Presentation on theme: "2008 FSO Conference August 21, 2008 Sandia is a multi-program laboratory operated by Sandia Corporation, a Lockheed Martin Company, for the United States."— Presentation transcript:
1 2008 FSO ConferenceAugust 21, 2008Sandia is a multi-program laboratory operated by Sandia Corporation, a Lockheed Martin Company, for the United States Department of Energy’s National Nuclear Security Administration under contract DE-AC04-94AL85000.
2 Good afternoon. Well you have heard from Foreign Travel about what to do when you travel and interact with foreign nationals outside of the United States. Now I’m going to fill you in on what to do BEFORE (and a key word here is BEFORE) interacting with foreign nationals in the United States.
3 Foreign Interactions Office (FIO) DOE requires foreign national access to be documented and tracked.The FIO manages the approval process for unclassified foreign national access to DOE information, programs, and technologies, and SNL sites.DOE requires foreign national access to be documented and tracked.My office, Foreign Interactions, manages the required approval process for giving foreign nationals access to any DOE information, programs, technologies and SNL sites. Our work with foreign nationals is vital to the labs. BUT DOE rules and regulations may require that you obtain approval before interacting with foreign nationals in the performance of your duties for SNL.Programs funded by DOETechnologies developed funded by DOEInformation generated funded by DOE
4 Foreign NationalsA foreign national is any person who is not a citizen of the United States.Lawful Permanent Residents are not U.S. citizens and are not exempt from the SNL FIO approval process.So what is the definition of a foreign national. LPR or green card holders are allowed to work and live in the US permanently, but are not US citizens until naturalized.
5 Flow Down Requirements DOE O 142.3, Unclassified Foreign Visits and Assignments, states:“The contractor is responsible for flowing down the requirements of this Contractor Requirements Document (CRD) to subcontractors at any tier to the extent necessary to ensure the contractor’s compliance with the requirements….the contractor must not unnecessarily or imprudently flow down requirements to subcontractors.”DOE is the order that defines the program for unclassified foreign national access. I’m going to read the words taken right out of the order. This is the reason we are here today.
6 Consequences for Non-Compliance Providing a foreign national with access without prior approval from SNL FIO may result in:InfractionDisciplinary actionCancellation of the SNL ContractThere are consequences for non-compliance with the DOE order and not obtaining the required approval can be:Cancellation of SNL ContractInfraction which goes in your Personnel Security recordDisciplinary action by your company
7 Foreign National Access Circumstances or actions involving foreign nationals (especially pre-arranged interactions) that result in the passing of DOE information or technologies to a foreign national and/or granting entry to DOE/SNL sites.Examples of access:Pre-arranged face-to-face meetingsPre-arranged video conferencesAccess to SNL cyber/computer resourcesWhat do we mean by giving a foreign national access?Physical presence at a DOE/SNL siteExchanging DOE information/technologies with a foreign nationalSome examples:
8 Remember. . . There is required training: Export Control Training (EC100)Foreign Corrupt Practices Act (FCPA100)Foreign National Request (FNR) Security Plan (SP)Before providing uncleared foreign national access the appropriate Sandia contact must have prior approval from SNL FIO.Training required:EC100 is required if interacting with a foreign national in the performance of SNL dutiesFCPA100 is strongly recommendedBoth courses are available on-line or available in hard copyPrior to providing access to foreign nationals, be sure the appropriate Sandia contact has obtained the necessary approval.The contractor is not required to complete EC100 if their interactions with a foreign national is not related to work done for SNL.
9 ExceptionsDocumentation and approval from the SNL FIO is not required if:Access occurs at an event that is accessible by the general public and the DOE information is releasable to the general public (unclassified unlimited release).Access or exchange of information occurs via or telephone.Access or exchange of information occurs via video conference and the DOE information is releasable to the general public (unclassified unlimited release).Note: The above stipulation applies regardless of whether information is being gathered from or contributed by the foreign national.
10 Exceptions ContinuedInformation being accessed is Work for Others (WFO) and does not involve access to DOE information, programs, technologies, or DOE sites.Access occurs at, and is sponsored by, another DOE facility, and that facility has obtained the necessary approvals.Access involves foreign national delivery personnel under the following conditions:The foreign national is not accessing limited or more restricted areas.The foreign national is fully escorted by a Q- or L-cleared Member of the Workforce who is a U.S. citizen. If the foreign national is not fully escorted, the access must be in compliance with the requirements for the location of the access.
11 ResponsibilitiesThe contractor and subcontractor must promptly notify their Sandia Delegated Representative (SDR), or appropriate SNL contact, to obtain the required approval from SNL FIO prior to providing a foreign national access to:SNL facilitiesDOE information, programs, and technologies when foreign national is not visiting DOE/SNL facilitiesSo, what are your responsibilities? The host must be a Q or L cleared SNL employee. BEFORE you give any foreign national access to anything you are working on in the performance of duties for SNL, notify the SDR or other appropriate SNL contact so he or she can submit the required paperwork and get approval. Take EC100 and FCPA100 training.Time requirements for approval can range from 5 to 90 days, so notify the appropriate person ASAP.
12 ScenarioQ. Do you have to obtain approval from SNL FIO if you want a foreign national to work with you on a DOE project that is unclassified?A. Yes. You need to notify your SDR before allowing any foreign national access to DOE/SNL information. Your SDR will go through our FNR Decision Wizard to determine if an FNR is required.This pretty much sums it up. YES – don’t do it without first getting approval.
16 Countries Have Interests, Not Friends July 16, 2001
17 Countries Have Interests, Not Friends “The Enemy of My Enemy is My Friend.”“There are friendly nations, but there are no friendly Intelligence Services.”General Youri Kobaladze SVRJune 30, 2005
18 Sun Tzu, c. 500 B.C.“…Among the potential pool of spies are those who are disgruntled or disenchanted, those who will seek revenge against a real or imagined grievance, those who are driven by money, and those who are egotistical and subject to flattery…”
19 Aldrich Hazen Ames-CIA GS-14 - $68,840 per yearPaid $2,500,000 by Soviets/RussiansResponsible for at least 10 – 12 deathsNothing Has Changed!
20 Ames’ Indicators Alcoholism Poor performance Marital problems Extramarital affairsCarelessness/disdain for securitySecurity deviations/violationsGathering info outside area of responsibilityUnexplained affluenceUndocumented contact with foreign nationalsBags/envelopes stuffed with classifiedExit work with laptop containing classified
22 Peter Lee, Convicted Spy from LANL and LLNL One time nuclear physicist at Lawrence Livermore and Los AlamosEthnically targeted by the People’s Republic of ChinaPassed secrets related to remote tracking of nuclear submarines to China while an employee at Lawrence LivermorePassed secrets related to U.S. nuclear stockpile stewardshipCompromised the security of US/UK Trident nuclear deterrent
23 Vladimir Putin, Russian Federation President “Security organs, in accordance with federal legislation and within the limits of their authority, are obliged:to conduct intelligence activities for purposes of acquisition, processing, and utilization of information...to infiltrate the special services and organs of foreign states.”
24 Madeleine Albright, Former Secretary of State, May 2000 “Forget that the Cold War ended. Our nation still has enemies; our secrets still need protecting; and the threats we face are more varied and less predictable than ever.”
25 Who Collects? Business representatives Corporate officers Salespersons Engineers and scientistsEmbassy officialsIntelligence officers and their assets
26 Foreign Intelligence Methods Sponsorship of research in the U.S.Elicitation during conferences/trade fairsRecruitment of émigrés (ethnic targeting)Debriefing foreign visitors to the U.S.Tasking foreign employees of U.S. firms
27 Foreign Intelligence Methods Tasking foreign students studying in the U.S.Specialized technical operationsSurveillance/surreptitious entryU.S. volunteersClassic agent recruitment
28 Recruitment Process Spotting Assessing Recruitment Handling Termination
29 Espionage “Red Flags”Relatives/friends with connections in foreign countriesRecurring/unexplained weekend tripsUnofficial/unfunded foreign travelSudden payment of loansFree spending/lavish display of cash or wealth above incomeSudden purchase of high value items with no logical incomeUnexplained/excessive use of copying equipmentUnauthorized removal of classified/sensitive unclassifiedAttempts to obtain information without need to know
30 The External Threat E-mail Foreign travel Domestic conferences Hosting foreign visitors and assignees
31 Your ResponsibilityReport any substantive interaction with a sensitive country foreign national to Counterintelligence.Reporting does not take a long time –Enter your contacts on the CI Web Page under the “Substantive SFN Contacts” link on the left.CI Reporting Sensitive Foreign National Contacts
32 Substantive Relationships Substantive interactions are:Personal contacts that involve sharing of private information and/or the formation of emotional bonds.Professional conversations that generate discomfort because of the sensitivity of the subject being discussed.Business or financial interactions with sensitive country foreign nationals.Wondering if you need to report an interaction?Use good judgment and common sense. If you have a question about if something is substantive, err on the side of caution by contacting Counterintelligence.
33 Your Reporting Requirements Notify the Office of Counterintelligence:If you have a substantive interaction with a sensitive country foreign national.If approached or contacted by anyone requesting classified/sensitive information.If you suspect that you have been approached by a Foreign Intelligence Service (FIS), become a FIS target, or if you have knowledge or information of FIS targeting or recruitment attempts.If you receive unsolicited directed to you from a sensitive country foreign national.Remember the “Need to Know” Factor:Nationality notwithstanding, common sense should tell you when something is strange, curious, or suspicious!
34 Countering TerrorismTerrorists use many of the same techniques that foreign intelligence services use.Information and concerns about possible terrorist activity should be relayed to (505)
35 International Business Services Department 6051 Hi, my name is ________ and I am with the Foreign Travel Office
36 Presentation Objectives What is International Travel and what you need to do to participateTimelines for submitting Official International Travel RequestsWhat is Unofficial International Travel and how to report itReview QuestionsSecurity and Awareness - while on International Travel
37 Official International Travel Definition and Timelines Is your traveler representing DOE, SNL, or NNSA? Are they conducting business on behalf of the U.S. Government? If so, this is Official International Travel, regardless of the funding. *All Sandians, Contractors and Consultants must obtain SNL and DOE approval for International Travel prior to departure. This includes travel to Canada and Mexico.International Travel Requests need to be submitted 37 calendar days prior to the departure date.* When in doubt, please contact the International Travel Office.For purposes of this document, Members of the Workforce are:Sandia employees.Contractor employees.Any other person who is authorized to travel on behalf of Sandia or DOE or whose foreign travel is paid in full or in part by Sandia or DOE; e.g., on-site and off-site contractors, consultants, no-fee agreement participants, students, university professors and personnel.NNSA = National Nuclear Security Administration
38 Official International Travel Reporting Requirements and Consequences Prepare and submit a trip report within 30 days of returning from official international travel.SNL and DOE have security requirements.You could be responsible for your own expenses.Report any incidents to Security Incident Management Program (SIMP).Incidents may result in an infraction on your permanent record.
39 Unofficial International Travel Definition and Reporting Requirements Personal TravelIf you travel to a sensitive country, as defined by DOE, and you hold a clearance, you must report this unofficial international travel. Contact the International Travel Helpline to ask if the country you are traveling to is on the list.Unofficial International Travel to Non-sensitive countries does not need to be reported, but keep a record of it for clearance reinvestigation purposes.
40 Unofficial International Travel Reporting Sensitive Country Travel If you have access to SNL’s internal web, go to either the International Travel Home Page or the Travel Home Page and click on the Travel Information System (TIS) link and enter your trip information.If you do not have access to SNL’s internal web, contact the Org. you are working for so that the OAA can enter the information for you.The TIS will automatically notify the Counterintelligence (CI) Office. They require notification prior to your departure, or as soon as applicable. If you do not hear from CI before you depart, please contact them at or
41 Official International Travel for Contractor’s Company If you travel to a Foreign Country for your own company and:You are not representing DOE, SNL, NNSA, or the U.S. Government.You are not funded by DOE, SNL, or the NNSA.Follow the guidelines for Unofficial Travel to Sensitive or Non Sensitive Countries.
42 International Travel Contacts The Sandia International Travel Office, located in the International Programs Building (IPB), manages the approval process for all Official International Travel.
43 International Travel Review If you travel to Mexico or Canada on behalf of Sandia do you need to obtain DOE approval prior to departing?
44 International Travel Review Yes.Traveling on behalf of Sandia to a foreign country is considered Official International Travel. You will need to submit an International Travel Request.
45 International Travel Review You will be traveling to London on vacation. While you are there, can you meet with colleagues to discuss a Sandia project?
46 International Travel Review No.This travel is unofficial (personal). If you conduct SNL/DOE business, it is considered Official International Travel. You must have SNL and DOE approval before conducting business in a foreign country.
47 International Travel Review You are going to a sensitive country for a friend’s wedding. Do you need to report this?
48 International Travel Review Yes.If you are a Contractor who holds a clearance, your foreign travel is considered personal travel to a DOE Sensitive Country. Submit your Unofficial Sensitive International Travel information via the Travel Information System (TIS) or contact the CI office at or
49 International Travel Review You are going to a conference in Hawaii. Do you need to submit an International Travel Request?
51 Badge Overview New federal credential Badge Responsibilities Consequences regarding lost, stolen, and forgotten badgesUnreturned badgesRemindersQuestions
52 NEW Federal Credential All Members of the Workforce who have a security clearance will be required to obtain a Personal Identity Verification (PIV) Federal Credential.Policies and procedures regarding issuance to sub-contractors are being developed.The federal credential will replace your current Standard DOE Badge.
53 NEW Federal Credential The new Federal Credentials are a result of the Homeland Security Presidential Directive 12 (HSPD-12).The directive’s key requirements is the PIV standard.Two phases: PIV-I and PIV-II.
54 NEW Federal Credential PIV-IEstablishes a process for personal identity proofing, registration, and issuance of security badges for physical access to secure facilities.PIV-IIWill supplement the PIV-I process by requiring the issuance of a new federal credential, which will include smart card technology. The new card will eventually provide identity verification for both physical and logical (cyber) access to secure facilities.
55 NEW Federal Credential Credentialing efforts are being implemented in each of the 637 agencies in the U.S. Government.Individuals from all federal agencies that visit/work at a Sandia site will use their federal credential to gain access.
56 NEW Federal Credential The credential may be used at other federal sites.All credentials will have start and end dates and will be valid for 5 years.This is a centralized effort across all U.S. Government agencies.Replacement of a federal credential will cost Sandia a minimum of $50.00 and will take 2 to 4 weeks to replace.
57 NEW Federal Credential The federal credentials WILL NOT use colors to indicate clearance level. Color differentiation on the credentials will be used to indicate the type of individual, as follows:Green stripe—contractorWhite (no stripe)—federal employeeBlue stripe—foreign national
58 NEW Federal Credential Only DOE agency individuals will have an indication of clearance level on their credential, in the form of a “Q” or “L” printed on the face of the credential.This includes all employees, consultants, and subcontractors of the DOE contractor-operated sites, such as Sandia.
59 NEW Federal Credential New policies are being evaluated by DOE and Sandia as to whether “vouching” will still be allowed.Additional guidance will be necessary to verify clearance levels at meetings.Until all individuals receive their federal credentials, Sandia will be in an especially vulnerable period because of possible confusion due to the different color coding scheme of the Federal Credential.
60 Badge Responsibilities Your Badge MUST be returned when:When you terminate.When you no longer require a clearance.When you leave on extended leave of 90 consecutive calendar days or more.When your access authorization will not be required.
61 Badge Responsibilities REMINDER:Your badge should NOT be used for personal identification outside of Sandia premises.Exceptions:SNL Federal Credit Union located on KAFBGaining access onto to KAFBYour badge is not for personal identification except to gain access to KAFB and at the SNL Credit Union. If you are an employee and would like to have an ID card for JIT pick-ups, discounts at restaurants or hotels, you can request one at the badge office when you pick up your new badge.
62 Badge Responsibilities As of February 1, 2007, Sandia contractors/consultants are held accountable for:Multiple lost, forgotten, and stolen badges.Unreturned security badges.
63 Badge Responsibilities All badges are accountable items and the property of the U.S. Government.Contracting companies/consultants are responsible and accountable for ensuring that their employees properly protect, handle, and return badges.In the case of forgotten badges, the badge holder should attempt to retrieve his/her security badge before attempting to obtain a replacement.An individual will not be able to obtain any further badging services until the badge is accounted for.For example, if a contractor/consultant forgets his/her badge, receives a replacement badge, and subsequently determines that the “forgotten” badge is actually lost, then no further action(s) will be taken.
64 Consequences for Lost, Stolen, and Forgotten Badges Consequences Associated with lost, stolen, forgotten, and unreturned badges are listed in CPR , Access Control, Attachment A.
65 Consequences for Lost, Stolen, and Forgotten Badges First occurrence within 365 daysA memo will be sent to the contractor’s Sandia Badge Requestor (SBR) and the SBR’s immediate supervisor.Within 5 working days, the SBR must contact both the individual and his/her company and explain the importance of safeguarding access-authorization credentials.Evidence of this discussion must be documented.
66 Consequences for Lost, Stolen, and Forgotten Badges Second occurrence within 365 daysA memo will be sent to the SBR and his/her immediate supervisor and the SBR’s Senior Manager.A replacement badge will not be issued for 3 working days.However, if such a delay would negatively affect the mission, the SBR’s Senior Manager may approve a deviation—to be communicated to the Badge Office Team Lead.
67 Consequences for Lost, Stolen, and Forgotten Badges Second occurrence within 365 days, continuedThe SBR must obtain written evidence that corrective actions have been taken with the affected badge holder.The Senior Manager must provide written comments to the Badge Office Team Lead.If the SNL Badge Office Team Lead does not receive this documentation within 5 business days of the occurrence, the badge in question will be deactivated.
68 Consequences for Lost, Stolen, and Forgotten Badges Third occurrence within 365 daysNotification to the SBR, his/her immediate supervisor, and either the Senior Manager or Center Director via memo.A replacement badge will not be issued for 7 working days.However, if such a delay would negatively affect the mission, the SBR’s Senior Manager may approve a deviation—to be communicated to the Badge Office Team Lead.
69 Consequences for Lost, Stolen, and Forgotten Badges Third occurrence within 365 days, continuedThe SBR must obtain written evidence that the contracting company has taken corrective actions with the affected badge holder.The Center Director must provide written comments to the Badge Office Team Lead.
70 Unreturned Contactor Badges If a contractor/consultant badge is not received in the Badge Office within 15 calendar days from the badge’s expiration date, the SBR will be notified.The SBR must attempt to contact the affected badge holder and recover the unreturned badge.The SBR must inform the subcontracting company of the badge-retrieval concern and of the associated administrative processes. If it is determined at this point that the badge cannot be recovered, the SBR must submit an SF 2730-LSB, Lost/Stolen Badge Report, to the Badge Office.
72 Clearance Office Overview Personnel Security Clearances (Access Authorizations)Contractor Pre-Processing Investigation ChecksDOE RequirementsDOE Drug Testing RequirementTermination of DOE Security ClearancePersonnel Security Clearance Office ContactsFSO Workbook OverviewContractor Clearance Forms ReviewClearance Office FAQ Sheet Review
73 Personnel Security Clearance (Access Authorization) Personnel security clearances authorize individuals access to classified information or matter, or Special Nuclear Material (SNM).Personnel security clearances are requested when the duties of a position requires access to classified information or matter, or SNM.Personnel security clearance applicants will be subject to Federal background investigations and must meet eligibility requirement for access to classified information or matter. Contractors to Sandia should submit applicants whose background offers the best prospect of obtaining a security clearance.
74 Personnel Security Clearance The average processing times for personnel security clearances range from months.An individual’s active personnel security clearance must not be used as a determining factor for hiring, entering into a consultant agreement, or awarding a subcontract.Unless otherwise stipulated, the contractor will not be required to reimburse Sandia for Sandia costs associated with processing the contractor’s applicants or employees for personnel security clearances.
75 Contractor Pre-Processing Investigation Verification When an initial personnel security clearance is required, the contractor must conduct the following checks (as appropriate) to establish the individual’s job qualifications and access authorization suitability before submitting the access authorization request to Sandia National Laboratories:1. A credit check 2. Verification of a high school degree or diploma or a degree or diploma granted by an institution of higher learning within the past 5 years
76 Contractor Pre-Processing Investigation Verification 3. Contacts with listed references4. Contacts with listed employers for the past 3 years (excluding employment of less than 60 working days duration, part-time employment, and craft/union employment)5. Local law enforcement checks when such checks are not prohibited by state or local law, statute, or regulation, and when the individual has resided in the jurisdiction where the contractor is located
77 Contractor Pre-Processing Investigation Verification Verification of Citizenship (recently updated on form) How to properly verify citizenshipUse of illegal drugs and/ or illegally used controlled drugs within last twelve months (recently added to form)
78 Contractor Pre-Processing Investigation Verification The cost associated with conducting a Contractor Pre-Processing Investigation Verification is basic overhead cost of doing business on government contracts. Thus, Sandia can not bear the cost of background screenings as a direct cost or line item under any type of Sandia contract.The cost for obtaining a background screening is minimal (background screening companies can be located on the internet and most typically charge less than $50/person).
79 New DOE Drug Testing Requirement All employees and contractors that require a security clearance (Q or L) and all employees and contractors in positions that currently have security clearances are considered to be in Testing Designated Positions which means they are subject to applicant, random, and for cause drug testing.
80 DOE Drug Testing Matrix Negative drug test results are required by DOE for the indicated clearance statuses below:
81 Termination of DOE Security Clearance DOE requires the SNL Clearance Office to terminate an individuals access authorization by providing DOE F , Security Termination Statement, which is completed by the employee and manager whenever any of the following occur:Employment by the contractor is terminated.An access authorization is no longer required.The individual is on a leave of absence or on extended leave and will not require access to classified information or matter, or SNM, for 90 consecutive working days.Access to classified information or matter, or SNM, is no longer required due to transfer to a position not requiring such access.
82 TerminationsThe individual leaves for foreign travel, employment, assignment, education, or residence of more than 3 months duration, not involving official U.S. Government business. This requirement applies even if the individual remains employed by the contractor.Security Termination Statements are due within two days of the date of termination, or within two days from the date that it is known the clearance is no longer required.They must be signed by the person who is terminating. If a signature is not obtained, please include an explanation as to why.
83 TerminationsSEC225, Termination Briefing, must be completed when individual is terminating. Include verification that SEC225 has been completed when submitting the Security Termination Statement by providing the clearance office the Contractor Administered Training form, or the training certificate from TEDS®.Termination Statements and Debriefing forms can be faxed.
84 Clearance Office FAQ Sheet Review The Clearance Office has prepared a Clearance Office FAQ Sheet to help you successfully meet your clearance processing needs.Please refer to the FSO Website
86 Objectives of Training Provide information on:Expanded new drug testing requirementsCurrent Testing Designated Positions (TDP)Substance abuse policies and regulationsDrug-testing processConsequences of a positive resultOpportunities for assistanceBenefits and contacts
87 Secretary of Energy Bodman’s Decision Why - The change in policy is the result of a recent memorandum from Energy Secretary Bodman directing DOE sites to begin random drug testing for all positions that require access authorizations.Decision - based on a DOE Task Force Review of the Departmental Personnel Security Program completed in February 2007, and a desire to ensure the safety and security of workers, DOE sites, and surrounding communities, Bodman said in the memorandum.
88 Secretary of Energy Bodman’s Decision “I have determined that all Federal and contractor positions that require a security clearance (Q or L) and all employees in positions that currently have security clearances have the potential to significantly affect the environment, public health and safety, or national security.”
89 New Drug Testing Requirements Pre-employment and clearance applicants.New Testing Designated Positions (TDP) include any Member of the Workforce who holds an L or Q clearance will be tested at a 30% random sampling rate.Nov. 1, 2007, DOE stopped accepting clearance request packages without drug testing results.Includes initial clearances and reinstatements.
90 New Drug Testing Requirements Clearance applicants who have used illegal drugs during the 12 months prior to completing their Federal Questionnaire for National Security Positions will be disqualified from consideration until they can demonstrate 12 consecutive months of non-use.
91 Current Testing Designated Positions General applicants to SNLReasonable SuspicionPost accident in mandated programsPositions in which a Member of the Workforce would, if impaired, pose a special risk to others, to national security, or to the environment.Special Program TestingHuman Reliability ProgramCommercial Drivers License (CDL) holdersCrane and Hoist OperatorsReturn-to-Duty and Follow-Up
92 Special Program Testing Human Reliability Program (HRP), tested at 100 percent annual rate.Crane and Hoist (CAH), tested at 100 percent annual rate.Commercial Driver License (CDL), tested at 50 percent annual rate.
93 Reasonable SuspicionReasonable suspicion must be based on an articulable belief that an employee uses illegal drugs, drawn from particularized facts and reasonable inferences from those facts.Such a belief may be based upon, among other things:Observable phenomena, such as direct observation of:The use or possession of illegal drugs.The physical symptoms of being under the influence of drugs.A pattern of abnormal conduct or erratic behavior.Two or more supervisory or management officials, at least one of whom is in the direct chain of supervision of the employee, or is a physician from the site occupational medical department, must agree that such testing is appropriate.
94 Reasonable SuspicionArrest for a conviction of a drug related offense, or the identification of the individual as the focus of a criminal investigation into illegal drug possession use, or trafficking.Information that is either provided by a reliable and credible source or is independently corroborated.Evidence that an employee has tampered with a drug test.Temperature of the urine specimen is outside the range of degrees centigrade or degrees Fahrenheit.On-site donors must be accompanied to the alcohol testing/specimen collections site in Health Services Building 831.
95 Post-Accident Drug Testing for Special Programs Required for a “reportable accident” involving a commercial motor vehicle onsite or on a highway interstate or intrastate commerce in which:A fatality occurs.The driver receives a citation and the accident involved:Bodily injury resulting in immediate medical treatment.Disabling damage requiring vehicle to be towed.
96 CDL and CAH Post Accident Test as soon as possible, within 2 hours (no later than 8 hours) for alcohol and within 32 hours for controlled substances, document if not conducted.Driver is to remain readily available for testing until completed or a decision is made otherwise.Post-accident information cards and drug and alcohol testing forms are provided to drivers.Accident notification process goes through SNL’s Emergency Operations Center (EOC).
97 Return to Duty and Follow Up Conducted after a Department of Transportation (DOT) drug/alcohol violation and evaluation of a Substance Abuse Professional (SAP) prior to resuming safety-sensitive functions.
98 The Process for New TDPs Verbal notifications are made to randomly selected Members of the Workforce during operational hours. A selected person must report to a designated collection site within two hours of receipt of the call.Verbal notification will include directions to the nearest collection center. Such centers are being established at SNL/NM and SNL/CA, and at nearby government or private medical facilities for other Sandia sites.
100 The Process for New TDPs Out-of-town clearance holders will have 24 hours to report to a designated collection site.Failure to report to an approved clinic the day of notification, or refusal to provide a specimen, will result in measures equal to those for a positive drug test.If a notified Member of the Workforce has a valid, verified excuse for not being able to report for testing, his or her name will be returned to the random selection database. This may include being on travel or vacation, or being out ill, at the time of notification.
101 The ProcessUrine specimens will be sent to a federally certified private laboratory for assay.If a lab result indicates the presence of drugs in a specimen, the clearance holder will have an opportunity to discuss the result with a Medical Review Officer (MRO). The MRO will determine whether the result is reported as either positive or negative.As part of the testing process, a selected Member of the Workforce will have an opportunity to report the use of prescription medications or other substances if the result is positive.
102 The ProcessThe immediate consequences of an MRO-confirmed positive drug test include:Individual’s badge being confiscated by Personnel Security.Individual removed from his/her TDP duties.Other disciplinary actions, which can include termination, would follow due-process procedures.A contractor whose result is confirmed as positive must be removed from the performance of the Sandia contract immediately.
103 The Process – Split Sample Per 10 CFR 707, Workplace Substance Abuse Programs at DOE Sites, Section , “Action pursuant to a determination of illegal drug use”:An individual who has been notified of a positive test result may request a retest of the same sample at the same or another certified laboratory.The individual must bear the costs of transportation and/or testing of the specimen. Sandia will inform Members of the Workforce of their right to request a retest under the provisions of this paragraph.
104 The Process Members of the Workforce will be tested for the following Marijuana (THC)CocaineOpiatesPhencyclidine (PCP)Amphetamines, including methamphetaminesNote: Some prescription medications fall in these categories; illegally using prescription medications will result in positive test result.
105 Key Points SummaryA recent DOE decision requires random drug testing of all Members of the Workforce who have Q or L clearances.30% of the cleared Sandia population will be randomly selected and tested each year.Notifications to randomly selected Members of the Workforce will begin on October 1, 2008.This policy change is the result of a DOE determination that all workers who require security clearances have the potential to significantly affect the environment, public health and safety, or national security.
106 Key Points SummaryOnce notified, a Member of the Workforce will report to the nearest certified testing facility and provide a urine specimen within two hours of receiving notification.Out-of-town clearance holders will have 24 hours to report to the nearest collection center to provide a urine specimen.Selection does not change the odds that someone will be selected in the future.Consequences of a verified-positive drug test may include termination.
107 Urine Specimen Collection Federal Drug Testing Custody and Control Form (CCF) used to document process.Instructions printed on back of donors copy of CCF.Participant:Will need to provide photo ID at collection site.Will be asked to remove outer garments, empty and display pockets, and leave bag/pack/briefcase outside the restroom.Will be instructed to rinse hands prior to specimen collection.Must attempt to provide specimen immediately upon arrival.
108 Urine Specimen Collection Given privacy in the restroom, unless observed urine is required (e.g., temperature out of range, evidence of tampering).Individual instructed to collect 45mLs urine in collection container.Sample checked for temperature and appearance.Sample split into two containers and sealed and initialed while individual is present.CCF is signed by everyone who handles the sample, specimen shipped to testing laboratory.
109 Laboratory Analysis Two Steps Split specimen ScreeningGas Chromatograph Mass Spectrometry (GC/MS) ConfirmationSplit specimenBottle A – Owned by employerBottle B – Owned by employeeOnly drug-testing laboratories approved as meeting the Health and Human Services (HHS) laboratory certification are used.Confirmation of any positive result(s) assures accurate results. There are several methodologies of confirmation including Gas Chromatograph(GC), Thin Layer Chromatograph(TLC), and Gas Chromatograph Mass Spectrometry(GC/MS). The latter is highly accurate and sensitive. It is the only federally approved methodology for confirmation.Health and Human Services
110 Problems in Drug Testing Insufficient urine (shy bladder)Donor urged to drink up to 40oz fluid in up to a 3 hour period and provide sufficient amount.Physician makes determination if medical condition exists.Lab results indicating a violation.Drug use, substitution, or adulteration.
111 Review of Drug Test Results Interview with MRO is conducted for non-negative tests.Individual has 72 hours to request a test of a split specimen.Circumstances without an interview.Employee declines opportunity to discuss test.
112 Prohibitions for Controlled Substances Use of any drug (except under the direction of a licensed medical practitioner and only if he/she has advised the driver that the drug will NOT adversely affect the Member of the Workforce’s ability to safely operate a commercial motor vehicle)Testing positive for drugsRefusal to take a required test
113 What is a Refusal?A refusal is a “Positive” test and occurs when the individual:Fails to appear within specified time.Fails to remain at the testing site until the testing process is complete.Fails to provide:A urine specimen for drug testing.Enough urine for drug testing.
114 What is a Refusal?In the case of a directly observed or monitored collection in a drug test:Fails to permit the observation or monitoring of his/her provision of the specimen.Fails or declines taking a second drug test when directed by an employer or collector.
115 What is a Refusal?Fails to undergo a medical examination or evaluation as part of:The verification process for drug testing.“Shy bladder” procedures for drug testing.Insufficient breath procedures for alcohol testing.Fails to cooperate with any part of the testing process.MRO reports verified adulterants or substituted result.
116 ConsequencesThe immediate consequences of a confirmed positive drug test include:The individual’s badge is confiscated and the person being removed from his or her TDP duties.Other disciplinary actions would follow, including possible termination.
117 Consequences (continued) Contractors will promptly be removed from the performance of the Sandia contract.Failure to report to a testing center within indicated time frame of notification, or refusal to provide a specimen, will result in measures equal to those for a positive drug test.Time away from work may be vacation time or personal leave time if such is available; otherwise it will be considered leave of absence without pay.
118 Frequently Asked Questions Will you test positive if you are around folks who smoke pot or crack?Do over-the-counter (OTC) medicines cause a positive drug tests?How accurate is a drug test?
119 Frequently Asked Questions Will I test positive if I’m taking a prescribed controlled substance?The answer is two fold:There are certain cut off levels that are used in testing, so it depends on the amount detected.The MRO is to review all non-negative tests and verify if there is a legitimate reason for a person to have a positive test.Yes - one drink could be detected for about two hours.Yes they will test positive if taking controlled substance prescription - if it is a pain medication it is probably an opiate.YES!!Possibly.
120 Frequently Asked Questions If I substitute someone else’s urine and get caught – will I be in trouble?If I eat (or drink) a “hemp” product will I test positive for marijuana?
121 Speak up for Safety Drug and alcohol testing is for employee safety. Speak up when you have questions or concerns.Know your company policy.Educate yourself on drug and alcohol abuse and misuse.
122 Employee Assistance Program (EAP) The EAP is an assessment, short term counseling, and/or referral service.It provides assistance for a variety of problems including personal, family, and substance abuse.Employee Assistance Program(505)(505)
123 Points of Contact Site Occupational Medical Director (SOMD) (505)California Site Physician(925)
124 Points of Contact SNL/NM Senior Manager of Information Security, Personnel Security, and Training (505)Drug Testing Program Administrators (505)Badge Office/Human Reliability Program (505)
125 Health Care Benefits For SNL Employees CIGNA Premier PPO, CIGNA In-Network Plan, United Health Care Premier PPO and United Health Care Standard PPO offer:30 days of residential treatment coverage per year with a maximum of:120 days (Premier).90 days (Standard) per 5 year period.Unlimited outpatient visits (if coded with a diagnosis by provider) 85% coverage.
128 Topics We Will Cover What is FOCI and When does it Apply Rules for FOCIKey Management Personnel (KMP) RequirementsFacility Clearance SuspensionsE-FOCIE-FOCI Lessons LearnedFeed back from E-FOCI/KMP RequirementsKMP Workflow ChartSecurity ContactsTo get started the topics that we will cover today are:
129 What is FOCI and When does it Apply? Foreign Ownership, Control or Influence (FOCI) (fō-cee or fō-ki)Objective: It is DOE policy to obtain information that indicates whether a company that SNL will enter into a contract with is Owned, Controlled, or Influenced by a foreign person or entity and whether as a result, the potential for an undue risk to the common defense and national security may exist.Reference: DOE O 470.1, Chg. 1, Safeguards and Security Program, Chapter VI, Section 1This is reminder that this is a direct requirement form the manual that we follow form DOE.And this is the DOE Reference.
130 What is FOCI and When does it Apply FOCI is a DOE background check on a company to determine any foreign: Ownership, Control, or InfluenceIf your company subcontracts, your subcontract company must also complete a FOCI package and also receive a favorable DOE determination.Upon favorable FOCI determination by DOE, a facility clearance is granted.Facility clearance is required in order to support personnel clearances needed to perform the work under contractual agreement with Sandia.These are the highlights of what we do.Remember a FCL is specific to each company. Each company has to have their own Facility Code or Cage Code. A unique Facility Code is assigned to each company, a Facility Code is a numeric code that is assigned by DOE. A Cage Code is an alpha numeric combination assigned by DOD.A Facility Clearance is needed before we can start the clearance process for individuals.
131 Rules for FOCIFOCI re-certification is required every 5 years or as significant changes occur.FOCI certification remains active as long as contractor/supplier maintains active contracts and access authorizations (clearances).Annual FOCI certification is required to be filed each year.KMP are required to maintain active DOE clearances as long as the company is FOCI certified. KMP are determined by DOE.All FOCI information is provided through the Designated Responsible Office (DRO) – SNL/NM or SNL/CA.A few examples of a significant change would be:Company Merge/BuyoutChange in Key Management Personnel (KMP)Address/Name Change, etc.And in your binders there should be a handout you can refer to for more examples.In the past, Annuals were filed in the 1st quarter each year but now I send you a notification about 2 months in advance base on a specific date which is called your Certification Date. This date comes from a form in the E-FOCI package that you have completed called the SF 328 form.Now that every company completes their FOCI package at different times, this date is unique to each company. If you want to know your Certification Date you can call or me directly for that information.
132 KMP Requirements Identifying a KMP: Certain officials (typically the owners, officers, director, partners, regents, trustees, and/or executive personnel [KMP]) must be cleared to the level of the Facility Clearance (FCL). Based on their need for access, as determined by the DOE cognizant security authority.A few reasons KMPs are required to be cleared:Influence over the companyDecision makingAct on of behalf of the PresidentWe seem to have a little confusion on KMP requirements and the rules. Please refer to the hand out.
134 Facility Clearance Suspensions What causes this?Company Merger/BuyoutCompany out of compliance with:Annual Certification/5 Year Recertification/Significant ChangeKMP are not in process for a clearance or not cleared at the correct levelSuspension – no new contracts can be placed with the company (that require DOE Clearances) or no new DOE clearances can be processed.How to resolve the suspension:Submit appropriate paperwork to SNL for Merger/BuyoutSubmit Annual Certification/5 Year Recertification/Significant Change through E-FOCISubmit Badge paperwork for KMPsA few examples of a significant change would be:Company Merge/BuyoutChange in Key Management Personnel (KMP)Address/Name Change, etc.And in your binders there should be a handout you can refer to for more examples.In the past, Annuals were filed in the 1st quarter each year but now I send you a notification about 2 months in advance base on a specific date which is called your Certification Date. This date comes from a form in the E-FOCI package that you have completed called the SF 328 form.Now that every company completes their FOCI package at different times, this date is unique to each company. If you want to know your Certification Date you can call or me directly for that information.
135 E-FOCISNL provides an to the company inviting them to the systemCompany selects either:Registered User Login.New User Registration.Here is a snapshot of the initial E-FOCI login screen you will see once you access the E-FOCI homepage. As you probably already know, this system was designed for DOE by Argonne National Laboratories.
136 E-FOCI Lessons Learned One FOCI administrator per company (usually FSO).E-FOCI only allows one package type to be in process at any given time.Submit originals for the KMP List (formerly know as Owners, Officers, Directors, and Executive Personnel [OODEP]) and Standard Form 328 (SF 328) to the SNL FOCI Team. Originals required by DOE.Full middle names on KMP list.Additional information from company must be scanned and uploaded. DOE will not accept hard copies.The reason E-FOCI shows you as a new user is because you have never logged into E-FOCI before.An example for this could be an FSO retiring. The FSO would need to delegate authority to the next person.The reason E-FOCI was designed this way was to show historical archive of your companies information. And the system processes the information in the order that it was reported. The system captures all changes.DOE still requires original signatures on these 2 pages.E-FOCI can’t be customized to each sites needs but SNL requires full middle names.If you have any questions or you don’t have scanning capabilities, please give me a call so I can assist you.
137 Feedback from E-FOCI/KMP Requirements We would like your feedback on using E-FOCI and KMP requirementsPRIZES
138 Security Contacts Entity Account: firstname.lastname@example.org FOCI Program Coordinator Phone: Fax:FOCI Program Assistant Phone: Fax:As a reminder, if you’re not already a registered user with E-FOCI you won’t be able to access this website.Questions???
143 Briefings Why are they so important? They are mandated by DOE. They are meant to make you aware of your security responsibilities.
144 Initial Security Briefing (SEC050) The Visitor Environment, Safety & Health (ES&H) Briefing has been added to SEC050SEC050 video must be viewed by anyone requiring a badge for 31 days or moreSEC050 video required by anyone requiring a clearanceFor individuals visiting for 30 days or less and not requiring a clearance, use SA 2730-BRF, Initial Security Briefing Form
145 Annual Security Refresher Briefing (SEC100) SEC100, Annual Security Refresher Briefing, is revised each year based on current security concerns and requirements.Contains module questions, no quizYes, sometimes you will see a subject repeated year after year
146 Termination Briefing (SEC225) Two methodsVideoSecurity Termination Briefing Form (SF 2900-STB)Individual fails to complete briefingWe prefer individual complete briefing, but we’ll accept a copy of the signed Termination StatementIndividual also fails to read and sign DOE Termination Statement (DOE F )Write a valid explanation on the Termination Statement as to why company failed to obtain individual’s signature
147 Your ConcernsHave you sent training completion records in on time only to find they were never recorded?Do you feel that your Sandia sponsor is unreasonable?Do you feel that no one listens to you?
148 FSO Quarterly Newsletter Includes the latest requirements and changesResurrected based on requests from FSOsSince October 2005
150 Briefings Invite us to your next meeting! Don’t want us? Someone else better?We can help!
151 The “Key”Keeping with our theme – Just who is the key to Awareness at your company?
152 Unlocking the Door Are you passing down requirements? Are you sharing information we pass on to you?Are you reinforcing the Awareness message?Do you ask your employees for input?Do you give us feedback?