legal advice and assistance on the privacy implications and
effects of the requirements of this Notice and any related Policy developed
in response to HSPD-12.

e. Director, Office of Security and Safety Performance Assurance. Acts as the
senior Departmental official responsible for the direction and administration of
the DOE Safeguards and Security Program, including promulgation of policy for
Departmental personnel security activities and Departmental security badge
standards.

f. Director, Office of Procurement and Assistance Management. Develops any
necessary HSPD-12 identity proofing guidance for implementation of this Notice
in DOE contracts involving physical access to DOE-owned or DOE-leased
facilities, in addition to those in which the CRD has been incorporated in
accordance with paragraph 3b of this Notice.

g. Contracting Officers.

(1) Incorporate the CRD (Attachment 2) into contracts in accordance with
paragraph 3b of this Notice.
(2) Follow any HSPD-12 identity proofing guidance issued by the Director,
Office of Procurement and Assistance Management, for any other
contracts involving physical access to DOE-owned or DOE-leased
facilities.

h. Chief Information Officer.

(1) Administers and oversees DOE implementation of the Federal information
technology laws and regulations, including FIPS applicable to the
Department’s federally controlled information systems.
(2) Assembles and reviews completed Accreditation Checklists
(Attachment 3) to ensure compliance with FIPS Pub 201.

6. DEFINITIONS.

a. Applicant. An individual applying for a DOE security badge. The applicant may
be a current or prospective Federal hire or a Federal employee or an applicant for
employment with a DOE contractor or a current DOE contractor employee.

b. Employee. Except as otherwise provided by Title 5 U.S.C., section 2105, Chapter
21, Part III, subsection a, an officer or an individual who is (1) appointed in the
civil service by one of the individuals listed in this subsection, (2) engaged in the
performance of a Federal function under the authority of law or an Executive act,
and (3) subject to the supervision of an individual named under this subsection
while engaged in the performance of the duties of the position.

c. Issuer. The organization that is issuing the security badge to an applicant. The
badge may be issued by a Federal or contractor employee.

d. Registrar. The entity that establishes and vouches for the identity of an applicant
to an issuer. The registrar authenticates the applicant’s identity by verifying
identity source documents and adjudicating a BI. The registrar, or registrar
proxy, will be a Federal employee and will be appointed by the head of the
Departmental/field element in writing.

e. Security Badge. A distinctive tag used for controlling access to facilities and
security areas that provides an individual’s name, photograph, and access
authorization type and may include additional information in electromagnetic,
optical, or other form.

f. Sponsor. The individual who substantiates the need for a DOE security badge to
be issued to the applicant and submits the request to the registrar. The sponsor
may be a Federal employee or a DOE authorized M&O contractor.

7. REFERENCES.

a. Homeland Security Presidential Directive 12, Policy for a Common Identification
Standard for Federal Employees and Contractors, dated August 27, 2004, which
establishes a mandatory, Government-wide policy for secure and reliable forms of
identification issued by the Federal Government to its employees and contractors
(see http://csrc.nist.gov/policies/Presidential-Directive-Hspd-12.html).

b. Public Law 99-603 (8 USC 1324a), Immigration Reform and Control Act of 1986,
which authorizes collection of information on the Form I-9, OMB No. 1115-0136
(see http://www4.law.cornell.edu/uscode/).

c. Federal Information Processing Standards Publication 201, Personal Identity
Verification (PIV) of Federal Employees and Contractors, dated February 25,
2005, which defines a reliable, government-wide PIV system for use in
applications such as access to federally controlled facilities and information
systems (see http://www.csrc.nist.gov/publications/fips/fips201/FIPS-201-
022505.pdf).

d. Title 5, Code of Federal Regulations, Part 731, Suitability, which establishes
criteria and procedures for making determinations of suitability for employment
in positions in the competitive service and for career appointment in the Senior
Executive Service (see http://cfr.law.cornell.edu/cfr/).

e. Title 5, Code of Federal Regulations, Part 732, National Security Positions, which
sets forth certain requirements and procedures which each Agency shall observe
for determining national security positions (see http://cfr.law.cornell.edu/cfr/).

f. Title 10, Code of Federal Regulations, Part 710, Criteria and Procedures for
Determining Eligibility for Access to Classified Matter and Special Nuclear
Material, which establishes the criteria, procedures, and methods for resolving
questions concerning the eligibility of individuals who are employed by, or
applicants for employment with, Department of Energy contractors, agents, and
access permittees; individuals who are DOE employees or applicants for DOE
employment; and other persons designated by the Secretary of Energy for access
to restricted data or special nuclear material, pursuant to the Atomic Energy Act
of 1954, as amended, or for access to national security information (see
http://cfr.law.cornell.edu/cfr/).

g. DOE Order 3731.1, Suitability, Position Sensitivity Designations, and Related
Personnel Matters, dated 12-19-89, which identifies the interrelationships among
suitability, security, and access authorizations; establishes guidance and policy
regarding position sensitivity designations, certain background investigations, and
suitability determinations; and establishes the policies and procedures regarding
waivers of preemployment investigations (see
http://www.directives.doe.gov/pdfs/doe/doetext/oldord/3731/o37311c1.pdf).

h. DOE O 142.1, Classified Visits Involving Foreign Nationals, dated 1-13-04,
which establishes requirements and responsibilities for foreign national visits that
involve access to classified information at DOE facilities (see
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/142/o1421.pdf).

i. DOE O 142.3, Unclassified Foreign Visits and Assignments Program, dated
6-18-04, which establishes requirements and responsibilities for foreign national
visits that do not involve access to classified information at DOE facilities (see
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/142/o1423.pdf).

j. DOE M 470.4-5, Personnel Security, dated 8-26-05, which establishes objectives,
requirements and responsibilities for the Personnel Security Program (see
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/470/m4704-
5.pdf).

k. DOE M 470.4-2, Physical Protection, dated 8-26-05, which establishes
requirements for physical protection of safeguards and security interests (see
https://www.directives.doe.gov/pdfs/doe/doetext/restrict/neword/470/m4704-
2.pdf).

l. Public Law 93-579 (5 USC 552a), Privacy Act of 1974, which governs the
collection and use of information by the Federal Government (see
http://www4.law.cornell.edu/uscode/).

m. Public Law 107-347 (44 USC 36), E-Government Act of 2002, which ensures
sufficient protections for the privacy of personal information (see
http://www4.law.cornell.edu/uscode/).

n. OMB Memorandum M-03-22, Guidance for Implementing the Privacy Provisions
of the E-Government Act of 2002, which guides Agencies in conducting Privacy
Impact Assessments in accordance with the E-Government Act of 2002.

8. CONTACT. Questions concerning this Notice should be addressed to the Office of Chief
Information Officer at 202-586-3768.
BY ORDER OF THE SECRETARY OF ENERGY:

CLAY SELL
Deputy Secretary

ATTACHMENT 1. ALL DEPARTMENTAL ELEMENTS TO WHICH DOE N 206.3 IS APPLICABLE

Office of the Secretary
Bonneville Power Administration
Departmental Representative to the Defense Nuclear Facilities Safety Board
Energy Information Administration
National Nuclear Security Administration
Office of the Chief Financial Officer
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Office of Economic Impact and Diversity
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Human Capital Management
Office of Intelligence
Office of Management
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security and Safety Performance Assurance
Office of the Inspector General
Office of Legacy Management
Secretary of Energy Advisory Board
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration

ATTACHMENT 2. CONTRACTOR REQUIREMENTS DOCUMENT DOE N 206.3, PERSONAL IDENTITY VERIFICATION

This Contractor Requirements Document (CRD) establishes the requirements for Department of
Energy (DOE) contractors, including National Nuclear Security Administration (NNSA)
contractors. Contractors must comply with the requirements listed in the CRD to the extent set
forth in their contracts until such time as this CRD is superseded by a contract clause.
Regardless of who performs the work, contractors subject to this CRD are responsible for
compliance with the requirements of the CRD and are also responsible for flowing down the
requirements of the CRD to subcontracts at any tier to the extent necessary to ensure the
contractors’ compliance with the requirements.

1. OBJECTIVE. To apply the requirements of Homeland Security Presidential Directive 12
that certain individuals, to include DOE contractor employees, with access to
DOE-owned or DOE-leased facilities be reliably identified and issued a security badge
for such access. The contractor subject to this CRD will ensure that the identity proofing
procedures discussed in this CRD are implemented into its procedures for investigation
and issuance of DOE security badges.

2. REQUIREMENTS.

a. Applicability. The procedures below apply to those applicants for employment
with a contractor or subcontractor who require access to DOE-owned or
DOE-leased facilities in the performance of the contract.

b. General.

(1) DOE will only authorize issuance of security badges to individuals whose
identities have been verified by a registrar in accordance with the identity
proofing process discussed in this CRD. (DOE will not authorize the
issuance of a security badge to any individual known or suspected by the
Federal Government of being a terrorist.)
(2) Individuals who do not require a DOE security badge, including short
term (6 consecutive months or less) uncleared contractors, but require
access to DOE facilities are issued badges consistent with Departmental
and local procedures. For short-term individuals, at a minimum, the
following procedures will be implemented.
(a) Apply adequate controls to systems and facilities (i.e., ensuring
short-term individuals have limited/controlled access to facilities).
(b) Provide short-term individuals with clear documentation on the
rules of behavior and consequences for failure to comply before
granting access to facilities and/or systems.
(c) The badges issued to these short-term individuals must be visually
distinguishable from security badges issued to individuals to whom
Federal Information Processing Standards (FIPS) Publication
(Pub) 201 does apply.

c. Procedural Roles. Specific roles used in this process are defined under
paragraph 3, “Definitions,” below.

d. Procedures. As a precondition to DOE authorizing a security badge or otherwise
granting access to a DOE facility to newly hired contractor employees with DOE
access authorization (security clearance), and contractor employees without DOE
access authorization (security clearance) designated by the applicable
Departmental element, the contractor will ensure the following.

(1) The applicant is informed that the sponsor will make a request to the
registrar on behalf of the applicant.
(2) The applicant provides the sponsor with his or her name, date of birth,
position, and contact information for submission with the request to the
registrar. When the contractor is the sponsor, the contractor will ensure
that the sponsor’s name; organization; contact information, including the
address of the contractor sponsor; and signature are provided to the
registrar concurrent with each applicant’s initiating request.
(3) The applicant accurately completes and submits to the sponsor a Standard
Form (SF) 85 or, for applicants who will require access authorization
(personnel security clearance) an SF 86. When the contractor is the
sponsor, the contractor will ensure that the contractor sponsor provides the
applicant’s SF 85 or 86 to the registrar.
(4) The applicant appears in person before the registrar or registrar designee
(Federal or contractor employee) with two original identity source
documents. If the applicant is physically remote from the registrar, the
registrar may designate an individual located in proximity to the applicant
to act as registrar by proxy. The identity source documents must come
from the list of acceptable documents included in Form I-9, OMB No.
1115-0136, Employment Eligibility Verification. At least one of the
documents will be a valid State- or Federal Government-issued picture
identification (see http://uscis.gov/graphics/formsfee/forms/files/i-9.pdf).
The registrar will validate the applicant’s identity and original identity
source documents and makes a record copy for each identity source
document. The registrar will also check the applicant for previous BIs,
either from previous Federal employment or a previous position requiring
an access authorization/personnel security clearance.
(5) The applicant follows the registrar’s direction for providing fingerprints
and photograph for the BI request package, a copy of which will be
retained by the registrar.
(6) Once DOE authorizes the applicant’s security badge, the applicant signs
for and collects the security badge in person at the badge office (or at an
office designated by the registrar to act as issuer) by presenting a valid
State- or Federal Government-issued picture identity source document.
(The issuer will validate the appearance of the applicant against the
photograph on the identity source document and will validate the name
and photograph of the security badge against those on the identity source
document.)
(7) The applicant acknowledges his/her understanding that if, subsequent to
the issuance of the security badge, further adjudication of the BI by the
registrar or by DOE under suitability standards or personnel security
criteria reveals derogatory information requiring resolution under the
respective regulatory procedures, DOE will immediately revoke all
privileges of unescorted access to DOE facilities and confiscate the
security badge, pending resolution of the derogatory information.

3. DEFINITIONS.

a. Applicant. For the purposes of this CRD, an applicant is an individual applying
for a DOE security badge through a DOE contractor or subcontractor.

b. Registrar. The entity that establishes and vouches for the identity of an applicant
to an issuer. The registrar authenticates the applicant’s identity by verifying
identity source documents and adjudicating a background investigation. The
registrar or registrar proxy must be a Federal employee and will be appointed by
the head of the appropriate Departmental/field element in writing.

c. Issuer. The organization that is issuing the security badge to an applicant. The
badge may be issued by a Federal or contractor employee.

d. Security Badge. A distinctive tag used for controlling access to facilities and
security areas that provides an individual’s name, photograph, and access
authorization type and may include additional information in electromagnetic,
optical, or other form.

e. Sponsor. The individual who substantiates the need for a DOE security badge to
be issued to the applicant and submits the request to the registrar. The sponsor
may be a Federal employee or a DOE authorized management and operating
contractor.

ATTACHMENT 3. ACCREDITATION CHECKLIST [SEE PDF OR WORD VERSION FOR ACCURATE REPRESENTATION OF FORM]

ACCREDITATION CHECKLIST FOR ________________
Fill in Site)
Certification of Identity Proofing Process
Y/N
Implemented requirement to initiate a National Agency Check with Written Inquiries (NACI) or
other suitability or national security investigation prior to DOE security badge issuance.

Implemented requirement to receive the results of National Agency Checks prior to DOE security
badge issuance [if results are not received in 5 days, DOE security badge can be issued based on
the FBI National Criminal History Check (fingerprint check)].

Implemented requirement to ensure that applicants appear in person at least once before a DOE
security badge is issued.

Implemented requirement to ensure that applicants provide two forms of identity source
documents prior to DOE security badge issuance (the documents must come from the list of
acceptable documents in Form I-9, OMB No. 1115-0136, Employment Eligibility Verification, and
at least one must be a valid State- or Federal Government-issued picture ID).

Implemented requirement to ensure that no single individual has the capability to issue a DOE
security badge without the cooperation of another authorized person.

Implemented requirement to ensure that no DOE security badge is issued unless requested by a
proper authority.

Implemented requirement for a revocation process that swiftly revokes expired or invalidated
DOE security badges.

Implemented requirement to ensure that personal information collected for employee and
contractor identification purposes is handled in a manner consistent with the Privacy Act of 1974
(5 U.S.C. 552a).

Implemented requirement to ensure DOE security badges are issued to DOE and contractor
employees who require a DOE security badge.

Implemented requirement to ensure people who do not require a DOE security badge but do
require access to DOE facilities are issued badges consistent with Departmental policies and local
practices.

Implemented requirement to ensure that security badge issuance for Foreign National
employee/contractors/visitors is done in accordance with DOE O 142.1, Classified Visits
Involving Foreign Nationals, dated 1-13-04, and DOE 142.3, Unclassified Foreign Visits and
Assignments Program, dated 6-18-04.

References: FIPS 201, Section 2; OMB M 05-24, Implementation of HSPD 12

? Check if Site does not issue DOE Security Badges

Certifying Official Signature Date

Certifying Official Printed Name and Title
Sites that will not issue DOE security badges may complete the Accreditation Checklist by returning the Checklist
with negative responses and a statement that the site will not issue DOE security badges.
Record of a prior investigation may be found through a check of the Central Personnel Clearance Index (CPCI)
database. Indication of prior investigation can be found on applicant’s Request for Preliminary Employment Data
(SF-75), Questionnaire for Public Trust Positions (SF-85P), or Questionnaire for National Security Positions
(SF-86), where these forms are used.

AVAILABLE ONLINE AT: INITIATED BY
http://www.directives.doe.gov Office of the Chief Information Officer