It is suggested that you use this checklist as you prepare for the first and second visit from your Industrial Security Representative, who is processing your company for a facility clearance.  It may prove useful to print this checklist and check off each item as it is completed. If you are brand new to the National Industrial Security Program, you may also find it useful to visit the Q&A section of this diskette by clicking on Q&A above.

Checklist for New Facility Security Clearances

Complete?

• DSS HOME PAGE:  Please log on to the DSS Home page, www.dss.mil , and bookmark it.  We will need to go on-line during my first visit.  This web site offers a great deal of information and assistance regarding your responsibilities.  So, you will want to become very familiar with it.

• Download the following from DSS's home page:
• EPSQ: Download the Electronic Personnel Security Questionnaire (see below).
• NISPOM: Download the National Industrial Security Program Operating Manual (NISPOM), page changes, and the Industrial Security Newsletters so that you will have the National Industrial Security Program (NISP) instructions and guidelines that are MANDATORY for a cleared facility under the NISP.  Becoming familiar with the NISPOM also will take a great deal of time and will, likewise, require a determined effort (More about the NISPOM later).

• COMPANY DOCUMENTS/INFORMATION:  Obtain and have available the following documents for your first visit from your Industrial Security Representative from DSS.
• Articles of Incorporation, Stock Records, Minutes of Board Meetings, and Corporate by-laws.
• Federal Tax ID Number.
• Any 10K Reports filed with the Securities Exchange Commission.
• Key Management Personnel List. Click Here to see a MS Word 97 document that you can use to submit this List.
• Brief summary of your technologies and/or services.
• E-mail, Fax, and complete address information for the last ten years--include the last four extension on your zip code.
• Proof of US Citizenship for Facility Security Officer (FSO) (see NISPOM para 2-207).

• PERSONNEL SECURITY CLEARANCE:  In order for your company to be cleared, all Key Management Personnel (KMP) must also be cleared.  This must be done as soon as possible!  All KMP must be able to prove that they are US citizens (see NISPOM para 2-207 for acceptable proof).  The FSO must verify US citizenship of all KMP.

• EPSQ:  As soon as possible read the instructions and then begin to fill out an electronic SF 86 for yourself if you will be the Facility Security Officer or another KMP.  This will take a great deal of time and will require a determined effort.  The EPSQ hotline is 1-800-542-0237; use this for technical support of the EPSQ software.  Click Here to see more instructions on EPSQ.
• Download from www.dss.mil two versions, Subject and Security Officer.  Tip:  Download using diskette option into a temp file.
• Print the EPSQ Manual then read it carefully.
• Provide an EPSQ Preparation Checklists to KMP to be cleared.
• Provide Subject Editions of the EPSQ to KMP to be cleared.
• Validate data, certify the form, and then transmit the form.
• Note that fingerprint Cards should be reviewed for completeness and accuracy before being sent.  Insure that the proper, DSS provided forms (FD 258) are used.

Note:  There are more detailed instructions on EPSQ available by Clicking Here.

• DEFENSE SECURITY SERVICE FACILITY PROCESS FORMS:  Complete the following documents for review by your Industrial Security Representative from Defense Security Service.

• DD Form 441  Submit in duplicate.  Do not date; date will be added when the Facility Clearance is granted by the authorized government representative.  Click on  Instructions for completing the DD Form 441 to see further instructions.

• Corporations:  Show name as it appears on Articles of Incorporation.  All forms must be signed by an officer and the Certificate portion signed by a second officer such as the corporate secretary.  No witnesses are required.  All forms must be impressed with the corporate seal, if there is one.
• Partnership:  Show correct legal name of the business and full names of all general partners.  All forms must be signed by a partner.  Two witnesses' signatures are required.
• Proprietorship:  Show the full name of the owner and the correct legal name of the business.  All forms must be signed by the owner.  Two witnesses' signatures are required.

• DD Form 441-1 Submit in duplicate only if you are a division of a Home Office with a Facility Clearance.  Date of Security Agreement will be affixed by the authorized government representative.  Show correct legal name of the business organization.  It should be signed by an official of the company authorized to do so.  When the executed copy is returned, one copy each of both the Security Agreement and Appendage should be sent to every facility listed.

• SF 328 Certificate pertaining to foreign interest--submit one copy and retain one executed copy.  Fully explain all "yes" answers.  Click on Instructions for completing the SF 328 to see further instructions.  Click on SF 328 Example to get an example of a completed SF 328.  Click on SF 328 Definitions to get a list of definitions for terms on the SF 328. 

• KMP List Submit one copy and retain one copy.  All copies must be dated and signed by a corporate officer, partner or owner.  When one person is both an officer and a director, show both positions.  The position of board chairman must be shown or an explanation given as to how the position is filled for board meetings.  The position of facility security officer must be shown.  If there is an executive committee, designate members of such committee. 

• Completed Fingerprint Cards.  They should be mailed to:

NATIONAL AGENCY RECORDS PROCESSING GROUP (NARP) 
DEFENSE SECURITY SERVICE 
601 10TH STREET SUITE 125 
FORT GEORGE G MEADE MD 20755-5134

• A Statement of Full Disclosure of All Foreign Connections  must be completed by any  KMP determined to be Representatives of Foreign Interests (RFI).  Insure that your facility has executed any required Board Resolutions noting representative of Foreign Interest Statement.   Submit a list including titles, positions with both the domestic and foreign firms, name and address of the foreign firm.  Include all information required, including date of execution and signature of statement.

• When there are officers and directors of your organization who are also officers and/or directors of your parent organization, submit a Resolution Noting Exclusion of Parent Organization.  Click on Resolution for Exemption of Parent Organization to see an example of a resolution that your parent organization can use.

• Complete application for required Facility Security Officer Training.  For more on what training is required Click Here.