Facility Security Clearance (FCL) & Foreign Ownership, Control or Influence (FOCI) Flashcards

Which U.S. government agency administers facility security clearances for contractors under the National Industrial Security Program on behalf of the Department of Defense?

Answer: Defense Counterintelligence and Security Agency (DCSA)

DCSA administers the NISP for DoD and the other participating agencies. It processes, grants and oversees facility security clearances for cleared contractors.

A company wants to obtain a facility security clearance. Which statement about sponsorship is correct?

Answer: A company must be sponsored by a government contracting activity or an already-cleared contractor that has a legitimate need for it to access classified information

An FCL is not available on request. A user agency (government contracting activity) or a cleared prime contractor must sponsor the company because of a bona fide procurement need for classified access.

Which form does a cleared company use to report information about foreign ownership, control or influence to the Government?

Answer: SF 328, Certificate Pertaining to Foreign Interests

The SF 328 is the Certificate Pertaining to Foreign Interests. It is used to evaluate FOCI factors at initial clearance and when changes occur.

Which FOCI mitigation instrument is generally used when a foreign interest effectively owns or controls a company and the company needs access to proscribed information, in which case a national interest determination is required?

Answer: Special Security Agreement (SSA)

An SSA is used when a foreign interest effectively owns or controls the company. Access to proscribed information (such as Top Secret, COMSEC, SCI, RD) under an SSA requires a national interest determination. An SCA is used when the foreign interest does not effectively own or control the company but is entitled to board representation.

Which of the following key management personnel must always be cleared to the level of the facility clearance?

Answer: Senior Management Official, Facility Security Officer and Insider Threat Program Senior Official

The SMO, FSO and ITPSO must be cleared to the level of the facility clearance, along with other officials as determined by DCSA. Other board members or officers may be excluded from access through a formal exclusion resolution.

Which Voting Trust or Proxy-style FOCI arrangement is used when a foreign owner relinquishes nearly all control over a cleared company to cleared U.S. citizen trustees?

Answer: Proxy Agreement or Voting Trust Agreement

Under a Voting Trust Agreement or Proxy Agreement, the foreign owner's voting rights are vested in cleared U.S. citizen trustees or proxy holders. This insulates the company from foreign influence and is the most restrictive mitigation approach.