SAPPC - Industrial Security Flashcards
What is the definition of an FCL?
Administrative determination that a company is eligible for access to to classified information of a certain category and all lower categories.
What is the definition of a PCL?
Administrative determination that a contractor employee is eligible for access to classified information of the same or lower category as the level of the personnel clearance being granted.
What is the difference between an FCL and a PCL?
- FCLs are granted to companies, meaning that the people who own, run and manage the company have been cleared, in addition meeting other administrative requirements
- PCLs are granted to individuals, such as employees who have a need to access classified information or key management personnel in connection with the FCL
What are the levels granted to FCLs and PCLs?
Confidential
Secret
Top Secret
What level is the employee’s PCL capped at?
An employee’s PCL is capped at the level of the FCL, if the individual was sponsored by the facility.
Steps for Obtaining an FCL
- Sponsorship
- FCL Orientation Handbook
- CAGE Code
- Information Gathering
- PCLs for KMP
- Eligibility Determination
Name 3 documents that need to be uploaded to e-FCL
-The SF 328 - the Certificate Pertaining to Foreign Interest
-A summary data sheet containing basic information about the company such
as the company’s website, stock information, and previous names
-Corporate governance documents
-Organizational chart
-A list of KMP
-A tiered parent list, if applicable
-The DD Form 441 - the Department of Defense Security Agreement
-The DD Form 441-1 (if applicable) - the Appendage to the Department of Defense Security Agreement, which lists cleared divisions or branches included in and covered by the provisions of the organization’s Security Agreement and Certificate Pertaining to Foreign Interest
What are the four main eligibility requirements for an FCL?
- Company must require access to the classified information in connection with a legitimate U.S. government or foreign government requirement.
- Company must be located in the U.S. or its territories and be organized and existing under the laws of any of the 50 states, the District of Columbia, Puerto Rico or a formally acknowledged American Indian or Alaska Native tribe.
- Company must have a reputation for integrity and lawful conduct in its business dealings. The company and its KMP must not be barred from participating in U.S. government contracts.
- Company must not be under foreign ownership; control or influence (FOCI) to such a degree that the granting of the FCL would be inconsistent with national security interests.
Steps to obtain a PCL
- Identification of Need-to-Know
- Information Gathering
- Package Reviews
- Investigation
- Adjudication
- Eligibility Determination
PCL Step: Identification of Need-To-Know
1st Step of PCL - The process begins when a cleared company identifies an employee who will require access to classified information in performance of a classified contract.
- DCSA Facility Clearance branch initiates the PCL process for KMP.
- Individuals cannot apply for PCLs without association with a cleared company and a need for access.
- The company must make an effort to keep the number of PCLs to an absolute minimum .
- Company’s FSO submits a clearance request using the Joint Personnel Adjudication System (JPAS). If the applicant already has an active JPAS record, an investigation may not be required.
- Company assumes ownership of the applicant’s JPAS record before proceeding.
PCL Step: Information Gathering
2nd Step of PCL - The employee must provide information about him or herself via the security clearance package.
Security Clearance Package:
- Electronic questionnaires for investigations processing (e-QIP)
- Signature forms
- Fingerprints via Secure Web Fingerprint Transmission (SWFT)
- Collectively known as the security clearance package
PCL Step: Package Review
3rd Step of PCL -
- FSO informs the applicant, either in writing or verbally, that the package will be reviewed for adequacy and completeness only and then reviews it.
- FSO submits it to the Personnel Security Management Office for Industry (PSMO-I).
- PSMO-I checks the package for completeness then forwards it to the Investigative Service Provider (ISP). For DoD, the ISP is the Office of Personnel Management (OPM).
- PSMO-I will make an interim PCL determination.
- If there is no evidence of adverse information, PSMO-I will grant an interim PCL and update JPAS accordingly. In some cases, applicants may be allowed to work with an interim clearance; provided the company has at least an interim FCL.
PCL Step: Eligibility Determination
6th Step of PCL - An eligibility determination is made. Each case is judged on its own merits. The DoD CAF makes an eligibility determination and access is granted by the contractor.
If the applicant’s request is not clearly consistent with national security interests, what does the DoD CAF do?
The DoD CAF forwards the case to the Defense Office of Hearings and Appeals (DOHA) to determine whether it is clearly consistent with the national interest to grant or continue security eligibility for the applicant.
PCL Step: Investigation
4th Step of PCL - A background investigation is conducted on the employee and 5th Step of PCL
- FSO must determine if the employee is already cleared and, if not, submit a clearance request using JPAS.
- If the employee has not held a clearance at the appropriate level in the past 24 months, the employee must complete the e-QIP and signature forms and submit fingerprints via SWFT.
- Clearance package is routed from the FSO to the PSMO-I to the ISP, which is OPM for DoD. All three review the package for completeness.
- PSMO-I also determines eligibility for an interim clearance.
- OPM conducts the investigation and provides the results to the DoD CAF
Dependecy of PCLs and FCLs
- Eligibility for an FCL is dependent on essential KMP successfully obtaining PCLs.
- Example - A company’s eligibility for an FCL depends on whether the owner can obtain a PCL. If an interim PCL for an individual required to be cleared in connection with the FCL is withdrawn; the individual must be removed from access or the interim FCL will also be withdrawn. - Classification levels - Keep in mind that a facility can only access classified information at the highest level granted by its FCL and an individual can only access information at the highest level granted by his or her PCL. These can impact each other if the FCL and an employee’s PCL are at different levels.
