Security & Facility Clearances - Government Contracting

7/30/2019 Security & Facility Clearances - Government Contracting

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Facility Clearance Fundamentals




• Agenda

– Introductions – Presentation

– Q & A




– Introductions:• Fed Bid Speed

• Fierce Government

• Anthony “Tony” Anikeeff, Williams Mullen PC

• Jennifer Schaus – JS & Associates




• Fed Bid Speed

* Software program to manage B2G Opps

* Single click integration with FBO.gov* Share notes & project manage RFP’s




• Fierce Government

* Free Govt IT Newsletter

* IT in Govt Agencies / Defense / Cloud / Cyber * White Papers / Events / Analysis

* In-depth & Quality = Differentiator




Williams Mullen PC

Government Contracts Industry Service Group – domestic & overseas clients

– new & well established in the govt marketplace

– expand business, preserve what they have achieved & avoid conflict

– 250 colleagues w. diverse skills in 10 offices VA, DC & NC




• Jennifer Schaus & Associates• B2G Services and Events

GSA Schedules

Federal Sales / Marketing

Full List of Webinars & Events:

http://JenniferSchaus5.eventbrite.com

http://jenniferschaus5.eventbrite.com/

http://jenniferschaus5.eventbrite.com/




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




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 PersonalSecurity Clearance




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)




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?




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”) (DOD5220.22-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




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




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




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.




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



– 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 FundamentalsForeign Ownership Control & Influence

F ilit Cl F d t l



• FSO responsible for compliance

– Training, Compliance Prgm

• ISR Compl Reviews

• Can’t use for profit

• Duration

– Indefinite, 30-day termination notice

• Consequences of Breach


Ongoing FCL Compliance

F ilit Cl F d t l



– Export Controls (ITAR, EAR, FAC)

– Foreign Mergers & Acquisitions – CFIUS


Related Issues




Conclusions

• A Valuable Asset

• Process Requires Planning & Effort• Requires Continued Vigilance



Thank You for attending.

Q & APlease submit Questions here…..


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Jennifer Schaus & Associates

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Anthony H. “Tony” Anikeeff

Williams Mullen PC

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Security & Facility Clearances - Government Contracting

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