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File Management Tips
and Suggestions
FISWG/NCMS Winter Training Event
December 17th, 2014
Dela Williams
Facility Security Officer
FCL File Folder
O 441 or 441-1
o This is the Department of Defense Security
Agreement. It is an agreement between your
organization and the United States
Government that details the security
responsibilities of both the cleared
organization and the United States
Government.
FCL File Folder cont.
O SF-328
o The Certificate Pertaining to Foreign Interest
is used to report your organization's foreign
involvement.
o Submit one copy and retain one executed
copy.
o Fully explain all "yes" answers.
FCL File Folder cont.
O Key Management Personnel
O
Reference Guide: http://www.cdse.edu/documents/toolkits-fsos/businessstructures-job-aid.pdf
Corporate Paperwork for
e-FCL Submission
O Electronic Facility Clearance System (e-FCL)
o The web-based e-FCL application, designed around the SF
328, "Certificate Pertaining to Foreign Interests," requires
companies to upload and submit their required information
into the system.
o This information includes:
o
o
o
o
o
o
o
SF 328
list of key management personnel
list of stockholders
Articles
Bylaws
Other supporting documentation
In addition, companies currently operating under a FOCI
mitigation agreement must use e-FCL for annual certification
processing.
Corporate Paperwork for
e-FCL Submission cont.
O Obtain and have available the following
documents/information for your first visit
from your Industrial Security Representative
from DSS:
o Articles of Incorporation
o Bylaws
o Meeting Minutes stating Directors/Officers
PCL Checklist
O Name
O PCL Justification
O Initial Contact Meeting
o Citizenship
o Social Security
o Gov’t Issued ID
o Employee’s Contact Info (email/phone no.)
o Provide employee with e-QIP Instructions
(handout or email)
PCL Checklist cont.
O Initiate Electronic Fingerprinting Process
O Privacy Notification
Employee File Folder
O Electronic File Folder (paperless)
O Hard Copy
O Color coded stickers or tabs (differentiate)
o Employees (blue)
o Consultants (yellow)
o KMPs (green)
O Or by Program
o ABC
o XYZ
Employee File Folder cont.
O Files In-Process: PCL or PR Suggestions:
o Keep files in separate area in front for usual
indicator. Then once find destroy PCL
documentation & place with the general
population.
o Suggestion:
• Orange sticker share in-process
Suggested CAVEAT Folder
O NATO Briefings Annual
o Conduct NATO same month each year so not
staggered (Be consistent)
O NATO Debriefing: Attach to Re-Briefing and
retain 2 years
Annual Refresher Briefing
O Individual Acknowledgment
O How are you tracking this?
o Computer based training or sign in-sheet?
O Match it up!
Self Inspection Handbook for
NISP Contractor
O Contractor Self Review:
O Do not forget to checko Each file folder (hard copy or electronic) for
required items & to entrust no improperly
retained PCL documentation.
O Run Ghost Report
O Check PR Report
Terminated/Separated
Employee File Folders
O Debrief on SF 312
O In-Person or by Phone with (date?)
O Debrief company statement of acknowledgment
O JPAS: 3 Parts
o Debrief
o Out-Process
o Separate (w/date)
O Go to the Person Summary Screen in JPAS &
check employee’s record for separation date
O NATO/Crypto? Debriefing date.
o Retain for 2 or 2-3 years depending on
requirement.
e-QIP Review
O Review & Send Back
O Review & Release
O Make copy of SF 86 & signed Signature
Release Forms (file)
O Monitor JPAS
o Initial PCL eligibility date
Initial Briefing
[NISPOM 3-106]
O SF 312 (date)/(make copy, mark as copy)
o Date sent to PSMO-I
O JPAS
o Update Access
o Enter SF 312 date
o Final Eligibility Granted
o Update JPAS: Final Access
o Destroy Retained SF 86 & Signed Signature
Release Forms
Reference Guide
O Center for Development of Security Excellence
(CDSE)
O http://www.cdse.edu/
O U.S. Office of Personnel Management (OPM)
O http://www.opm.gov/investigations/
O http://www.opm.gov/investigations/e-qipapplication/#url=Quick-Reference-Guide
O NCMS, The Society of Industrial Security
Professionals
O https://www.classmgmt.com/home/index.asp
O FISWG: Florida Industrial Security Working Group
O http://fiswg.research.ucf.edu/
Questions?
Dela Williams
Facility Security Officer
dela.williams@ucf.edu
407.882.1123