Jocelyn De Luche

1
Security RequirementsForeign Ownership, Control
or Influence (FOCI)

• Jocelyn De Luche
• Safeguards and Security, FOCI Program
• Sandia National Laboratories/NM

2
Overview

• DOE definition
• When does FOCI apply?
• What is FOCI?
• Rules and facts on Facility Clearance
• E-FOCI system
• Security Contacts

3
Department of Energy Definition
Foreign Ownership, Control or Influence

• Objective It is DOE policy to obtain
  information that indicates whether a company that
  SNL will enter into a contract with is Owned,
  Controlled, or Influenced by a foreign person or
  entity and whether as a result, the potential for
  an undue risk to the common defense and national
  security may exist.
• Reference DOE O 470.1, Change 1, Chapter VI,
  Section 1

4
When Does FOCI apply?

• When the contract awarded to a company requires
  DOE clearances (L or Q) to perform the work
  delineated by the contract

5
What is FOCI?

• FOCI is a DOE background check on a company to
  determine any foreign Ownership, Control, or
  Influence
• DOE approval of a FOCI submittal results in the
  granting of a Facility Clearance
• The process time may be longer for companies who
  have foreign owners or other significant foreign
  activity
• General process time 30 to 90 days
• FOCI re-certification is required for all
  companies every 5 years or as major changes occur

6
Rules for Facility Clearance

• If you subcontract, your subcontracting company
  must submit a FOCI package and also receive a
  Facility Clearance from DOE
• FOCI remains active as long as company maintains
  active contracts that require DOE clearances to
  perform the work
• DOE requires that certain company officials
  called Key Management Personnel (KMP) also be
  processed for a DOE clearance as a condition of
  the company Facility Clearance grant
• Appointed Facility Security Officer (FSO) is
  required by DOE and considered a KMP

7
DOE Clearance Facts for FOCI certified companies

• Contractor, subcontractor employees and KMPs may
  only be cleared at the level required by the
  contract
• DOE Clearances are contract specific
• Hiring other contractor personnel with DOE
  clearances at a higher level will be downgraded
  to current contract
• Subcontractor employees must be cleared/badged
  under company employing them, not under the prime
  Staff Augmentation company

8
How to submit a FOCI

• E-FOCI online electronic submission and
  processing system to submit FOCI applications to
  Sandia and DOE
• Mandated by DOE effective 01/01/07 to replace
  submittal of hard copies

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Jocelyn De LucheFOCI Program/Policy Phone
284-5679
FOCI Program Contacts
Angela Eldred FOCI Program Coordinator Phone
505-845-0428