3a. 00700.10 FAR 52.204-9 Supplement HSPD-12 Security Doc wo ARRA verbiage.doc

HSPD-12 Security Process, HOMELAND SECURITY PRESIDENTIAL DIRECTIVE (HSPD) – 12

STANDARD PROCESS:

1. SECURITY REQUIREMENTS AND PERSONAL IDENTITY VERFICATION PROCEDURES (NON-CLASSIFIED CONTRACT)

a. General - The contractor shall comply with directions provided by the Contracting Officer (CO) regarding all security requirements. All contract employees shall receive a favorable suitability determination, security clearance, and/or meet all security requirements, prior to reporting to work or performing work under this contract. Employees that can not obtain a favorable security determination, security clearance, or meet security requirements, will not be allowed to work in the Government facility.

If the Contracting Officer or his/her representative receives an unfavorable or unsuitable report on any employee, or if the Contracting Officer's Representative finds a prospective employee to be unsuitable or unfit for his/her assigned duties, the Contractor shall be advised immediately that such employee will not be allowed to work or be assigned to work under the contract.

b. The Government has full and complete control over granting, denying, withholding or terminating clearances for employees. The Government may authorize and grant temporary clearance to employees of the Contractor. However, the granting of a temporary clearance shall not be considered, as assurance that full clearance will follow. The granting of either temporary or full clearance shall not prevent, preclude, or bar the withdrawal or termination of any such clearance by the Government.

c. Homeland Security Presidential Directive (HSPD) – 12. HSPD-12 is the “Policy for a Common Identification Standard for Federal Employees and Contractors” (the Directive) and became effective August 27, 2004.

The Directive requires all Federal governmental departments and agencies to conduct background investigations and adjudicate the results (HSPD-12 compliant suitability determinations) for all contract employees requiring routine unescorted access to Federally-controlled facilities and/or information systems for more than 6 months before identification cards will be issued.

Contract employees working less than 6 months will be considered “temporary” and all facility access control procedures will apply. GSA may require low risk suitability determinations for “temporary” contract employees, or has the option of clearing “temporary” contractors with an HSPD-12 compliant suitability determination. “Temporary” contract employees that are not required to receive a favorable suitability determination shall be escorted at all times while in non-public space.The Contractor shall comply with guidance concerning implementation of this Directive as provided herein and by the Contracting Officer (CO).

d. The Government may, as it deems appropriate, authorize and grant temporary suitability determinations to employees of the Contractor. However, the granting of a temporary suitability determination to any such employee shall not be considered as assurance that a favorable suitability determination will follow as a result or condition thereof, and the granting of either temporary or full determination shall in no way prevent, preclude or bar the withdrawal or termination of any such determination by the Government.

e. Depending on the contract and work, a full Notice-to Proceed shall be issued after the initial favorable preliminary suitable clearance process is completed for those required to work on the contract OR partial Notice-To-Proceed shall be issued as the favorable preliminary suitable clearance process is completed for phases of work under the contract in or on the Federally-controlled facility. Contract workers may be added throughout the performance period required by the contract, but must complete the clearance process prior to working in or on the Federally-controlled facility.

f. Personal Identify Verification of Contractor Personnel The contractor shall comply with agency personal identity verification procedures that implement Homeland Security Presidential Directive-12 (HSPD-12) as required by the clause of this contract FAR 52.204-9 and all other security and clearance requirements provided herein and by the Contracting Officer (CO).

g. GSAM 552.237-71 QUALIFICATIONS OF EMPLOYEES (MAY 1989) The Contracting Officer or a designated representative may require the Contractor to remove any employee(s) from GSA controlled buildings or other real property should it be determined that the individual(s) is either unsuitable for security reasons or otherwise unfit to work on GSA controlled property.

The Contractor shall fill out and cause each of his employees on the contract work to fill out, for submission to the Government, such forms, as may be necessary for security or other reasons.

Each employee of the Contractor shall be a citizen of the United States of America, or an alien who has been lawfully admitted for permanent residence as evidenced by Alien Registration Receipt Card, Form I-151. The employee may also present other evidence from the Immigration and Naturalization Service that employment will not affect his immigration status.

h. Required Information Submissions - Unless otherwise specified, the Contractor shall submit the information required below to the Government, as directed by the CO, as soon as possible after contract award (but not later than 14 calendar days before contract start date) for all personnel. The following information will be submitted to the Government for all new or replacement personnel not later than 14 calendar days before beginning contract work. The CO will advise the Contractor on where this information will be submitted.

(1) All contract employees (including contract employees, subcontract employees, and officers of the firm) requiring unescorted access to federally controlled facilities and/or information systems for more than 6 months, and/or who may visit the work site during the period of this contract who need unescorted access shall submit the following:

(a) One copy of the FPS “Contractor Information Sheet” which will be provided to the Contractor at time of award. The Contractor shall complete the Contractor and Contractor Applicant Information Sections as directed by the Government.

(b) One original copy of completed SF 85P with original signature, Questionnaire for Public Trust Positions, with SF 86A, Continuation Sheet. The medical release form attached to the back of the 85P form is not required to be completed for NACI and NACIC background investigations. The SF-85P and 86A are available for download at http://www.gsa.gov/formslibrary. Alternatively, contractors may be required to submit this information electronically through a web-based network.

(c) Two original completed FD-258, Fingerprint Cards. The Government will furnish blank forms upon request.

(d) INCLUDE FOR IT CONTRACT EMPLOYEES ONLY - THOSE MAINTAINING OR WORKING ON GSA IT SYSTEMS/APPLICATIONS - One original GSA Form 3665, Credit Authorization Release.

(2) “Temporary” contract employees (including contract employees, subcontract employees, and officers of the firm) requiring unescorted access to federally controlled facilities for less than 6 months, or other “Temporary” contract employees as designated by the CO, who may visit the work site during the period of this contract who need unescorted access shall submit the following:

(a) One copy of a FPS “Contractor Information Sheet” which will be provided to the Contractor at time of award. The Contractor shall complete the Contractor and Contractor Applicant Information Sections as directed by the Government.

(b) One original copy of completed "Statement of Personal History" (FPS 176T or other prescribed form) which will be provided to the Contractor at time of award.

(c) Two original completed FD-258, Fingerprint Cards. The Government will furnish blank forms upon request.

i. The Contractor shall furnish the required information to the Government, as specified by the CO, in a sealed envelope together with a transmittal letter on company letterhead for each applicant. The transmittal letter shall be attached to the outside of the envelope and list the following:

1. The Contractor Applicant’s full name;

2. The contract number and if applicable, the order number;

3. The Contracting Officer’s name;

4. The Contracting Officer’s Representative (COR) or Contracting Officer’s Technical Representative (COTR) name;

5. The Prime Contractor name, address, and telephone number;

6. If applicable, the subcontractor, name, address and telephone number; and

7. The name, address, and title of the Contractor representative submitting the security packet.

j. General Description of the Clearance Process

(1) Name Check and Fingerprint Check. Upon receipt of the sealed envelope containing the required forms, the Government will forward each clearance package to the clearance processing office for initial processing. A preliminary review will be conducted of various national criminal and security data files. If these checks are favorable the Contractor employee may be granted limited access to Federally-controlled facilities and Federal information systems with a preliminary favorable suitability determination. This process takes approximately 3 to 10 business days but could take longer.

(2) For Contractor employees who receive a favorable preliminary check as described above, and depending on the location and type of work to be performed, a more detailed agency check may also be initiated. The check may include record searches with selected sources covering specific areas of the employee’s background, including credit, and written inquiries covering specific areas of the employee’s background.

(3) Issuance of Identification Credential. Upon receipt of favorable suitability determination, each contract employee may be issued a 5-year identification credential in accordance with the federally-controlled facility procedures and, if applicable, be granted access to those Federal information systems necessary to accomplish the contract. A temporary ID may be issued after a preliminary favorable suitability determination. The Contractor shall ensure that all contract employees display their credentials in accordance with facility procedures. The Contractor shall also ensure that such credentials are returned to the government as contract employees are dismissed, terminated, or upon expiration of the contract. The Contractor will be assessed a fee for each identification credential that is lost or otherwise not returned.

(4) Unsuitable Employees. If the Government receives an unsuitable report on any prospective Contractor employee, or if the Government finds a prospective Contractor employee to be otherwise unsuitable or unfit for his assigned duties, the Contractor shall be advised immediately by the CO that such employee will not be allowed to work under this contract. The Contractor must then take action immediately to relieve the employee of all duties and responsibilities related to this contract and return his Identification Credentials, if such credentials were issued. The contractor will not be compensated for such actions. Unsuitable contract employees may be escorted off Federal property by DHS/ICE/FPS or other law enforcement entities depending on the reason for the unsuitable determination.

(5) Site-Specific Requirements. Specific federally-controlled facilities or those areas located within a given facility may have additional security clearance requirements in addition to those cited above. These will be specified by the Government through the CO or designated representative.

(6) Prior Clearances and the Re-Clearance Process. All contract employees are required to be cleared every 5 years and favorable contract employee background investigations are good for 5 years. If anytime during a 5 year period, a cleared contract employee is to work on a different contract that they were previously cleared to work on, then the original clearance notices must be submitted by the CO or his representative to DHS/ICE/FPS to update contract and clearance information. During the 5 year period, unless specifically requested to do so by the CO or designated representative, no further forms or information will be required from the contractor. However, if threat levels or security conditions change during the cleared period, access and clearance requirements may change with limited advanced notice which may require previously cleared Contractor employees to have clearances updated, renewed, or reprocessed.

k. Tenant Agency Security Requirements. The Contractor shall comply with all GSA security requirements herein and also those of tenant agencies in the building where work is being performed (agency space) which must be accessed in the performance of work. The Contractor shall be responsible for coordinating with tenant agencies and providing all information required of him/her or his/her employees for performance of work in, or around, the agency’s space. All tenant security requirements must be met, or employees cleared by the agency, prior to the Contractor performing work in, or around, the agency’s space. Employees that do not meet security requirements or clearance requirements will not be allowed to work in, or around, the tenant agency space. Certain agencies will require that employees be escorted and/or that work only be performed during normal duty hours of the tenant agency.

When a controlled personnel identification system is used by a tenant agency at a site where work is performed, the tenant agency will provide the identification. Each employee of the Contractor must have in his/her possession while on the premises the identification issued by the Government agency. The identification shall be displayed at all times or as required by the agency. The Contractor shall insure that all Government identifications are returned to the issuing agency when employees are terminated or upon expiration of the contract.

2. IDENTIFICATION CREDENTIAL

A. Upon receipt of favorable suitability determination as indicated herein, each employee of the Contractor will be issued an identification credential. At all times while working on the contract a Contract employee, including subcontractor employees, must have in his/her possession the specific Government identification credential issued to them by the Government. The identification credential shall be displayed and be visible at all times while on Government property. The COR, GSA personnel designated by him/her, Government law enforcement, or security personnel shall periodically verify passes of Contractor employees with their personnel identification. Contractor employees shall comply with security verification procedures at all times.

B. The Contractor shall see that every contract employee has a Government issued identification credential before the employee enters on duty. As required by the Government, the Contractor shall make his employees available for photo identification badges, on a schedule to be worked out with the Contracting Officer’s Representative. The Government will make the identification credentials badges after a favorable security determination has been received for the Contractor’s employees. Each identification credential shall have an expiration date and Contractor employees shall sign each badge at the time of photographing.

C. The Contractor shall be responsible for ensuring that all identification credentials are returned to the Contracting Officer's Representative as his employees leave the contract (contract is completed, employees leave employment of the company, employees are dismissed or terminated). The Contractor will notify the Contracting Officer’s Representative when employee badges are lost.

D. The Contractor will be responsible for paying the Government for replacement credentials at the current cost per badge.

3. ESCORT REQUIREMENTS

It may be necessary to escort temporary contract employees that do not have favorable preliminary or final suitability determinations and must work in Federally-controlled space. In those cases, ALL uncleared contract employees must be escorted in non-public space by a Government employee or another responsible cleared contract employee that is approved by the Contracting Officer or his/her designee. Other Government agencies may have specific agency security requirements for their own space that may only allow escort by Government employees or those designated by their agency. Government employees or approved cleared contract employees that provide escorts for uncleared contract employees must always be in close proximity and eyesight of the uncleared contract employee. The contract escort must watch uncleared employees and remain with uncleared contract employees for the entire time they are in the building and/or Federally-controlled space. An uncleared employee can not be left alone or out of eyesight at anytime they are in non-public space. A cleared and approved escort may not bring several uncleared contract employees, into Federally-controlled space, that are not within close proximity or eyesight at all times. A cleared and approved escort may not have multiple uncleared employees in non-public space on different parts of one floor or different floors at the same time. Any security violation of escort requirements by a cleared and approved contract employee will result in immediate removal from the contract of all contract employees involved, i.e., escorts and uncleared escorted contract employees. Also, violations of escort requirements by contract employees in accordance with security requirements may be grounds for termination of the contract.

4. STANDARDS OF CONDUCT

The Contractor shall be responsible for maintaining satisfactory standards of employee competency, conduct, appearance, and integrity and shall be responsible for taking such disciplinary action with respect to his employees as may be necessary. The Contractor is responsible for ensuring that his employees do not disturb papers on desks, open desk drawers or cabinets, or use Government telephones, except as authorized. Each employee is expected to adhere to standards of behavior that reflect favorably on his/her employer, and the Federal Government. No smoking is allowed in the building.

5. REMOVAL FROM CONTRACT WORK

Under the following conditions, the Contracting Officer or his/her representative may request the Contractor to immediately remove any employee(s) from the work site. When the Government determines such employee to be: incompetent, careless, insubordinate, unsuitable or otherwise objectionable; or whose continued employment the Government deems contrary to the public interest, inconsistent with the best interests of security, or is identified as a potential threat to the health, safety, security, general well being or operational mission of the facility and its population.

The Contracting Officer may also request the Contractor to immediately remove any employee(s) from the work site(s) should it be determined that individuals are being assigned to duty who have been disqualified for either suitability or security reasons, or who are found to be unfit for performing duties during their tour(s) of duty.

Contractor employees who are removed from contract work shall be required to leave the work site immediately.

The Contractor must comply with any removal request. For clarification, a determination to remove an employee will be made for, but is not limited to, incidents involving the most immediately identifiable types of misconduct or delinquency as set forth below:

A. Failure to receive a suitability determination, temporary clearance, or clearance from GSA or a tenant agency.

B. Violation of Federal, State, or local law.

C. Violation of the Rules and Regulations Governing Public Buildings and Grounds, 41 CFR 101-20.3. This includes the carrying or possession of explosives, or items intended to be used to fabricate an explosive or incendiary device.

D. Neglect of duty, including sleeping while on duty, unreasonable delays, or failure to carry out assigned tasks, conducting personal affairs during official time, refusing to render assistance, or cooperate in upholding the integrity of the security program at the work site.

E. 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.

F. Disorderly conduct, use of abusive or offensive language, quarreling, intimidation by words or actions, fighting, or participation in disruptive activities, which interferes with the normal efficient operations of the Government.

G. Theft, vandalism, immoral conduct, or any other criminal actions.

H. Selling, consuming, or being under the influence of intoxicants, drugs, or substances which produce similar effects while in or on Federally-controlled property.

I. Improper use of Government identification.

J. Unauthorized use of communication equipment on Government property.

K. Violation of security procedures or regulations.

L. Violation of Title 18, U.S.C., Section 930, which prohibits the knowing possession or the causing to be present of firearms or other dangerous weapons in Federal facilities and Court facilities.

The Contracting Officer will make all determinations regarding the removal of any employee(s) from work site(s), except under certain conditions. When a Contracting Officer is not available, either during the day or after hours, or in situations where a delay would not be in the best interest of the Government or is identified as a potential threat to the health, safety, security, general well being or operational mission of the facility and its population, the Contracting Officer’s Representative will have the authority to immediately remove the contract employee from the work site.

Law enforcement officers of the DHS/ICE/Federal Protective Service will have the authority to immediately remove any contract employee from the work site who is found to be in violation of any of the items mentioned above and where a delay in removal would not be in the best interest of the Government, security, or is identified as a potential threat to the health, safety, security, general well being or operational mission of the facility and its population. The Contracting Officer will be notified as soon after the incident as practical or at the beginning of the next business day if an action happened after hours. The Contracting Office will make all official notifications to the Contractor. In the event of a dispute, the Contracting Officer will make a final determination. Specific reasons for removal of an employee(s) will be provided to the Contractor in writing.

The Contractor is responsible for providing replacement employees in cases where contract employees are removed from working at the work site or on the contract.

6. SENSITIVE BUT UNCLASSIFIED (SBU) BUILDING INFORMATION

A. GSA contractors that do not have HSPD-12 compliant clearances can not obtain Sensitive But Unclassified (SBU) information (Privacy Act data, building information, and financial information) through GSA’s IT systems.

B. Contractors and prospective bidders with a need to know, that do not have HSPD-12 clearances and access rights to GSA IT systems, can be provided SBU building information, drawings, etc., in accordance with GSA Order 3490.1 that provides for the dissemination of paper and electronic SBU building information for all Federally-controlled space (owned, leased and delegated).

C. SBU information includes but is not limited to:

(1) Paper and/or electronic documentation of the physical facility information

(2) Building designs (such as floor plans)

(3) Construction & renovation/alteration plans and specifications

(4) Equipment plans and locations

(5) Building operating plans

(6) Information used for building service contracts and/or contract guard services

For all GSA controlled facilities, any other information considered a security risk, shall be considered covered under this category.

D. All SBU building information, either in electronic or paper formats, shall have specific imprinting on each page to designate it is Government property and indicate the prohibition of copying, dissemination, and distribution

E. Contractors authorized to receive SBU information shall provide the following identification:

(1) A copy of a valid business license

(2) Verification of a valid DUNS Number

(3) A Valid IRS Tax ID Number

(4) A Valid picture state driver’s license

F. Contractors shall sign a Document Security Notice when they receive the information.

G. Contractors shall be responsible for safeguarding SBU information. At the completion of work, secondary and other disseminators shall be required to turn over their Document Security Notice dissemination records to GSA to be kept with the permanent files.

H. Authorized contract users shall destroy all SBU information and documents when no longer needed. Destruction shall be done by burning or shredding hardcopy, and/or physically destroying CD’s, deleting and removing files from the electronic recycling bins, and removing material from computer hard drives using a permanent erase utility or similar software.

I. All authorized contract users of SBU building information shall notify the GSA Disseminator in writing that they have properly disposed of the SBU building information/documents.

J. The GSA Disseminator shall maintain all records of SBU building information disposal (along with the signed Document Security Notices) pursuant to the GSA system of keeping long-term records and plans. All Document Security Notices and Records of Disposals shall be kept with the permanent files