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FOREIGN OWNERSHIP, CONTROL, OR INFLUENCE (FOCI) DETERMINATION DOCUMENTS (5-99) - page 2 / 16

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(5) For a facility to possess classified matter or special nuclear material at its location, a survey conducted no more than 6 months before the facility clearance date, with a composite facility rating of satisfactory.

(6) Appointment of a Facility Security Officer, and, if applicable, a Materials Control and Accountability Representative. The Facility Security Officer must possess an access authorization equivalent to the Facility Clearance.

(7) Access authorizations for key management personnel. Key management personnel, who will be determined on a case-by-case basis, must possess access authorizations equivalent to the level of the Facility Clearance.

(d) A Facility Clearance is required even for contracts which do not require contractor’s offices to receive, process, reproduce, store, transmit, or handle classified information or special nuclear material, but which require DOE access authorizations for the contractor’s employees to perform work at a DOE location. This type faciltiy is identified as a non-possessing facility.

  • (e)

    Facility Clearances are required prior to the granting of an access authorization under a contract.

  • (f)

    Except as otherwise authorized in writing by the contracting officer, the provisions of any resulting contract shall require that the

contractor insert provisions similar to the foregoing in all subcontracts and purchase orders. Any subcontractors requiring access authorizations for access to classified information or special nuclear material shall be directed to provide responses to the questions in Standard Form 328 of this provision directly to the local Office of Safeguards and Security cognizant of the prime contract.

NOTICE TO OFFERORS - CONTENTS REVIEW - Please Review Before Submitting

Prior to submitting the Standard Form 328, required by paragraph (a)(1) above, the offeror should review the FOCI submission to ensure that:

  • (1)

    The SF328 has been signed and dated by an authorized official of the company;

  • (2)

    If pubicly owned, the contractor’s most recent annual report, and its most recent proxy statement for its annual meeting of stockholders have been attached;

  • (3)

    A copy of the company’s articles of incorporation and an attested copy of the company’s by-laws, or similar documents filed for the company’s existence and management, and all amendments to those documents.

  • (4)

    A list identifying the organization’s owners, officers, directors, and executive personnel, including their names; social security numbers; citizenship; titles of all positions they hold within the organization; and what clearances, if any, they possess or are in the process of obtaining and identification of the government agency(ies) that granted or will be granting those clearances.

  • (5)

    A consolidated financial information report has been attached;

  • (6)

    A FOCI submission has been attached for each tier parent organization (i.e., ultimate parent and any intervening levels of ownership); and

  • (7)

    A summary FOCI data sheet.

NOTE: If any of these documents are missing, the contracting officer cannot complete award of the contract.

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