FCL Process

1st 45 day process roadmap is shown below

Complete FCL roadmap is here.

This site – has links to video, handbook, and process

Legal documents that are part of the package must inlude the documents below. Documents are outlined in the legal business document section

• Business Structure
• Ownership
• Key Management Personnel

FSO toolkit on the DCSA website.

Documents in the Handbook

• Creating an NCAISS Account & Registering for the NISS – Guide
• DD 441 – Completion Guide
• External How To Resubmit Initial FCL Package NISS Guide – Guide on how to RESUBMIT the FCL package once it has been reviewed and returned for corrections.
• Guidelines For An Accurate KMP List – Assist in determining KMP to clear or exclude.
• Initial FCL Process Industry NISS Guide – Will assist in compiling and submitting your
  initial FCL package
• Sample Org Chart – An example of a legal org chart and what should be
  included/addressed
• SF328 – Certification Guide – Guide on what signatures are required.
• SF328 Instructions – Details regarding each question of the SF-328 and what detailed
  responses are required.

Submitting Package

DCSA submission checklist is here, and Mobius tracker is here.

Package has to be submitted using one of the following roles

• FSO
• Alternate FSO
• Other Security Staff

Use the document – Initial FCL Process Industry NISS Guide above. After submitting, make sure the status is updated to Submitted.

Submission Requirements:

• Business Structure Documents
• Legal Organization – See Appendix D of Handbook for example
• KMP List and Exlcusions – See Appendix A and B of Handbook
  • KMP must hold a PCL at the same level or higher than the facility
  • KMPs required to be cleared, based on the FCL
  • KMP list includes Officers, Directors or positions mentioned in business documentation
  • All titles for each person should be reflected and based upon the business documentation
  • Not all people on the KMP list will require a PCL in connection with the FCL
  • Any KMP that is not required to be cleared, must be put in the exclusion list
  • Per the NISPOM – the SMO, FSO and ITPSO are always required to be cleared in connection with the FCL
  • The SMO is the most senior managerial position within the facility
  • FSO appt date is required on KMP list
  • The ITPSO and FSO signed appt letters must be included in the supporting documentation
• KMPs required for LLC
  • SMO
  • FSO
  • ITPSO
  • LLC Members are cleared if their duties require access to classified information
  • Managers
• Regardless of business structure, all packages must include
  • SF328
  • Proof of citzenship for any KMP getting a PCL
  • FSO appt letter, identify by name and confirm the person is a us citizen and employee of the faciltiy
  • ITPSO appt letter, identify by name and confirm the person is a us citizen and employee of the facility
• Required Business Forms – see Handbook list
  • SF328 – HAS to be opened in Adobe Reader, and is in the shared OneDrive. See SF328 help documents above if needed
  • DD form 441 – HAS to be opened in Adobe Reader, and is in the shared OneDrive folder. See 441 completion guide above if needed
• Page 17 of the Handbook talks about LLC requirements for submission

Common Reasons for rejection

• Provided info doesn’t match business documents
• Business documents are missing or incomplete
• Title and positions used on KMP list not reflected in the business documents
• People missing on KMP list
• SF328 or DD441 not signed by someone with authority
• DD441 is dated on the first page
• Discrepency with the legal business name or address

Post Submission

• Conduct FOCI assessment
• KMP PCL review / investigation
• Orientation meeting with ISR

PCL for KMPs will be inititated

Any essential KMPs must:

• hold PCL eligibility
• Can’t be more than 24 months since last indoctrination in JPAS
• Background investigation out of scope
• not enrolled in CE

FCL Initial Orientation Meeting

Page 9 of the Handbook. Conducted by an ISR assigned from a local field office. Topics that will be discussed include:

• Company’s NISPOM requirements
• Facility’s Security Program
• Facility’s Insider Threat Program
• Provide KMP U.S. Citizenship verification (current or expired passport or a birth certificate, and government issued photo id

120 days after FCL Issued

• IS rep initial compliance contact meeting
• Determine if work has started
• Ensure that a security and insider threat program is established
• Ensure facility has at least two JPAS account managers and users