Checklist for New Facility Security Clearances

DSS uses CAGE Codes to track basic facility information. If your company does not already have a CAGE Code for the facility requiring clearance, one may be obtained by submitting a DD Form 2051 to Commander, Defense Logistics Services Center, ATTN: DLSC-SBB, Federal Center, 74 North Washington, Battle Creek, MI 49017-3084. The DD Form 2051 can be found at:
http://www.dtic.mil/whs/directives/infomgt/forms/eforms/dd2051.pdf

Section A of the form must be filled out and signed by the sponsoring government agency. Your sponsoring government agency may also request the CAGE Code for you by submitting a request on agency letterhead to the above address.

Alternatively, you can register with the System for Award Management (SAM) database to get a CAGE Code at https://www.sam.gov/.

Sponsorship: The very first step to clearing a company is for them to be sponsored for a facility clearance by either a government contracting activity (GCA) or another cleared company. The Facility Clearance Branch has a sample sponsorship letter that the sponsoring organization may use to submit the sponsorship.
DSS Begins the Process: Once the sponsorship letter has been received and accepted, the Facility Clearance Branch will send the sponsored organization a package that contains detailed information for a company that is beginning the facility clearance process. The Facility Clearance Branch will also contact the local Industrial Security Field Office, which will assign an Industrial Security Representative to make contact with and begin processing the organization for a facility clearance.
Commercial and Government Entity Code (CAGE Code): DSS uses CAGE Codes to track basic facility information. If your company does not already have a CAGE Code for the facility requiring clearance, one may be obtained by submitting a DD Form 2051 to Commander, Defense Logistics Services Center, ATTN: DLSC-SBB, Federal Center, 74 North Washington, Battle Creek, MI 49017-3084. The DD Form 2051 can be found at: http://www.dtic.mil/whs/directives/infomgt/forms/eforms/dd2051.pdf

Section A of the form must be filled out and signed by the sponsoring government agency. Your sponsoring government agency may also request the CAGE Code for you by submitting a request on agency letterhead to the above address.

Alternatively, you can register with the System for Award Management (SAM) database to get a CAGE Code at https://www.sam.gov/.

Prepare for DSS' Visit:
- NISPOM: Download the National Industrial Security Program Operating Manual (NISPOM). Becoming familiar with the NISPOM will take a great deal of time and will, likewise, require a determined effort.

Prepare Organizational Documentation/Information: Obtain and have available the following documents/information 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. The senior management official, the prospective Facility Security Officer (FSO), all executive committee members, and all board members including the Chairman should be listed. NISPOM paragraph 2-104 provides some guidance, and additional guidance will be provided by your Industrial Security Representative during the first visit.
- Brief summary of your company's primary business or services provided.
- email, Fax, and complete address information for the last ten years — include the last four number extension on your zip code.
- Proof of US Citizenship for prospective Facility Security Officer (FSO) (see NISPOM para 2-207).

Personnel Security Clearance: In order for your company to be cleared, specified Key Management Personnel (KMP) must be cleared. Other KMP may be excluded, unless they will require access to classified information. Your Defense Security Service Industrial Security Representative will help you identify those that must be cleared and those that may be excluded. This must be done as soon as possible!

Fingerprint Cards (FD 258): These forms will be in the initial package mailed to you by the Facility Clearance Division and should be mailed to OPM (see below). Only use the forms that are provided to you -- other types of fingerprint cards, such as local law enforcement forms, will be rejected.
US Mail:
e-QIP Rapid Response Team
OPM - FIPC
Post Office Box 618
Boyers, PA 16018
FedEx:
e-QIP Rapid Response Team
OPM - FIPC
1137 Branchton Road
Boyers, PA 16020

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

DD Form 441: This is the Department of Defense Security Agreement. It is an agreement between your organization and the United States Government that details the security responsibilities of both the cleared organization and the United States Government. Submit in duplicate. Do not date; date will be added when the Facility Clearance is granted by the authorized government representative.
- Corporations: Show name as it appears on Articles of Incorporation. All forms must be signed by a corporate officer, and the Certificate portion must be 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: This is an attachment to the DD Form 441 that lists cleared divisions or branch offices that are included in and covered by the provisions of the organization's Security Agreement and Certificate Pertaining to Foreign Interest. 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, such as the Corporate President. 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: The Certificate Pertaining to Foreign Interest is used to report your organization's foreign involvement. 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.

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