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Defense Security Service Facility Clearance Branch (FCB)

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Presentation on theme: "Defense Security Service Facility Clearance Branch (FCB)"— Presentation transcript:

1 Defense Security Service Facility Clearance Branch (FCB)

2 DSS Mission Administer the National Industrial Security Program (NISP) on behalf of Department of Defense and 27 other Federal agencies Support national security and the warfighter Oversee the protection of U.S. and foreign classified information in the hands of Industry Secure technology within the National Industrial Base Serve as the DoD functional manager for the development and maintenance of an overarching DoD security training program Provide a center of excellence for security professionalization, education, and training for the Department of Defense

3 DSS Facility Clearance Branch
Mission: The Facility Clearance Branch (FCB) oversees the Facility Clearance (FCL) process from initial issuance through invalidations and termination based on procurement need. Companies cannot perform on classified contracts without an FCL Primary Responsibilities: Receive and review initial FCL sponsorship and FCL upgrade requests Verify the procurement need and accuracy of the FCL sponsorship requests Issue FCLs (Confidential, Secret, and Top Secret) Monitor and process FCL change conditions The Facility Clearance Branch it typically the first interaction that most Industry and Government have with DSS. We act as the filter that processes Facility Clearances based upon procurement need and we essentially Quarterback the Facility Clearance Process. The FCB issues and monitors cleared contractors continued eligibility within the National Industrial Security Program. There are a total of cleared facilities within the NISP. The FCB has a staff of 16 personnel that are responsible for processing 3,000+ facility Clearance actions, and processing 6,000+ changed conditions annually for those cleared facilities that I mentioned.

4 FCL Request There must be a requirement to access classified information: a classified contract, or a need to access classified material during the bid or solicitation stage of a contract Facility must meet all eligibility requirements per NISPOM 2-102 The contractor must be organized and existing under the laws of one of the 50 U.S. states, the District of Columbia, or organized U.S. territorial areas. The company must have a Reputation for lawful conduct The final FCL eligibility requirement is that the company must not be under FOREIGN ownership control and influence to such a degree that it cannot be adequately mitigated by DSS. A FCL is not needed during the pre-award stage of a contract unless access to classified information is needed during this pre-award stage. If access to classified information is not needed during this pre-award stage, the facility can be sponsored for a FCL upon award of the contract.

5 Initial Facility Clearance Request
Clearance process begins with a formal written request from a government contracting activity or a cleared prime contractor to clear a new contractor provided to DSS, FCB at A sponsorship request is required to include a sponsorship letter and a justification of the FCL request, typically a DD form 254. DSS will also accept the following forms of justification: security aspects letter, contract or statement of work, a request for proposal, a request for quotation, a cooperative research and development agreement (CRADA) A company must be sponsored for an FCL by a GCA or another cleared contractor (for a subcontract). A contractor or prospective contractor cannot apply for its own FCL. FCB reviews to ensure that it is a valid Procurement requirement, meaning that the request must demonstrate that access to classified information is required to support a U.S. Government, foreign government, or North Atlantic Treaty Organization (NATO) requirement for access to classified information. If accepted, the requestor and sponsored facility will receive notification via . If rejected, the requestor will receive notification via with a rejection reason. has detailed information of the FCL process and a example of a sponsorship letter.

6 FCL Process: FCB Role Validates sponsorship request
Builds record in ISFD Builds record in Electronic Facility Clearance (e-FCL) System FCB notifies DSS Field Office of the new request FCB notifies sponsored facility, their company has been placed in-process for an FCL. FCB acts as the FSO of in-process facilities during the FCL process

7 Facility Clearance Process Roles
FCB handles administrative requirements Industrial Security Representatives (ISR) work face to face with facilities Office of Personnel Management (OPM) conducts the background investigation DSS, Personnel Security Management Office for Industry (PSMO-I) reviews all industry e-QIP submissions for interim determination DoD CAF adjudicates investigations for industry

8 FY 2014 Sponsorships DSS Internal Use Only

9 Facility Clearances for Service Contracts
A fundamental requirement for FCL sponsorship is that the contractor must require access to classified information in connection with a legitimate U.S. Government or foreign government procurement. A request to clear a company solely to avoid implementing basic security procedures that would otherwise preclude access to classified information (e.g., escort by an authorized person in combination with appropriate area sanitization), is not justification for an FCL, and could lead to security vulnerability. There may be rare exceptions when a company would genuinely need an FCL to perform service-oriented tasks. An example is when a cleaning company is under contract to clean an area that, due to the nature of the classified material involved, cannot be adequately sanitized to preclude access to classified information even with appropriate escort. In those rare exceptions, the letter to DSS sponsoring the company for an FCL must clearly explain the rationale for the FCL. Such requests will be carefully scrutinized, and the validity for maintaining the FCL, once granted, will be a point of emphasis during recurring DSS security reviews. (ISL 03L-1 #6)

10 FCL Requirements for Self-Employed Consultants
Cleared contractors may process self-incorporated consultants for a PCL in accordance with NISPOM paragraph provided the consultant and members of his/her immediate family are the sole owners of the consultant’s company, and only the consultant requires access to classified information. In such cases, a facility security clearance (FCL) is not required. Should other employees of the consultant’s company require access to classified information, it would constitute a classified subcontract, and as such, a DD Form 254 must be issued by the prime contractor, and the consultant’s firm will require an FCL. What does this mean to you? Basically, a company who has no employees is not eligible for a FCL, however can be a consultant for a cleared contractor or Government Contracting Activity (GCA) (ISL 03L-1 #6)

11 Which KMPs Must Be Cleared
Exactly which Key Management Personnel (KMP) are required to be cleared varies according to business structure NISPOM, 2-104: Senior Management Official and the Facility Security Officer. For Corporations, we will also clear the Chairman of the Board DSS determines who has control and influence over the classified program at the company; Those individuals will be identified as KMP Corporate key management personnel who can adversely affect the corporation’s policies and practices in the performance of classified contracts must be cleared in connection with the FCL; these personnel are as follows: Chairman of the Board. If there are provisions in the bylaws for rotating chairmanship among the directors, all directors who could fill the [rotating] chairman position should be processed for eligibility for access to classified information. However, issuance of the FCL will depend only on the eligibility determination for the current chairman of the board. The senior management official (e.g., chief executive officer (CEO), president). Facility Security Officer (FSO). Others. Remaining officers and board members will not be automatically processed for eligibility to access classified information in connection with the FCL. Any requirement for eligibility for such personnel will be governed by the access that the related classified contract(s) require them to have. If eligibility for access is not required, the other officers and board members will be formally excluded from access.

12 Facility Survey Two parts: a telephonic survey and an on-site survey
Confirms/verifies business structure, ownership details Confirms which KMPs must be cleared, which can be excluded Two parts: the telephonic survey: Conduct a telephonic survey with a knowledgeable person at the company to obtain the following information: The Company’s business structure, its corporate history, preliminary identification of KMP, and information about the HOFs, parents, or other affiliated companies. Provide instructions to the contractor on how to obtain a Commercial and Government Entity (CAGE) code if the company does not already have a CAGE code. Explain the personnel security process to the company, to include the need to obtain a Joint Personnel Adjudication System (JPAS) account and to submit requests for personnel security investigations for KMP by means of the Electronic Questionnaire for Investigations Processing (e-QIP). During the onsite survey the IS Rep examines. Business structure. If the business to be cleared is a corporation, determine if it is part of a multiple-facility organization or parent/subsidiary organization. The IS Rep will review the business organization documentation, stock or share authorization, ownership, and other information relevant to determining the nature of the structure and operations of the business. Owners. Identify the owners of the company for purposes of determining whether those owners will require eligibility for access to classified information and to determine whether the company is owned or controlled by foreign interests. The purpose and effect of the NISPOM and the DD Form 254; the Government’s responsibility for classification; the contractor’s source of classification guidance, and how the contractor may obtain clarification of classification instructions. The role of the CSO (i.e., DSS field office); KMP responsibilities; Overview of FSO responsibilities; Reports required by the NISPOM, including adverse information reports and reports of suspicious contacts. The vulnerability assessment process. Security education requirements, etc. So essentially any NISPOM requirements that apply to your facility based on what is in the DD 254.

13 e-QIP Procedures FCB will initiate request for KMPs to complete the e-QIP – for in-process facilities FCB monitors receipt of e-QIP eQIP is forwarded to Personnel Security Management Office for Industry (PSMO-I) for processing

14 Interim FCLs After e-QIP and all forms have been submitted, facility is reviewed for an Interim FCL Criteria: All KMPs must be eligible No unmitigated FOCI All Forms/Exclusions in order Any Parent/Home Office Facility cleared or excluded An interim FCL may be granted by FCB to eligible contractors. An interim FCL is granted on a temporary basis pending completion of the personnel security eligibility determinations for the key management personnel. An interim TOP SECRET FCL requires at least a favorably completed National Agency Check for each KMP required to be cleared in connection with the FCL. FCB will continue to monitor the status of pending KMP investigations and adjudication actions. The final FCL shall not be issued unless all KMP have received a favorable and final eligibility determination and the facility has met all other FCL requirements (see NISPOM 2-102). Prior to issuing any FCL, FCB will contact the IS Rep and verify that the following actions have been fully completed: All necessary FCL forms have been executed by the facility. Any FOCI factors have been adjudicated. Any home office or parent companies have been cleared or excluded, as appropriate. No disqualifying information has been developed since the initial survey. When the final FCL has been issued, the security specialist will update ISFD and send a Letter of Notification of Facility Clearance (DSS FL 381-R) to the contractor, with a copy to the IS Rep/Field Office Chief. On average it takes about 90 days for an interim FCL to be issued after the request is received. Average for Final FCL is about 180 days. Keep in mind that figure is with all factors present.

15 Processing the Final FCL
Processing for the Final FCL continues until All KMPs have been issued Final PCLs, all forms complete, FOCI mitigated, and any Home Office/Parents cleared or excluded or, the facility declines to be cleared or, a KMP clearance is denied and facility is unable to come up with an acceptable plan of action

16 Final FCL Will Be Issued Once
The KMP PCLs have been issued The facility paperwork been received and validated: DD Form 441 or DD Form 441-1 SF 328: Foreign Ownership Control and Influence (FOCI) SF 328 is analyzed by DSS FOCI Analytics Division KMP List Misc. paperwork

17 Contact Information Jeremy Hargis, Industrial Security Specialist, Facility Clearance Branch, or

18 Questions?

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