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The Fast Track to Facility Clearance
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The Fast Track to a Facility
Clearance
Cindy Brook
21 January 2015
This document contains Binary Group, Inc. Proprietary and Confidential Business
Information and is intended solely for the use and information of the client to whom it is
addressed. It may not be duplicated or published without the written consent of Binary
Group.
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The Fast Track to a Facility
Clearance
Cindy Brook
21 January 2015
This document contains Binary Group, Inc. Proprietary and Confidential Business
Information and is intended solely for the use and information of the client to whom it is
addressed. It may not be duplicated or published without the written consent of Binary
Group.
Agenda
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Terminology
Where Do We Start?
Key Steps
The First Visit
Best Practices
Pitfalls
Binary Group, Inc. Proprietary and Confidential Information
7
Terminology
• NISP - The National Industrial Security Program is the
nominal authority (in the United States) for managing the
needs of private industry to access classified information.
– The NISP was established in 1993 by Executive Order 12829.
– The NISP recognizes four different Cognizant Security Agencies
(CSA), all of which have equal authority:
• Department of Defense
– The DoD is the CSA for approximately 26 other Federal Agencies
– Delegated responsibilities to Defense Security Services (DSS)
• Department of Energy
• Central Intelligence Agency
• Nuclear Regulatory Commission
• NISPOM – National Industrial Security Program Operating
Manual, or DoD 5220.22-M
– The NISPOM establishes the standard procedures and
requirements for all government contractors, with regards to
classified information.
Binary Group, Inc. Proprietary and Confidential Information
8
Terminology (cont.)
• Facility Clearance (FCL) - a determination by the federal government that
it would be in the interest of national security for a particular company or
organization to access classified information. Levels of clearance include:
Confidential, Secret, & Top Secret, as well as other authorizations such as
“Safeguarding”.
– Interim FCL - An interim FCL is granted on a temporary basis pending
completion of the personnel security eligibility determinations for the key
management personnel (KMP), and can only be granted if KMP requiring to be
cleared in conjunction with the facility clearance receive at least an interim
personnel clearance at the level required. (other mitigating factors exist)
• Personnel Security Clearance – After the completion of an investigation, a
final determination will be made by the federal government that it would
be in the interest of national security for this person to access classified
information. Levels of clearance include: Confidential, Secret, & Top
Secret, as well as other special classifications such as SCI, NATO, etc.
• Prime (or Prime Contractor) - In Government contracting, this term is used
to indicate that your company or organization was awarded the contract.
If you have Subcontractors, you are referred to as the Prime, in a
Prime/Sub relationship.
• Sub (or Subcontractor) - a business or person that carries
• out work for a company
as part of a larger project.
Binary Group, Inc. Proprietary and Confidential Information
9
Terminology (cont.)
• CAGE Code - The Commercial and Government Entity Code is a unique
identifier assigned to suppliers to various government or defense
agencies, as well as to government agencies themselves and also various
organizations.
• Clearance Levels
– Confidential, Secret, Top Secret
• Facility will be cleared to one of these levels based on the requirements in the
Government’s Request for Proposal (RFP)/Contract
• DD254 – The method used to provide offerors/contractors with security classification
guidance, and it must be provided with all classified contracts.*
• Special Classifications (can only be applied to personnel, not facilities)
– SCI, CNWDI, NATO, Restricted Data, FGI, Q & L (DOE)
– Blog Article: http://www.binarygroup.com/blog/article/about_special_classification_levels_for_facilities
• Safeguarding – A term used to indicate that a contractor is responsible for
the custody of classified information or classified information is under
their control at their facility.
• SCIF - Sensitive Compartmented Information Facility - is an enclosed area
within a building that is used to process Sensitive Compartmented
Information (SCI) types of classified information
*Note: Special Access Programs may also be required
Binary Group, Inc. Proprietary and Confidential Information
10
Where Do We Start?
• Opportunity Exists *
– If your company will Prime
• To view classified material the KO will sponsor your company for a Facility
Clearance
– If your company will Sub
• The Prime is responsible for sponsoring your company
– However, the Prime is only allowed to do so once the contract has been awarded
• Why Get a Facility Clearance?
– All companies awarded a contract with a security clearance are
required to be cleared by the Government – Prime or Sub
– Once cleared, it could make your business more attractive to Federal
buyers
• How long will it take?
– According to DSS, currently it is taking on average 137 days to issue a
final Secret/Confidential FCL, 151 days to issue a final Top Secret FCL,
and 98 days to issue an Interim FCL.
*Note: This assumes that your company already has the required CAGE
Code for doing business with the Government
Binary Group, Inc. Proprietary and Confidential Information
11
Where Do We Start? (cont.)
• Does it cost anything?
– The Government does not charge a company
• For obtaining a facility clearance
• For obtaining personnel clearances
– Internal costs to consider
• You will need to choose someone from your company to be
the Facility Security Officer (FSO)
– FSO attends conferences, training & seminars for educational
purposes that cost money
• There will be some cost associated with educating your
personnel
• Time is Money
– Obtaining a clearance takes time, whether it is your facility or
personnel clearances
Binary Group, Inc. Proprietary and Confidential Information
12
Key Steps
• Once sponsored, DSS will receive the request
• Your FSO will also need to complete training
– Some training is required immediately to access
Government systems, while other training must be
completed within 1 year of the assignment to the role of
FSO
• Some training must be refreshed once per year
• DSS Representative (Rep) will be assigned to your
company
– Your FSO should handle all interactions with the DSS Rep
– They will call the FSO, introduce themselves, provide all of
the initial forms for the FSO to complete, help them with
starting personnel clearances, etc.
• During this call they will schedule their first visit to your facility
Binary Group, Inc. Proprietary and Confidential Information
13
Key Steps (cont.)
• Prior to the first visit your FSO will be required to
complete all of the forms and prepare your
company as instructed by the DSS Rep
• The following will also be required:
– Organizational Documentation/Information
• Articles of Incorporation, Stock Records, Minutes of Board
Meetings, and Corporate by-laws
• Federal Tax ID Number
• Key Management Personnel List
• Brief summary of your company's primary business or
services
• Email, Fax, and complete address information for the last ten
years — include the last four number extension on your zip
code
• Proof of US Citizenship for prospective FSO
Binary Group, Inc. Proprietary and Confidential Information
14
Key Steps (cont.)
• The following will also be required (cont.):
– Additional Items
• Personnel Security Clearance for KMPs
– KMPs are Key Management Personnel – Each KMP is required
to hold a clearance at the same level as the Facility, unless
they are excluded
– Fingerprints – as part of the Personnel Security Clearance
process, Fingerprints are required.
• DSS Facility Process Forms
• DD Form 441
– DoD Security Agreement – Agreement between your
organization and the US Government that details the security
responsibilities of both the cleared organization and the US
Government.
Binary Group, Inc. Proprietary and Confidential Information
15
Key Steps (cont.)
• The following will also be required (cont.):
– Additional Items Required (cont.)
• DD Form 441-1
– This is an attachment to the DD Form 441 that lists cleared
divisions or branch offices that are included or covered by the
provisions of the organizations Security Agreement and
Certificate Pertaining to Foreign Interest.
• FOCI - SF 328 Certificate Pertaining to Foreign Interest
– The Certificate Pertaining to Foreign Interest is used to report
your organization's foreign involvement.
– Hold a company meeting, prepare everyone
• You will need to make some changes once you receive
clearance
• Address the changes, advise that you expect your facility will
be cleared, any new security policies, and who the
FSO will be
Binary Group, Inc. Proprietary and Confidential Information
16
Key Steps (cont.)
• Technology Control Plan (TCP)
– If you have any personnel that are not US Citizens
(cleared or uncleared):
• You are exporting information by the US Department of
State’s definition
• You need to review the International Traffic in Arms
Regulations (ITAR)
– https://www.pmddtc.state.gov/regulations_laws/itar.html
• Once you receive your FCL, you will need to develop a
Technology Control Plan
– Your FSO should notify your DSS Rep prior to their
visit to prepare for this
Binary Group, Inc. Proprietary and Confidential Information
17
Key Steps (cont.)
• Safeguarding
– Your FSO should notify the DSS Rep of this requirement
– Your FSO should review all requirements pertaining to
placing a GSA Safe and Safeguarding
– Training courses exist and your FSO will be required to take
them within 1 year of assignment
• However, these courses can provide necessary instruction/answers
for the company
• SCIF - Sensitive Compartmented Information Facility
– Your FSO should notify the DSS Rep of this requirement
– Check the locks, do they meet the Government’s
requirements for building a SCIF?
– Again, your FSO will need to take the same additional
training courses as Safeguarding
Binary Group, Inc. Proprietary and Confidential Information
18
The First Visit
• Ensure all paperwork has been completed and all
requested documents are available prior to the visit as
instructed by DSS
– The more organized you are, the visit will seem less
intrusive
• Don’t be alarmed if your DSS Rep brings someone with
them
• All KMPs must be on-site on the day of the visit to
meet your DSS Rep
– The DSS Rep will want to discuss your business with your
KMPs
• It is wise to prepare them for this discussion
• If anyone will be “excluded”, make sure that everyone understands
what the “exclusion” means as classified work comes in
– DSS will ask how you intend to handle this
Binary Group, Inc. Proprietary and Confidential Information
19
The First Visit (cont.)
• The Rep will provide instructions about your
facility
– Security
• Visitor logs
• Badges/Keys
–
–
–
–
Developing Indoctrination Paperwork for Personnel
Keeping Personnel Files
Technology Control Plan (if applicable)
Other procedures and education for personnel
as applicable
Binary Group, Inc. Proprietary and Confidential Information
20
The First Visit (cont.)
• Safeguarding
– If you will have a GSA Safe or plan to obtain one:
• Your FSO will need to discuss with the DSS Rep the location of the safe
– They will also advise them on developing specific procedures and following
them according to Government requirements
– If you already have the safe, the rep will want to inspect it
» If you don’t have it yet, they will schedule a time to come back and
inspect it once you obtain one
• SCIF
– Your FSO will need to walk them through the SCIF
• They need to:
– Demo the lock
» How many people will have access and who
– Discuss all of the features you intend to have in the SCIF
» Computers?
» Classified Conference Rooms/Meeting Rooms?
» Working Areas?
• DSS Rep will discuss with you the procedures you
should follow once your facility is cleared
Binary Group, Inc. Proprietary and Confidential Information
21
Best Practices
• Name an Alternate/Assistant FSO
– Illnesses, vacations, etc. happen and access to the
Government systems are difficult to obtain
• Support your FSO
– They need ongoing training & attending events (one per
year)
– They need to provide refresher training to your staff
– They will need to complete self-inspection audits of your
company, which require your support
• A Strong security program provides confidence to both
customers and employees
– This is a very close knit community, don’t underestimate
them
Binary Group, Inc. Proprietary and Confidential Information
22
Best Practices (cont.)
• Foreign Ownership, Control & Influence (FOCI) - “I
thought I couldn’t get a Facility Clearance”
– Simple answer - a company under FOCI is typically not
eligible for an FCL
• However, a company may be granted an FCL if the risk of the FOCI
can be mitigated in conformity with the national interest (process
called FOCI Migration)
• What does this mean?
– It is a process whereby unauthorized access to classified
information is prevented
– The Government uses various security measures,
safeguards, and restrictions to prevent unauthorized
access
• A determination can only be made by going
through the process
Binary Group, Inc. Proprietary and Confidential Information
23
Best Practices (cont.)
• Maintaining a clearance
– Your company must have an active classified contract at
the level you were granted a FCL
• 12 months without a contract = Loss of FCL
• 12 months with active contracts at a lower level of classification =
a downgrade to FCL
– Be prepared for a Government audit either once a year or
once every 18 months
• Schedule will depend on if you hold classified materials or not
• How well you do in your security program can also affect how
often your are audited
• If you ever suspect an employee is sharing classified
material, do not try to handle it yourself
– The Government has a special office for this and they
will work with you, report it immediately to the FBI
Binary Group, Inc. Proprietary and Confidential Information
24
Pitfalls
• If KMPs change
– There are systems that must be updated for your
FCL
– Any new KMPs must be cleared to the highest
level of the Facility
• If your company moves, you must notify your
DSS Rep
• Awarded a new contract that changes the
level of clearance or requires Safeguarding?
– Contact your DSS Rep Immediately
Binary Group, Inc. Proprietary and Confidential Information
25
Q&A
http://www.binarygroup.com/blog/author/cindy_brook
Binary Group, Inc. Proprietary and Confidential Information
26
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