96-S Exhibit B- Security and Suitability Requirements.pdf

Exhibit B

0401 – Security and Suitability Requirements (JUNE 2011)

a. Acronyms and Definitions

• Access to a facility, site, system, or information means physical access to any Social Security Administration (SSA) facility or site, logical access to any SSA information system, or access to programmatic or sensitive information.

• CO - Contracting Officer

• Contractor – In this clause, this term means any entity that has a relationship with SSA because of this contract. This term includes, but is not limited to, corporations, limited liability partnerships, and individuals.

• CPOC – Company Point of Contact as specified by the contract

• CPSPM – Center for Personnel Security and Project Management

• COTR – Contracting Officer’s Technical Representative

• Contractor Employee – In this clause, this term means a person hired by an

SSA contractor to provide services in exchange for compensation.

• PIV – Personal Identity Verification

• Subcontractor – In this clause, this term means any entity that has a relationship with SSA’s contractor because of this contract. This term includes, but is not limited to, corporations, limited liability partnerships, and individuals.

• Subcontractor Employee - In this clause, this term means a person hired by a subcontractor to provide services in exchange for compensation.

• eQIP - Electronic Questionnaire for Investigations Processing

b. Purpose

This clause provides SSA’s policies and procedures concerning the conduct of background investigations (i.e. suitability determinations). The purpose of these investigations is to determine the suitability of contractors, contractor employees, subcontractors, and subcontractor employees who need access to an SSA facility, site, system, or information. If applicable, the clause also describes the process to obtain a PIV credential.

c. PIV Credentials A PIV credential will be required for:

o Any contractor, contractor employee, subcontractor, or subcontractor employee requiring access to a SSA information system or routine, unescorted access to a SSA facility or site for a period of six months or more. (See Paragraph k. for more information.)

A PIV credential will not be required for:

o Any contractor, contractor employee, subcontractor, or subcontractor employee requiring escorted access to a SSA facility or site for less than six months.

o Any contractor, contractor employee, subcontractor, or subcontractor employee requiring infrequent escorted access to a SSA facility or site, even if the access may be longer than six months. For example, contractors or contractor employees who provide infrequent facilities/equipment maintenance or repair, conduct onsite shredding, etc.

Please Note: A background investigation is required any time a contractor, contractor employee, subcontractor, or subcontractor employee requires any type of access to a facility, site, system, or information regardless of whether a credential is required or not.

The contractor is required to include the substance of this clause in any subcontract where subcontractors and subcontractor employees will have similar access as described in the preceding paragraphs. However, the contractor is responsible for obtaining all of the required forms (see paragraphs g-i) from its subcontractors and the subcontractors’ employees, reviewing these forms, and submitting them to SSA. Subcontractors and subcontractors’ employees shall not submit forms directly to SSA.

d. Authorities

• Homeland Security Presidential Directive 12

• Office of Management and Budget Memorandum M-05-24

• The Crime Control Act of 1990, Public Law 101-647, subtitle E, as amended by Public Law 102-190 (for childcare center security requirements)

• Executive Orders 10450 and 12968 and Title 5, Code of Federal

Regulations (CFR), Parts 731, 732 and 736 (for positions assigned a “National Security” designation)

e. Background Investigation and Adjudication Process

The background investigation and adjudication processes are compliant with 5

CFR 731.

f. Listing of Applicants http://www.dhs.gov/xabout/laws/gc_1217616624097.shtm http://www.whitehouse.gov/omb/memoranda/fy2005/m05-24.pdf http://www.icctc.org/IHS-BIA%20CPT%20Handbook/Crime%20Control%20Act%20of%201990.pdf http://www.archives.gov/federal-register/codification/executive-order/10450.html http://www.fas.org/sgp/clinton/eo12968.html http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5cfr731_main_02.tpl http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5cfr732_main_02.tpl http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5cfr736_main_02.tpl

Upon award, the CPOC will provide to SSA an applicant listing of all individuals for whom the contractor is requesting a suitability determination (i.e., background investigation). This listing should include the contractor’s name, the contract number, the CPOC’s name, the CPOC’s contact information, each applicant’s full name, each applicant’s Social Security number (SSN), each applicant’s date of birth, and each applicant’s place of birth (must show city and state if born in the United States (U.S.) OR city and country if born outside of the U.S.). The background investigation process does not start until the CPOC submits this applicant listing; therefore, the CPOC should submit the listing as soon as practical after award.

Submit the applicant listing via U.S. Mail to the address located in paragraph i.

OR via fax to 410-966-0640.

g. Required Forms

1) eQIP SSA will initiate the eQIP process using the applicant listing provided by the CPOC. SSA will email notification to the CPOC that each applicant has been invited into the eQIP website to electronically complete their background investigation form. The CPOC will provide the website to the applicants to complete their eQIP form. The applicant will have up to seven (7) calendar days to complete the eQIP form. The seven-day timeframe begins once SSA notifies the CPOC of the eQIP invitation(s). The applicant must print the signature pages of the form (pages 5 and 6 for Standard Form (SF) 85; pages 7-9 for SF 85P), sign the signature pages, and then provide the signed originals to the CPOC.

2) Paper Forms

• Two (2) Field Division-258 charts, Applicant Fingerprint Chart (The CO will provide the FD-258 charts at the time of contract award.)

NOTE: The contractor will be responsible for obtaining and providing acceptable fingerprints for use by SSA. Regardless of the method used to fingerprint contractors, contractor employees, subcontractors, or subcontractor employees, (electronic capture or ink) the only acceptable fingerprint chart is the FD-258.

• Optional Form 306, Declaration for Federal Employment http://www.opm.gov/forms/html/of.asp

• Fair Credit Reporting Act Authorization Form

Federal Investigations Notice: 98-02

• Original signed and dated eQIP Signature Pages (See paragraph g.1 above)

• If the contractor, contractor employee, subcontractor or subcontractor employee is not a U.S. Citizen, the individual must http://www.opm.gov/forms/html/of.asp http://www.opm.gov/investigate/archive/1998/fin9802.asp provide SSA with a legible photocopy of his or her work authorization permit and Social Security card.

h. Forms Completion

The CPOC must ensure all paper forms are fully completed and signed prior to submission to SSA. The fingerprint charts and all paper forms must be legible or typed in black ink and all signatures must be in black ink. There must be no “breaks” in residences or employment. SSA requires complete addresses, including zip codes and phone numbers. SSA must receive forms within 30 days of signature and date.

SSA will return forms not fully completed to the CPOC. To ensure the forms are completed correctly, obtain a sample of a properly completed form at the following website:

http://www.ssa.gov/oag/acq/Sample_Security_Requirement_Docs%20.pdf.

Access information related to the eQIP process at: e-QIP - Quick Reference Guide for the Applicant.

i. Forms Submission The CPOC shall submit one cover sheet to SSA containing the names of all of the individuals for whom the contractor is submitting completed paperwork. This cover sheet should include the contract number, each applicant’s full name, each applicant’s SSN, each applicant’s date of birth, and each applicant’s place of birth. Submit this cover sheet along with the completed paper forms and two FD- 258 fingerprint charts for each applicant to:

SSA

CPSPM Suitability Team 6401 Security Boulevard Room 1260 Dunleavy Building Baltimore, MD 21235

Simultaneously, the CPOC must submit a copy of the cover sheet ONLY to the COTR.

The CPOC must submit the paper forms at least 15 days prior to the date work is to begin. For new contract employees, subcontractors, or subcontract employees (i.e., those who had not previously received a suitability determination under this contract) who will need access to a SSA facility, site, information, or system, the contractor must submit these forms at least 15 days prior to beginning work under the contract.

j. Suitability Determination

A Federal Bureau of Investigation fingerprint check will be used as part of the basis for making a suitability determination. This determination is final unless information obtained during the remainder of the full background investigation, http://www.ssa.gov/oag/acq/Sample_Security_Requirement_Docs%20.pdf http://www.opm.gov/e-QIP/reference.asp http://www.opm.gov/e-QIP/reference.asp conducted by the Office of Personnel Management, is such that SSA would find the individual unsuitable to continue performing under this contract. CPSPM will notify the CPOC, COTR, and CO of the results of these determinations.

No contractor, contractor employee, subcontractor, or subcontractor employee will be allowed access to a SSA facility, site, information, or system until CPSPM has issued a favorable suitability determination for that contractor, contractor employee, subcontractor, or subcontractor employee.

A contractor is not entitled to an equitable adjustment of the contract because of an unfavorable suitability determination(s). Additionally, if SSA determines that the number or percentage of unfavorable determinations make successful contract performance unlikely, SSA may terminate the contract for cause or default.

The contractor must notify the contractor employee, subcontractor, or subcontractor employee of any unsuitable determinations as soon as possible after receipt of such a determination (see paragraph p., below, for an explanation of the appeals process).

k. Obtaining a Credential Note: This section applies only if the contractor, contractor employee, subcontractor, or subcontractor employee will have access to a facility, site, system, or information as described in the first bullet of paragraph c.

Once the contractor, contractor employee, subcontractor, or subcontract employee receives notification of an acceptable suitability determination, but prior to beginning work under the contract, the contractor, contractor employee, subcontractor, or subcontract employee must appear at the respective Regional Security Office or at SSA Headquarters Parking and Credentialing Office to begin the credentialing process. The contractor, contractor employee, subcontractor, or subcontract employee must present the suitability determination letter and two forms of identification at this meeting. At least one of the forms of identification must be a Government-issued photo identification (ID) (please see Employment Eligibility Verification, I-9, for acceptable forms of ID). For SSA Headquarters access, a completed Form SSA-4395, Application for Access to SSA Facilities, signed by the contractor, contractor employee, subcontractor, or subcontract employee and the COTR is also required. The COTR will provide the SSA-4395 Form to the contractor, contractor employee, subcontractor, or subcontract employee when applicable.

The contractor must contact the COTR to arrange for credentialing. The COTR is responsible for scheduling an appointment for contractors, contractor employees, subcontractors, or subcontract employees to meet with the appropriate SSA Parking and Credentialing Office or Regional Security Office and obtain a credential. Once the COTR makes the appointment, the COTR must contact the contractor to inform the contractor of the credentialing appointment(s). The http://philanet.ph.ssa.gov/groups/sct/forms/I-9.pdf http://philanet.ph.ssa.gov/groups/sct/forms/I-9.pdf

COTR must also arrange for the contractor, contractor employees, subcontractors, or subcontract employees to be escorted (by either the COTR or a COTR’s representative) to the appropriate credentialing office at the time of this appointment.

Credentialing appointments last approximately 15 minutes. Depending on a contractor’s scheduling needs and availabilities, contractor employees, subcontractors, or subcontract employees may be scheduled for credentialing all in one day (this process may take a few hours to complete, depending on the number of employees that need to be credentialed) or contractor employees, subcontractors, or subcontract employees may come in at separate times convenient to the individuals’ and the COTR’s schedules.

SSA Headquarters’ Parking and Credentialing Office representatives can be reached by emailing Parking.and.Credentialing@ssa.gov or calling 410/965-5910.

Regional Security Office contact information can be found in the Appendix at the end of this clause.

l. Contractors, Contractor Employees, Subcontractors, or Subcontract Employees Previously Cleared by SSA or Another Federal Agency If a contractor, contractor employee, subcontractor, or subcontract employee previously received a suitability determination from SSA or another Federal agency, the CPOC should include this information next to the individual’s name on the initial applicant listing (see paragraph f.). CPSPM will review the information. If CPSPM determines another suitability determination is not required, it will provide a letter to the CPOC and COTR indicating the contractor, contractor employee, subcontractor, or subcontract employee was previously cleared under another Federal contract and does not need to go through the suitability determination process again.

m. Contractor Notification to Government

The contractor shall notify the COTR and CPSPM within one business day if the contractor, contractor employee, subcontractor, or subcontract employee is arrested or charged with a crime during the term of this contract, or if there is any other change in the status of the contractor, contractor employee, subcontractor, or subcontract employee (e.g., the contractor employee leaves the company; the contractor employee no longer works under the contract; the alien status of the contractor, contractor employee, subcontractor, or subcontract employee changes) that could affect the suitability determination for that individual. The contractor must provide in that notification as much detail as possible, including, but not limited to: name(s) of individual whose status has changed, contract number, the type of charge(s), if applicable, the court date, and, if available, the disposition of the charge(s).

n. Contractor Return of PIV Credential mailto:Parking.and.Credentialing@ssa.gov

The contractor must account for and ensure that all forms of Government-provided identification (PIV credential) issued to a contractor, contractor employee, subcontractor, or subcontract employee under this contract are returned to SSA’s Headquarters’ Parking and Credentialing Office or Regional Security Office, as appropriate, as soon as any of the following occur: when no longer needed for contract performance; upon completion of a contractor’s, contractor employee’s, subcontractor’s, or subcontract employee’s employment; or upon contract completion or termination.

o. Government Control The Government has full control over and may grant, deny, or withhold access to a facility, site, system, or information and may remove contractors, or require the contractor to remove contractor employees, subcontractors, or require the subcontractor to remove subcontractor employees from performing under the contract for reasons related to conduct even after the individual has been found suitable to work on the contract (see paragraph q. below).

p. Appeals Process for Unsuitable Determinations

If a contractor, contractor employee, subcontractor, or subcontract employee would like clarification or wishes to appeal an unsuitable determination, his/her request must be in writing and submitted within 30 days of the date of the unsuitable determination. The contractor may not file appeals on behalf of its employees, subcontractors, or subcontract employees; rather, contractor employees, subcontractors, or subcontract employees must file their own individual appeals.

The request for clarification and/or the appeal can be emailed to SSA at dchr.ope.hspd12appeals@ssa.gov, or mailed to:

Social Security Administration

Attn: CPSPM Suitability Program Officer 6401 Security Boulevard Room 1260 Dunleavy Building Baltimore, MD 21235

q. Removal From Duty

SSA may remove a contractor, or request that the contractor immediately remove or cause to be removed any contractor employee, subcontractor, or subcontract employee from working under the contract based on conduct that occurs after a favorable suitability determination. This includes temporarily removing a contract employee, subcontractor, or subcontract employee should the individual be arrested for a violation of law pending the outcome of any judicial proceedings. The contractor must comply with these requests to remove or cause to have removed any contractor employee, subcontractor, or subcontract mailto:dchr.ope.hspd%2012%20appeals@ssa.gov employee. The Government's determination may be made based on, but not limited to, incidents involving the misconduct or delinquency as set forth below:

i. Violation of the Rules and Regulations Governing Public Buildings and

Grounds, 41 CFR 101-20.3. This includes any local badging requirements.

ii. Neglect of duty, including sleeping while on duty; unreasonable delays or failure to carry out assigned tasks; conducting personal affairs while on duty;

and refusing to cooperate in upholding the integrity of SSA's security program.

iii. Falsification or unlawful concealment, removal, mutilation, or destruction of any official documents or records, or concealment of material facts by willful omissions from official documents or records.

iv. Disorderly conduct, use of abusive or offensive language, quarreling, intimidation by words or actions, or fighting. Also, participating in disruptive activities that interfere with the normal and efficient operations of the Government.

v. Theft, vandalism, or any other criminal actions.

vi. Selling, consuming, possessing, or being under the influence of intoxicants, drugs, or substances that produce similar effects.

vii. Improper use of official authority or credentials.

viii. Unauthorized use of communications equipment or Government property.

ix. Misuse of weapon(s) or tools used in the performance of the contract.

x. Unauthorized access to areas not required for the performance of the contract.

xi. Unauthorized access to employees' personal property.

xii. Violation of security procedures or regulations.

xiii. Prior determination by SSA or other Federal agency that a contractor, contractor employee, subcontractor, or subcontract employee was unsuitable.

xiv. Unauthorized access to, or disclosure of, agency programmatic or sensitive information, or Internal Revenue Service Tax Return information.

xv. Unauthorized access to an agency Automated Information System.

xvi. Unauthorized access of information for personal gain (including, but not limited to, monetary gain), or with malicious intent.

xvii. Not providing for the confidentiality of and protection from disclosure of information entrusted to them. Certain provisions of the following statutes and regulations that apply to Federal employees also apply equally to contractors, contractor employees, subcontractors, and subcontract employees:

The Privacy Act of 1974 The Tax Reform Act of 1976 and the Taxpayer Browsing Protection Act of 1997 SSA regulation 1 The Computer Fraud and Abuse Act of 1986 Section 1106 of the Social Security Act

xviii. Being under investigation by an appropriate authority for violating any of the above.

Appendix: Regional Security Offices

Regional Credentialing Contacts for Contractor Employees

Region 1 – Boston Management and Operations Support, Lenny Nyren – 617-565-2840

Region 2 – New York Center for Materiel Resources, Field Services Team, General Office – 212-264-2603

Region 3 – Philadelphia Center for Materiel Resources, Building Management Team, General Office - 215-597-8201

Region 4 – Atlanta Center for Security and Integrity, Coleman Wicks – 404-562-1252

Region 5 – Chicago Management and Operations Support, Building Services Unit

Sharon Young – 312 575-4150 Evelyn Principe – 312 575-6342 Sofia Luna – 312 575-5762 Carlon Brown – 312 575-5957 Cassandra Murphy - 312 575-5067

Region 6 – Dallas Center for Materiel Resources, Employee Relations, Veronica Drake – 214-767-2221

Region 7 – Kansas City Center for Security Integrity, General Office Line – 816-936-5555

Region 8 – Denver Center for Security and Integrity, Phil Mocon – 303-844-4016

Region 9 - San Francisco Center for Security and Integrity, Cassandra Mapp - 510-970-4124

Region 10 - Seattle Center for Security and Integrity

Lisa Steepleton - 206-615-2186 D’ette Day - 206-615-2149