Facility Clearance Fundamentals
Facility Clearance Fundamentals • Agenda – Introductions – Presentation –Q&A
Facility Clearance Fundamentals – Introductions: • • • •
Fed Bid Speed Fierce Government Anthony “Tony” Anikeeff, Williams Mullen PC Jennifer Schaus – JS & Associates
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Facility Clearance Fundamentals
Facility Clearance Fundamentals Agenda – What is a Facility Clearance (“FCL”)? – Who Needs an FCL? – Obtaining an FCL • Foreign Own., Control, & Influence
– Ongoing FCL Compliance – Related Issues – Q&A
Facility Clearance Fundamentals Context • Natl focus on security – post 9/11/01 • Vast Increase in need for clearances to do govt work • Highly Valued • Hard to obtain; Easily lost • Distinction: Facility Clearance vs Personal Security Clearance
Facility Clearance Fundamentals What is a Facility Clearance? • “FCL”: An administrative determination, from a natl security standpoint, that a facility is eligible for access to classified info at or below clearance being granted. • “Facility”: Plant, laboratory, office, college, university, or comml structure w/ associated warehouse, storage areas, utilities & components, which are related by function or location, other than a govt installation. • Levels: Confidential, Secret, or Top Secret • DoD Security Agreement (DD Form 441 & 441-1)
Facility Clearance Fundamentals What Facilities Can Get an FCL? • Facility requires access to classified information. – Can’t ask for an FCL • Facility must be bidder / offeror on a govt procurement or to a Prime or be a sub performing on a govt contract. • The bid or potential contract must involve access to classified info. • “Classified Contract”, "Classified Acquisition” • Catch 22?
Facility Clearance Fundamentals Pertinent Law • "Natl Industrial Security Pgm" (“NISP”), E.O. 12829, (58 FR 3479, 1/8/1993), amending E.O. 10865 (25 FR 1583, 2/25/1960), as amended by E.O. 10909 (26 FR 508, 1/20/1961). • NISP is implemented by: – Natl Industrial Security Pgm Ops Manual (“NISPOM”) (DOD 5220.22-M) & ISL’s. – Industrial Security Reg (ISR) (DOD 5220.22-R). – FAR Subpart 4.4 - Safeguarding Classified Info w/in Industry; FAR 52.204-2 - Security Requirements – Other agency reg & statutes
Facility Clearance Fundamentals FCL Process-Preliminaries • Need a Requirement – E.g., DD 254, FAR 52.204-2. • Sponsorship: Gov’t Agency, Prime or Sub • DSS Facility Clearance Branch – Initial Processing – Business & Key Personnel Integrity • DSS Application Pckg • CAGE Code (https://www.sam.gov/portal/public/SAM/) • NISPOM (http://www.dss.mil/isp/fac_clear/fac_clear.html) • Personal Security Clearances – Key Personnel, FSO • Fingerprint Cards • SF 328 – Certificate Re: Foreign Interests • E-Filing
Facility Clearance Fundamentals FCL Process - The DSS ISR Visit – Documents needed for ISR visit: • • • •
Articles of Inc., Bylaws, Stock Awards, Board Minutes Federal TIN Filed 10K Rpts KMP List: Senior mngt officials, FSO, Exec Committee Members, all Board members • Summary of primary business / services provided • Email, fax, & address information - last 10 years. • Proof of US Citizenship of FSO
Facility Clearance Fundamentals Industrial Security Program • NISPOM: Min security requirements for cleared contractors • ISR: Guidance on implementing requirements • Storage vs. non-storage requirement. • Govt may require add’l safeguards. e.g., Special Access Prgm - add’l controls beyond those normally required will be necessary. – special clearances & investigative requirements.
Facility Clearance Fundamentals Clearance Process Culmination – DoD Security Agreement (DD Form 441 & 441-1) • Govt agrees to issue FCL & inform contractor re/ security classification of info to which contractor will have access. • Contractor agrees to abide by security requirements in the Natl Industrial Security Prgm Ops Manual (“NISPOM”). – Kickoff Meeting
Facility Clearance Fundamentals Foreign Ownership Control & Influence – SF 328 – Certificate Re: Foreign Interests
– FOCI Action Plan -- Mitigate / Negate FOCI • • • •
Board Resolution Voting Trust / Proxy Board Security Control Agrmt Special Security Agrmt
– Tech Control Plan – Affiliated Services – Electronic Communications Plan
Facility Clearance Fundamentals Ongoing FCL Compliance • FSO responsible for compliance – Training, Compliance Prgm • ISR Compl Reviews • Can’t use for profit • Duration – Indefinite, 30-day termination notice • Consequences of Breach
Facility Clearance Fundamentals Related Issues – Export Controls (ITAR, EAR, FAC) – Foreign Mergers & Acquisitions – CFIUS
Facility Clearance Fundamentals Conclusions • A Valuable Asset • Process Requires Planning & Effort • Requires Continued Vigilance
Facility Clearance Fundamentals Thank You for attending.
Q&A Please submit Questions here‌..
Facility Clearance Fundamentals Anthony H. “Tony” Anikeeff Williams Mullen PC 703–760–5206 aanikeeff@williamsmullen.com www.williamsmullen.com
Jennifer Schaus & Associates JSchaus@JenniferSchaus.com www.JenniferSchaus.com +1–202–365–0598