Attachment_5_HSPD-12.docx

SOL-CI-15-00017 HSPD-12

Attachment 5

Attachment 5

Agency Access Badge Requirements for On-Site Contractor Personnel

Agency Access Badge Requirements for On-Site Contractor Personnel

To safeguard the EPA workforce and comply with Homeland Security Presidential Directive 12 (HSPD-12), Executive Order (E.O.) 13467, E.O. 13488 and Office of Personnel Management (OPM) regulations, the EPA requires the following:

· For Unescorted Access for Six Months or Less Contractor employees needing unescorted physical access to a controlled EPA facility[footnoteRef:1] for six months or less must be determined by the EPA to be fit before being issued a physical access badge (picture ID). A fitness determination is, per E.O. 13488, a decision by an agency that an individual has or does not have the required level of character and conduct necessary to perform work for or on behalf of a federal agency as a contractor employee. A favorable fitness determination is not a decision to contract with an individual. Contractor employees must undergo, at a minimum, an FBI fingerprint check of law enforcement and investigative indices (see Section 2). [1: A controlled facility is an area to which security controls have been applied to protect agency assets. Entry to the controlled area is restricted to personnel with a need for access.

· For Unescorted Access for More than Six Months Contractor employees needing unescorted access to a controlled EPA facility for more than six months are required to have an HSPD-12 smart card, called an EPASS badge. Eligible contractor employees must have a completed or initiated background investigation at the National Agency Check and Inquiries (NACI) level or above, comply with all other investigative and HSPD-12-related requirements, and be determined by the EPA Personnel Security Branch (PSB) to be fit (see Section 3). “Initiated” means that all initial security requirements have been met (i.e., paperwork is completed, submitted, and PSB-approved; favorable fingerprint results have been received; funding has been provided to cover the cost of the investigation; and PSB has sent notification that the individual may begin work).

To ensure timely contract performance, the contractor must be prepared to immediately submit upon contract award the contractor employee information detailed in Section 1(c). This applies also to incumbent contractors’ employees for follow-on acquisitions. All contractor employees under a new contract are subject to the requirements in Sections 2 or 3; however, the time needed to meet security requirements may be shorter for personnel who already have a favorable fitness determination.

Contractor employees may begin work on the contract start date provided all applicable documentation in Sections 1, 2, and 3 has been received by the EPA and there is no derogatory information to preclude a favorable determination. Timely submission of contractor employees’ security forms and other required documentation is essential.

A favorable determination may be revoked at any time should the EPA discover derogatory information upon which a contractor employee is unfit. Contractor employees deemed unfit will not be allowed to continue under the contract, and the contractor will be responsible for providing replacement employees acceptable to the EPA.

The EPA may make a determination of a contractor employee’s fitness at any of the following points:

· When the EPA prescreens the individual’s security forms. “Red flag” issues include:

· Having been fired from a previous job or having left under unfavorable circumstances within the past five years (or longer, depending on the security form questions and type of investigation);

· Failure to register with the Selective Service System (applies to male applicants born after December 31, 1959);

· Within the past five years (or longer, depending on the security form questions and type of investigation), any arrest, charge, or conviction that has been upheld for violent or dangerous behavior or a pattern of arrests that demonstrates disregard for the law;

· Illegal drug use within the previous year, or drug manufacture or other involvement for profit within the past five years (or longer, depending on the security form questions and type of investigation).

· When FBI fingerprint results are returned to the EPA;

· When OPM returns the individual’s investigative results to the EPA;

· When the EPA becomes aware that the contractor employee may not be fit to perform work for or on behalf of a federal agency. The contractor is responsible for monitoring its employees’ fitness to work and notifying the EPA immediately of any contractor employee arrests or illegal drug use.

1) Initial On-Site Contractor Requirements

This section contains the contractor’s initial security requirements, which must be met before contractor employees can perform work on-site at EPA under this contract.

a) The contractor must identify a point of contact (POC) and alternate POC to facilitate security processes.

b) The contractor must ensure that all foreign nationals who will work under this contract have a valid U.S. Immigrant Visa or nonimmigrant Work Authorization Visa. The contractor must use e-Verify to verify employment eligibility as required by the FAR.

c) The EPA requires contractor employee information for the investigative and EPASS processes. Immediately upon contract award, or anytime new personnel are brought onboard, the contractor POC must log on to a secure, EPA-identified portal, create an account, and submit complete contractor employee information: Full name (as found on employment records and driver’s license), Social Security Number, date of birth, place of birth (city, state, country), citizenship, employee email address, EPA program office or regional office, and EPA work city and state. Note: Incomplete names, inaccurate names, and nicknames are unacceptable and may delay contractor employees’ start date. Instructions and the portal link will be provided upon contract award.

d) EPA will provide the login information for the portal. After submission of the contractor employees’ data, the Contracting Officer’s Representative (COR) will notify the contractor POC if additional information or corrections are required. The COR’s approval of the information triggers the investigative and EPASS processes.

2) Requirements for Contractor Employees Needing Unescorted Access for Six Months or Less

This section contains the requirements for contractor employees who are not eligible for an EPASS badge but who need unescorted physical access. The minimum security requirement is an FBI fingerprint check.

a) Before the contractor employee can begin work on-site at the EPA:

i) He/she must be fingerprinted by the EPA; arrangements will be made by the COR.

ii) The contractor employee must satisfactorily respond to all questions/information requests arising from the EPA’s review of the fingerprint results.

iii) The EPA must determine that the fingerprint results are favorable.

Once all requirements in Section 2(a) are met, the COR and contractor employee will be notified that the contractor employee can start work. Contractor employees will be issued a physical access badge and may work on-site at EPA. Contractor employees must sign a receipt acknowledging responsibility to safeguard the badge and surrender it when required (see Section 4(b)).

3) Requirements for Contractor Employees Needing Unescorted Access for more than Six Months

This section contains the requirements for contractor employees who are eligible for an EPASS badge and who must have, at a minimum, a NACI background investigation completed or initiated. Contractor employees needing access to sensitive information or otherwise occupying moderate- or high-risk positions must undergo an investigation above the NACI level. The EPA will assign a position risk level to each position on the contract and identify which contractor employees are EPASS-eligible.

a) EPASS-eligible contractor employees must undergo a background investigation appropriate to the risk level of the position occupied, as specified by the EPA; the minimum acceptable investigation is a NACI.

b) Employees who have previously undergone a federal background investigation at the required level, and who have worked for or on behalf of the federal government without a break in service since the investigation was completed, may not need a new investigation. The EPA will verify the investigative information and notify the contractor employee and COR if a new investigation is required. If an investigation is not needed, the contractor employee must still be fingerprinted by the EPA for an FBI fingerprint check, and have favorable fingerprint results returned before beginning work on-site at EPA.

c) Before beginning work on-site at the EPA, contractor employees who require a new background investigation must:

i) Complete and submit the appropriate OPM security questionnaire specified by the EPA via OPM’s e-QIP system. Access to e-QIP will be provided by the EPA; the questionnaires are viewable at www.opm.gov/forms. Foreign national contractor employees must, on the security questionnaire, provide their alien registration number or the number, type, and issuance location of the visa used for entry to the United States.

ii) For a NACI only, also complete the OF 306, Declaration for Federal Employment, as required by OPM for any NACI and available at http://www.opm.gov/forms/pdf_fill/of0306.pdf. Contractor employees must answer questions 1-13 and 16, then sign the form on the “Applicant” line, 17a.

iii) Follow all instructions on the form(s), answer all questions fully, and submit signature pages as directed by the EPA.

iv) Be fingerprinted by the EPA; arrangements for fingerprinting will be made by the COR.

v) Satisfactorily respond to all questions/information requests arising from the EPA’s review of the forms or fingerprint results.

vi) Receive favorable fingerprint results.

d) Once all requirements in Section 3(c) are met, the COR and contractor employee will be notified that the contractor employee can start work. Contractor employees may work on-site at EPA while OPM conducts the background investigation.

e) At a time and location specified by the EPA, contractor employees must report in person for EPASS identity (ID) proofing and show two unexpired forms of identification from the lists on Department of Homeland Security Form I-9. At least one of the documents must be a valid, unexpired state or federal government-issued photo ID; non-U.S. citizens must show at least one ID from Column A on Form I-9.

f) Before being issued an EPASS badge, contractor employees must sign a receipt acknowledging responsibility to safeguard the badge and surrender it when required (see Section 4(b)). Contractor employees must meet all EPASS badge life-cycle requirements.

g) A contractor employee has the right to appeal, in writing through the contractor POC to the COR, the denial or revocation of an EPASS badge. If the COR believes the appeal is justified, he/she will forward it to the Security Management Division (SMD). SMD’s decision on behalf of the EPA will be final.

4) Ongoing Contractor Security Responsibilities

a) The contractor POC must immediately provide updated information via the secure portal when new contractor employees are added to the contract. These contractor employees must meet all initial investigative requirements before beginning work on-site at EPA. The contractor POC must also update information via the secure portal whenever a contractor employee leaves the contract.

b) The contractor POC must ensure that all EPA physical access and EPASS badges are returned to the COR as soon as any of the following occurs, unless otherwise determined by the Agency: (i) when the badge is no longer needed for contract performance; (ii) upon completion of a contractor employee’s employment; or (iii) upon contract completion or termination.

c) These EPA security requirements must be incorporated into all resulting subcontracts wherein contractor personnel working under the subcontract require EPA physical access.

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