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2008 FSO Conference Sandia is a multi-program laboratory operated by Sandia Corporation, a Lockheed Martin Company, for the United States Department of Energys National Nuclear Security Administration under contract DE-AC04-94AL85000. August 21, 2008 Slide 2 Slide 3 Awareness Is The Key Foreign Interactions Office (FIO) DOE requires foreign national access to be documented and tracked. The FIO manages the approval process for unclassified foreign national access to DOE information, programs, and technologies, and SNL sites. Slide 4 Awareness Is The Key Foreign Nationals A foreign national is any person who is not a citizen of the United States. Lawful Permanent Residents are not U.S. citizens and are not exempt from the SNL FIO approval process. Slide 5 Awareness Is The Key Flow Down Requirements DOE O 142.3, Unclassified Foreign Visits and Assignments, states: The contractor is responsible for flowing down the requirements of this Contractor Requirements Document (CRD) to subcontractors at any tier to the extent necessary to ensure the contractors compliance with the requirements.the contractor must not unnecessarily or imprudently flow down requirements to subcontractors. Slide 6 Awareness Is The Key Consequences for Non- Compliance Providing a foreign national with access without prior approval from SNL FIO may result in: Infraction Disciplinary action Cancellation of the SNL Contract Slide 7 Awareness Is The Key Foreign National Access Access: Circumstances or actions involving foreign nationals (especially pre-arranged interactions) that result in the passing of DOE information or technologies to a foreign national and/or granting entry to DOE/SNL sites. Examples of access: Pre-arranged face-to-face meetings Pre-arranged video conferences Access to SNL cyber/computer resources Slide 8 Awareness Is The Key Remember... There is required training: Export Control Training (EC100) Foreign Corrupt Practices Act (FCPA100) Foreign National Request (FNR) Security Plan (SP) Before providing uncleared foreign national access the appropriate Sandia contact must have prior approval from SNL FIO. Slide 9 Awareness Is The Key Exceptions Documentation and approval from the SNL FIO is not required if: Access occurs at an event that is accessible by the general public and the DOE information is releasable to the general public (unclassified unlimited release). Access or exchange of information occurs via e-mail or telephone. Access or exchange of information occurs via video conference and the DOE information is releasable to the general public (unclassified unlimited release). Note : The above stipulation applies regardless of whether information is being gathered from or contributed by the foreign national. Slide 10 Awareness Is The Key Exceptions Continued Information being accessed is Work for Others (WFO) and does not involve access to DOE information, programs, technologies, or DOE sites. Access occurs at, and is sponsored by, another DOE facility, and that facility has obtained the necessary approvals. Access involves foreign national delivery personnel under the following conditions: The foreign national is not accessing limited or more restricted areas. The foreign national is fully escorted by a Q- or L-cleared Member of the Workforce who is a U.S. citizen. If the foreign national is not fully escorted, the access must be in compliance with the requirements for the location of the access. Slide 11 Awareness Is The Key Responsibilities The contractor and subcontractor must promptly notify their Sandia Delegated Representative (SDR), or appropriate SNL contact, to obtain the required approval from SNL FIO prior to providing a foreign national access to: SNL facilities DOE information, programs, and technologies when foreign national is not visiting DOE/SNL facilities Slide 12 Awareness Is The Key Scenario Q. Do you have to obtain approval from SNL FIO if you want a foreign national to work with you on a DOE project that is unclassified? A. Yes. You need to notify your SDR before allowing any foreign national access to DOE/SNL information. Your SDR will go through our FNR Decision Wizard to determine if an FNR is required. Slide 13 Slide 14 Awareness Is The Key Threats are Everywhere Slide 15 Awareness Is The Key Slide 16 Countries Have Interests, Not Friends July 16, 2001 Slide 17 Awareness Is The Key Countries Have Interests, Not Friends The Enemy of My Enemy is My Friend. There are friendly nations, but there are no friendly Intelligence Services. General Youri Kobaladze SVR June 30, 2005 Slide 18 Awareness Is The Key Sun Tzu, c. 500 B.C. Among the potential pool of spies are those who are disgruntled or disenchanted, those who will seek revenge against a real or imagined grievance, those who are driven by money, and those who are egotistical and subject to flattery Slide 19 Awareness Is The Key Nothing Has Changed! Aldrich Hazen Ames-CIA GS-14 - $68,840 per year Paid $2,500,000 by Soviets/Russians Responsible for at least 10 12 deaths Slide 20 Awareness Is The Key Ames Indicators Alcoholism Poor performance Marital problems Extramarital affairs Carelessness/disdain for security Security deviations/violations Gathering info outside area of responsibility Unexplained affluence Undocumented contact with foreign nationals Bags/envelopes stuffed with classified Exit work with laptop containing classified Slide 21 Awareness Is The Key Slide 22 Peter Lee, Convicted Spy from LANL and LLNL One time nuclear physicist at Lawrence Livermore and Los Alamos Ethnically targeted by the Peoples Republic of China Passed secrets related to remote tracking of nuclear submarines to China while an employee at Lawrence Livermore Passed secrets related to U.S. nuclear stockpile stewardship Compromised the security of US/UK Trident nuclear deterrent Slide 23 Awareness Is The Key Vladimir Putin, Russian Federation President Security organs, in accordance with federal legislation and within the limits of their authority, are obliged: to conduct intelligence activities for purposes of acquisition, processing, and utilization of information... to infiltrate the special services and organs of foreign states. Slide 24 Awareness Is The Key Madeleine Albright, Former Secretary of State, May 2000 Forget that the Cold War ended. Our nation still has enemies; our secrets still need protecting; and the threats we face are more varied and less predictable than ever. Slide 25 Awareness Is The Key Who Collects? Business representatives Corporate officers Salespersons Engineers and scientists Embassy officials Intelligence officers and their assets Slide 26 Awareness Is The Key Foreign Intelligence Methods Sponsorship of research in the U.S. Elicitation during conferences/trade fairs Recruitment of migrs (ethnic targeting) Debriefing foreign visitors to the U.S. Tasking foreign employees of U.S. firms Slide 27 Awareness Is The Key Foreign Intelligence Methods Tasking foreign students studying in the U.S. Specialized technical operations Surveillance/surreptitious entry U.S. volunteers Classic agent recruitment Slide 28 Awareness Is The Key Recruitment Process Spotting Assessing Recruitment Handling Termination Slide 29 Awareness Is The Key Espionage Red Flags Relatives/friends with connections in foreign countries Recurring/unexplained weekend trips Unofficial/unfunded foreign travel Sudden payment of loans Free spending/lavish display of cash or wealth above income Sudden purchase of high value items with no logical income Unexplained/excessive use of copying equipment Unauthorized removal of classified/sensitive unclassified Attempts to obtain information without need to know Slide 30 Awareness Is The Key The External Threat E-mail Foreign travel Domestic conferences Hosting foreign visitors and assignees Slide 31 Awareness Is The Key Your Responsibility Report any substantive interaction with a sensitive country foreign national to Counterintelligence. Reporting does not take a long time Enter your contacts on the CI Web Page under the Substantive SFN Contacts link on the left. CI Reporting Sensitive Foreign National Contacts CI Reporting Sensitive Foreign National Contacts Slide 32 Awareness Is The Key Substantive Relationships Substantive interactions are: Personal contacts that involve sharing of private information and/or the formation of emotional bonds. Professional conversations that generate discomfort because of the sensitivity of the subject being discussed. Business or financial interactions with sensitive country foreign nationals. Wondering if you need to report an interaction? Use good judgment and common sense. If you have a question about if something is substantive, err on the side of caution by contacting Counterintelligence. Slide 33 Awareness Is The Key Your Reporting Requirements Notify the Office of Counterintelligence: If you have a substantive interaction with a sensitive country foreign national. If approached or contacted by anyone requesting classified/sensitive information. If you suspect that you have been approached by a Foreign Intelligence Service (FIS), become a FIS target, or if you have knowledge or information of FIS targeting or recruitment attempts. If you receive unsolicited e-mail directed to you from a sensitive country foreign national. Remember the Need to Know Factor: Nationality notwithstanding, common sense should tell you when something is strange, curious, or suspicious! Slide 34 Awareness Is The Key Countering Terrorism Terrorists use many of the same techniques that foreign intelligence services use. Information and concerns about possible terrorist activity should be relayed to (505) 284-5404. Slide 35 International Business Services Department 6051 Slide 36 Awareness Is The Key Presentation Objectives What is International Travel and what you need to do to participate Timelines for submitting Official International Travel Requests What is Unofficial International Travel and how to report it Review Questions Security and Awareness - while on International Travel Slide 37 Awareness Is The Key Is your traveler representing DOE, SNL, or NNSA? Are they conducting business on behalf of the U.S. Government? If so, this is Official International Travel, regardless of the funding. * All Sandians, Contractors and Consultants must obtain SNL and DOE approval for International Travel prior to departure. This includes travel to Canada and Mexico. International Travel Requests need to be submitted 37 calendar days prior to the departure date. * When in doubt, please contact the International Travel Office. Official International Travel Definition and Timelines Slide 38 Awareness Is The Key Official International Travel Reporting Requirements and Consequences Prepare and submit a trip report within 30 days of returning from official international travel. SNL and DOE have security requirements. You could be responsible for your own expenses. Report any incidents to Security Incident Management Program (SIMP). Incidents may result in an infraction on your permanent record. Slide 39 Awareness Is The Key Unofficial International Travel Definition and Reporting Requirements Personal Travel If you travel to a sensitive country, as defined by DOE, and you hold a clearance, you must report this unofficial international travel. Contact the International Travel Helpline to ask if the country you are traveling to is on the list. Unofficial International Travel to Non- sensitive countries does not need to be reported, but keep a record of it for clearance reinvestigation purposes. Slide 40 Awareness Is The Key Unofficial International Travel Reporting Sensitive Country Travel If you have access to SNLs internal web, go to either the International Travel Home Page or the Travel Home Page and click on the Travel Information System (TIS) link and enter your trip information. If you do not have access to SNLs internal web, contact the Org. you are working for so that the OAA can enter the information for you. The TIS will automatically notify the Counterintelligence (CI) Office. They require notification prior to your departure, or as soon as applicable. If you do not hear from CI before you depart, please contact them at 284-4760 or 844-3834 Slide 41 Awareness Is The Key If you travel to a Foreign Country for your own company and: You are not representing DOE, SNL, NNSA, or the U.S. Government. You are not funded by DOE, SNL, or the NNSA. Follow the guidelines for Unofficial Travel to Sensitive or Non Sensitive Countries. Official International Travel for Contractors Company Slide 42 Awareness Is The Key The Sandia International Travel Office, located in the International Programs Building (IPB), manages the approval process for all Official International Travel. International Travel Contacts Slide 43 Awareness Is The Key International Travel Review If you travel to Mexico or Canada on behalf of Sandia do you need to obtain DOE approval prior to departing? Slide 44 Awareness Is The Key International Travel Review Yes. Traveling on behalf of Sandia to a foreign country is considered Official International Travel. You will need to submit an International Travel Request. Slide 45 Awareness Is The Key International Travel Review You will be traveling to London on vacation. While you are there, can you meet with colleagues to discuss a Sandia project? Slide 46 Awareness Is The Key International Travel Review No. This travel is unofficial (personal). If you conduct SNL/DOE business, it is considered Official International Travel. You must have SNL and DOE approval before conducting business in a foreign country. Slide 47 Awareness Is The Key International Travel Review You are going to a sensitive country for a friends wedding. Do you need to report this? Slide 48 Awareness Is The Key International Travel Review Yes. If you are a Contractor who holds a clearance, your foreign travel is considered personal travel to a DOE Sensitive Country. Submit your Unofficial Sensitive International Travel information via the Travel Information System (TIS) or contact the CI office at 284-4760 or 844-3834. Slide 49 Awareness Is The Key International Travel Review You are going to a conference in Hawaii. Do you need to submit an International Travel Request? Slide 50 Slide 51 Awareness Is The Key Badge Overview New federal credential Badge Responsibilities Consequences regarding lost, stolen, and forgotten badges Unreturned badges Reminders Questions Slide 52 Awareness Is The Key NEW Federal Credential All Members of the Workforce who have a security clearance will be required to obtain a Personal Identity Verification (PIV) Federal Credential. Policies and procedures regarding issuance to sub-contractors are being developed. The federal credential will replace your current Standard DOE Badge. Slide 53 Awareness Is The Key NEW Federal Credential The new Federal Credentials are a result of the Homeland Security Presidential Directive 12 (HSPD-12). The directives key requirements is the PIV standard. Two phases: PIV-I and PIV-II. Slide 54 Awareness Is The Key NEW Federal Credential PIV-I Establishes a process for personal identity proofing, registration, and issuance of security badges for physical access to secure facilities. PIV-II Will supplement the PIV-I process by requiring the issuance of a new federal credential, which will include smart card technology. The new card will eventually provide identity verification for both physical and logical (cyber) access to secure facilities. Slide 55 Awareness Is The Key NEW Federal Credential Credentialing efforts are being implemented in each of the 637 agencies in the U.S. Government. Individuals from all federal agencies that visit/work at a Sandia site will use their federal credential to gain access. Slide 56 Awareness Is The Key NEW Federal Credential The credential may be used at other federal sites. All credentials will have start and end dates and will be valid for 5 years. This is a centralized effort across all U.S. Government agencies. Replacement of a federal credential will cost Sandia a minimum of $50.00 and will take 2 to 4 weeks to replace. Slide 57 Awareness Is The Key NEW Federal Credential The federal credentials WILL NOT use colors to indicate clearance level. Color differentiation on the credentials will be used to indicate the type of individual, as follows: Green stripecontractor White (no stripe)federal employee Blue stripeforeign national Slide 58 Awareness Is The Key NEW Federal Credential Only DOE agency individuals will have an indication of clearance level on their credential, in the form of a Q or L printed on the face of the credential. This includes all employees, consultants, and subcontractors of the DOE contractor-operated sites, such as Sandia. Slide 59 Awareness Is The Key NEW Federal Credential New policies are being evaluated by DOE and Sandia as to whether vouching will still be allowed. Additional guidance will be necessary to verify clearance levels at meetings. Until all individuals receive their federal credentials, Sandia will be in an especially vulnerable period because of possible confusion due to the different color coding scheme of the Federal Credential. Slide 60 Awareness Is The Key Badge Responsibilities Your Badge MUST be returned when: When you terminate. When you no longer require a clearance. When you leave on extended leave of 90 consecutive calendar days or more. When your access authorization will not be required. Slide 61 Awareness Is The Key Badge Responsibilities REMINDER: Your badge should NOT be used for personal identification outside of Sandia premises. Exceptions: SNL Federal Credit Union located on KAFB Gaining access onto to KAFB Slide 62 Awareness Is The Key Badge Responsibilities As of February 1, 2007, Sandia contractors/consultants are held accountable for: Multiple lost, forgotten, and stolen badges. Unreturned security badges. Slide 63 Awareness Is The Key Badge Responsibilities All badges are accountable items and the property of the U.S. Government. Contracting companies/consultants are responsible and accountable for ensuring that their employees properly protect, handle, and return badges. In the case of forgotten badges, the badge holder should attempt to retrieve his/her security badge before attempting to obtain a replacement. An individual will not be able to obtain any further badging services until the badge is accounted for. Slide 64 Awareness Is The Key Consequences for Lost, Stolen, and Forgotten Badges Consequences Associated with lost, stolen, forgotten, and unreturned badges are listed in CPR400.3.11, Access Control, Attachment A. Slide 65 Awareness Is The Key Consequences for Lost, Stolen, and Forgotten Badges First occurrence within 365 days A memo will be sent to the contractors Sandia Badge Requestor (SBR) and the SBRs immediate supervisor. Within 5 working days, the SBR must contact both the individual and his/her company and explain the importance of safeguarding access- authorization credentials. Evidence of this discussion must be documented. Slide 66 Awareness Is The Key Consequences for Lost, Stolen, and Forgotten Badges Second occurrence within 365 days A memo will be sent to the SBR and his/her immediate supervisor and the SBRs Senior Manager. A replacement badge will not be issued for 3 working days. However, if such a delay would negatively affect the mission, the SBRs Senior Manager may approve a deviationto be communicated to the Badge Office Team Lead. Slide 67 Awareness Is The Key Consequences for Lost, Stolen, and Forgotten Badges Second occurrence within 365 days, continued The SBR must obtain written evidence that corrective actions have been taken with the affected badge holder. The Senior Manager must provide written comments to the Badge Office Team Lead. If the SNL Badge Office Team Lead does not receive this documentation within 5 business days of the occurrence, the badge in question will be deactivated. Slide 68 Awareness Is The Key Consequences for Lost, Stolen, and Forgotten Badges Third occurrence within 365 days Notification to the SBR, his/her immediate supervisor, and either the Senior Manager or Center Director via memo. A replacement badge will not be issued for 7 working days. However, if such a delay would negatively affect the mission, the SBRs Senior Manager may approve a deviationto be communicated to the Badge Office Team Lead. Slide 69 Awareness Is The Key Consequences for Lost, Stolen, and Forgotten Badges Third occurrence within 365 days, continued The SBR must obtain written evidence that the contracting company has taken corrective actions with the affected badge holder. The Center Director must provide written comments to the Badge Office Team Lead. Slide 70 Awareness Is The Key Unreturned Contactor Badges If a contractor/consultant badge is not received in the Badge Office within 15 calendar days from the badges expiration date, the SBR will be notified. The SBR must attempt to contact the affected badge holder and recover the unreturned badge. The SBR must inform the subcontracting company of the badge-retrieval concern and of the associated administrative processes. If it is determined at this point that the badge cannot be recovered, the SBR must submit an SF 2730-LSB, Lost/Stolen Badge Report, t o the Badge Office.SF 2730-LSB Slide 71 Slide 72 Awareness Is The Key Clearance Office Overview Personnel Security Clearances (Access Authorizations) Contractor Pre-Processing Investigation Checks DOE Requirements DOE Drug Testing Requirement Termination of DOE Security Clearance Personnel Security Clearance Office Contacts FSO Workbook Overview Contractor Clearance Forms Review Clearance Office FAQ Sheet Review Slide 73 Awareness Is The Key Personnel Security Clearance (Access Authorization) Personnel security clearances authorize individuals access to classified information or matter, or Special Nuclear Material (SNM). Personnel security clearances are requested when the duties of a position requires access to classified information or matter, or SNM. Personnel security clearance applicants will be subject to Federal background investigations and must meet eligibility requirement for access to classified information or matter. Contractors to Sandia should submit applicants whose background offers the best prospect of obtaining a security clearance. Slide 74 Awareness Is The Key Personnel Security Clearance The average processing times for personnel security clearances range from 9 -13 months. An individuals active personnel security clearance must not be used as a determining factor for hiring, entering into a consultant agreement, or awarding a subcontract. Unless otherwise stipulated, the contractor will not be required to reimburse Sandia for Sandia costs associated with processing the contractors applicants or employees for personnel security clearances. Slide 75 Awareness Is The Key Contractor Pre-Processing Investigation Verification When an initial personnel security clearance is required, the contractor must conduct the following checks (as appropriate) to establish the individuals job qualifications and access authorization suitability before submitting the access authorization request to Sandia National Laboratories: 1. A credit check 2. Verification of a high school degree or diploma or a degree or diploma granted by an institution of higher learning within the past 5 years Slide 76 Awareness Is The Key Contractor Pre-Processing Investigation Verification 3.Contacts with listed references 4.Contacts with listed employers for the past 3 years (excluding employment of less than 60 working days duration, part-time employment, and craft/union employment) 5.Local law enforcement checks when such checks are not prohibited by state or local law, statute, or regulation, and when the individual has resided in the jurisdiction where the contractor is located Slide 77 Awareness Is The Key 6.Verification of Citizenship (recently updated on form) How to properly verify citizenship 7.Use of illegal drugs and/ or illegally used controlled drugs within last twelve months (recently added to form) Contractor Pre-Processing Investigation Verification Slide 78 Awareness Is The Key Contractor Pre-Processing Investigation Verification The cost associated with conducting a Contractor Pre-Processing Investigation Verification is basic overhead cost of doing business on government contracts. Thus, Sandia can not bear the cost of background screenings as a direct cost or line item under any type of Sandia contract. The cost for obtaining a background screening is minimal (background screening companies can be located on the internet and most typically charge less than $50/person). Slide 79 Awareness Is The Key New DOE Drug Testing Requirement All employees and contractors that require a security clearance (Q or L) and all employees and contractors in positions that currently have security clearances are considered to be in Testing Designated Positions which means they are subject to applicant, random, and for cause drug testing. Slide 80 Awareness Is The Key DOE Drug Testing Matrix Negative drug test results are required by DOE for the indicated clearance statuses below: Slide 81 Awareness Is The Key Termination of DOE Security Clearance DOE requires the SNL Clearance Office to terminate an individuals access authorization by providing DOE F 5631.29, Security Termination Statement, which is completed by the employee and manager whenever any of the following occur: Employment by the contractor is terminated. An access authorization is no longer required. The individual is on a leave of absence or on extended leave and will not require access to classified information or matter, or SNM, for 90 consecutive working days. Access to classified information or matter, or SNM, is no longer required due to transfer to a position not requiring such access. Slide 82 Awareness Is The Key Terminations The individual leaves for foreign travel, employment, assignment, education, or residence of more than 3 months duration, not involving official U.S. Government business. This requirement applies even if the individual remains employed by the contractor. Security Termination Statements are due within two days of the date of termination, or within two days from the date that it is known the clearance is no longer required. They must be signed by the person who is terminating. If a signature is not obtained, please include an explanation as to why. Slide 83 Awareness Is The Key Terminations SEC225, Termination Briefing, must be completed when individual is terminating. Include verification that SEC225 has been completed when submitting the Security Termination Statement by providing the clearance office the Contractor Administered Training form, or the training certificate from TEDS. Termination Statements and Debriefing forms can be faxed. Slide 84 Awareness Is The Key Clearance Office FAQ Sheet Review The Clearance Office has prepared a Clearance Office FAQ Sheet to help you successfully meet your clearance processing needs. Please refer to the FSO Website http://www.sandia.gov/fso/ Slide 85 Slide 86 Awareness Is The Key Objectives of Training Provide information on: Expanded new drug testing requirements Current Testing Designated Positions (TDP) Substance abuse policies and regulations Drug-testing process Consequences of a positive result Opportunities for assistance Benefits and contacts Slide 87 Awareness Is The Key Secretary of Energy Bodmans Decision Why - The change in policy is the result of a recent memorandum from Energy Secretary Bodman directing DOE sites to begin random drug testing for all positions that require access authorizations. Decision - based on a DOE Task Force Review of the Departmental Personnel Security Program completed in February 2007, and a desire to ensure the safety and security of workers, DOE sites, and surrounding communities, Bodman said in the memorandum. Slide 88 Awareness Is The Key Secretary of Energy Bodmans Decision I have determined that all Federal and contractor positions that require a security clearance (Q or L) and all employees in positions that currently have security clearances have the potential to significantly affect the environment, public health and safety, or national security. Slide 89 Awareness Is The Key New Drug Testing Requirements Pre-employment and clearance applicants. New Testing Designated Positions (TDP) include any Member of the Workforce who holds an L or Q clearance will be tested at a 30% random sampling rate. Nov. 1, 2007, DOE stopped accepting clearance request packages without drug testing results. Includes initial clearances and reinstatements. Slide 90 Awareness Is The Key New Drug Testing Requirements Clearance applicants who have used illegal drugs during the 12 months prior to completing their Federal Questionnaire for National Security Positions will be disqualified from consideration until they can demonstrate 12 consecutive months of non- use. Slide 91 Awareness Is The Key Current Testing Designated Positions General applicants to SNL Reasonable Suspicion Post accident in mandated programs Positions in which a Member of the Workforce would, if impaired, pose a special risk to others, to national security, or to the environment. Special Program Testing Human Reliability Program Commercial Drivers License (CDL) holders Crane and Hoist Operators Return-to-Duty and Follow-Up Slide 92 Awareness Is The Key Special Program Testing Human Reliability Program (HRP), tested at 100 percent annual rate. Crane and Hoist (CAH), tested at 100 percent annual rate. Commercial Driver License (CDL), tested at 50 percent annual rate. Slide 93 Awareness Is The Key Reasonable Suspicion Reasonable suspicion must be based on an articulable belief that an employee uses illegal drugs, drawn from particularized facts and reasonable inferences from those facts. Such a belief may be based upon, among other things: Observable phenomena, such as direct observation of: The use or possession of illegal drugs. The physical symptoms of being under the influence of drugs. A pattern of abnormal conduct or erratic behavior. Slide 94 Awareness Is The Key Reasonable Suspicion Arrest for a conviction of a drug related offense, or the identification of the individual as the focus of a criminal investigation into illegal drug possession use, or trafficking. Information that is either provided by a reliable and credible source or is independently corroborated. Evidence that an employee has tampered with a drug test. Temperature of the urine specimen is outside the range of 32.5-37.7 degrees centigrade or 90.5-99.8 degrees Fahrenheit. On-site donors must be accompanied to the alcohol testing/specimen collections site in Health Services Building 831. Slide 95 Awareness Is The Key Post-Accident Drug Testing for Special Programs Required for a reportable accident involving a commercial motor vehicle onsite or on a highway interstate or intrastate commerce in which: A fatality occurs. The driver receives a citation and the accident involved: Bodily injury resulting in immediate medical treatment. Disabling damage requiring vehicle to be towed. Slide 96 Awareness Is The Key CDL and CAH Post Accident Test as soon as possible, within 2 hours (no later than 8 hours) for alcohol and within 32 hours for controlled substances, document if not conducted. Driver is to remain readily available for testing until completed or a decision is made otherwise. Post-accident information cards and drug and alcohol testing forms are provided to drivers. Accident notification process goes through SNLs Emergency Operations Center (EOC). Slide 97 Awareness Is The Key Return to Duty and Follow Up Conducted after a Department of Transportation (DOT) drug/alcohol violation and evaluation of a Substance Abuse Professional (SAP) prior to resuming safety- sensitive functions. Slide 98 Awareness Is The Key The Process for New TDPs Verbal notifications are made to randomly selected Members of the Workforce during operational hours. A selected person must report to a designated collection site within two hours of receipt of the call. Verbal notification will include directions to the nearest collection center. Such centers are being established at SNL/NM and SNL/CA, and at nearby government or private medical facilities for other Sandia sites. Slide 99 Awareness Is The Key Slide 100 The Process for New TDPs Out-of-town clearance holders will have 24 hours to report to a designated collection site. Failure to report to an approved clinic the day of notification, or refusal to provide a specimen, will result in measures equal to those for a positive drug test. If a notified Member of the Workforce has a valid, verified excuse for not being able to report for testing, his or her name will be returned to the random selection database. This may include being on travel or vacation, or being out ill, at the time of notification. Slide 101 Awareness Is The Key The Process Urine specimens will be sent to a federally certified private laboratory for assay. If a lab result indicates the presence of drugs in a specimen, the clearance holder will have an opportunity to discuss the result with a Medical Review Officer (MRO). The MRO will determine whether the result is reported as either positive or negative. As part of the testing process, a selected Member of the Workforce will have an opportunity to report the use of prescription medications or other substances if the result is positive. Slide 102 Awareness Is The Key The Process The immediate consequences of an MRO-confirmed positive drug test include: Individuals badge being confiscated by Personnel Security. Individual removed from his/her TDP duties. Other disciplinary actions, which can include termination, would follow due-process procedures. A contractor whose result is confirmed as positive must be removed from the performance of the Sandia contract immediately. Slide 103 Awareness Is The Key The Process Split Sample Per 10 CFR 707, Workplace Substance Abuse Programs at DOE Sites, Section 707.14, Action pursuant to a determination of illegal drug use: An individual who has been notified of a positive test result may request a retest of the same sample at the same or another certified laboratory. The individual must bear the costs of transportation and/or testing of the specimen. Sandia will inform Members of the Workforce of their right to request a retest under the provisions of this paragraph. Slide 104 Awareness Is The Key The Process Members of the Workforce will be tested for the following Marijuana (THC) Cocaine Opiates Phencyclidine (PCP) Amphetamines, including methamphetamines Note : Some prescription medications fall in these categories; illegally using prescription medications will result in positive test result. Slide 105 Awareness Is The Key Key Points Summary A recent DOE decision requires random drug testing of all Members of the Workforce who have Q or L clearances. 30% of the cleared Sandia population will be randomly selected and tested each year. Notifications to randomly selected Members of the Workforce will begin on October 1, 2008. This policy change is the result of a DOE determination that all workers who require security clearances have the potential to significantly affect the environment, public health and safety, or national security. Slide 106 Awareness Is The Key Key Points Summary Once notified, a Member of the Workforce will report to the nearest certified testing facility and provide a urine specimen within two hours of receiving notification. Out-of-town clearance holders will have 24 hours to report to the nearest collection center to provide a urine specimen. Selection does not change the odds that someone will be selected in the future. Consequences of a verified-positive drug test may include termination. Slide 107 Awareness Is The Key Urine Specimen Collection Federal Drug Testing Custody and Control Form (CCF) used to document process. Instructions printed on back of donors copy of CCF. Participant: Will need to provide photo ID at collection site. Will be asked to remove outer garments, empty and display pockets, and leave bag/pack/briefcase outside the restroom. Will be instructed to rinse hands prior to specimen collection. Must attempt to provide specimen immediately upon arrival. Slide 108 Awareness Is The Key Urine Specimen Collection Given privacy in the restroom, unless observed urine is required (e.g., temperature out of range, evidence of tampering). Individual instructed to collect 45mLs urine in collection container. Sample checked for temperature and appearance. Sample split into two containers and sealed and initialed while individual is present. CCF is signed by everyone who handles the sample, specimen shipped to testing laboratory. Slide 109 Awareness Is The Key Laboratory Analysis Two Steps Screening Gas Chromatograph Mass Spectrometry (GC/MS) Confirmation Split specimen Bottle A Owned by employer Bottle B Owned by employee Only drug-testing laboratories approved as meeting the Health and Human Services (HHS) laboratory certification are used. Slide 110 Awareness Is The Key Problems in Drug Testing Insufficient urine (shy bladder) Donor urged to drink up to 40oz fluid in up to a 3 hour period and provide sufficient amount. Physician makes determination if medical condition exists. Lab results indicating a violation. Drug use, substitution, or adulteration. Slide 111 Awareness Is The Key Review of Drug Test Results Interview with MRO is conducted for non- negative tests. Individual has 72 hours to request a test of a split specimen. Circumstances without an interview. Employee declines opportunity to discuss test. Slide 112 Awareness Is The Key Prohibitions for Controlled Substances Use of any drug (except under the direction of a licensed medical practitioner and only if he/she has advised the driver that the drug will NOT adversely affect the Member of the Workforces ability to safely operate a commercial motor vehicle) Testing positive for drugs Refusal to take a required test Slide 113 Awareness Is The Key What is a Refusal? A refusal is a Positive test and occurs when the individual: Fails to appear within specified time. Fails to remain at the testing site until the testing process is complete. Fails to provide: A urine specimen for drug testing. Enough urine for drug testing. Slide 114 Awareness Is The Key What is a Refusal? In the case of a directly observed or monitored collection in a drug test: Fails to permit the observation or monitoring of his/her provision of the specimen. Fails or declines taking a second drug test when directed by an employer or collector. Slide 115 Awareness Is The Key What is a Refusal? Fails to undergo a medical examination or evaluation as part of: The verification process for drug testing. Shy bladder procedures for drug testing. Insufficient breath procedures for alcohol testing. Fails to cooperate with any part of the testing process. MRO reports verified adulterants or substituted result. Slide 116 Awareness Is The Key Consequences The immediate consequences of a confirmed positive drug test include: The individuals badge is confiscated and the person being removed from his or her TDP duties. Other disciplinary actions would follow, including possible termination. Slide 117 Awareness Is The Key Consequences (continued) Contractors will promptly be removed from the performance of the Sandia contract. Failure to report to a testing center within indicated time frame of notification, or refusal to provide a specimen, will result in measures equal to those for a positive drug test. Time away from work may be vacation time or personal leave time if such is available; otherwise it will be considered leave of absence without pay. Slide 118 Awareness Is The Key Frequently Asked Questions Will you test positive if you are around folks who smoke pot or crack? Do over-the-counter (OTC) medicines cause a positive drug tests? How accurate is a drug test? Slide 119 Awareness Is The Key Frequently Asked Questions Will I test positive if Im taking a prescribed controlled substance? The answer is two fold: There are certain cut off levels that are used in testing, so it depends on the amount detected. The MRO is to review all non-negative tests and verify if there is a legitimate reason for a person to have a positive test. Slide 120 Awareness Is The Key Frequently Asked Questions If I substitute someone elses urine and get caught will I be in trouble? If I eat (or drink) a hemp product will I test positive for marijuana? Slide 121 Awareness Is The Key Speak up for Safety Drug and alcohol testing is for employee safety. Speak up when you have questions or concerns. Know your company policy. Educate yourself on drug and alcohol abuse and misuse. Slide 122 Awareness Is The Key Employee Assistance Program (EAP) The EAP is an assessment, short term counseling, and/or referral service. It provides assistance for a variety of problems including personal, family, and substance abuse. Employee Assistance Program (505) 845-9704 (505) 284-6780 Slide 123 Awareness Is The Key Points of Contact Site Occupational Medical Director (SOMD) (505) 845-8157 California Site Physician (925) 294-2112 Slide 124 Awareness Is The Key Points of Contact SNL/NM Senior Manager of Information Security, Personnel Security, and Training (505) 284-5031 Drug Testing Program Administrators (505) 844-4999 Badge Office/Human Reliability Program (505) 284-5870 Slide 125 Awareness Is The Key Health Care Benefits For SNL Employees CIGNA Premier PPO, CIGNA In-Network Plan, United Health Care Premier PPO and United Health Care Standard PPO offer: 30 days of residential treatment coverage per year with a maximum of: 120 days (Premier). 90 days (Standard) per 5 year period. Unlimited outpatient visits (if coded with a diagnosis by provider) 85% coverage. Slide 126 Awareness Is The Key Questions & Answers Thank You Slide 127 Slide 128 Awareness Is The Key Topics We Will Cover What is FOCI and When does it Apply Rules for FOCI Key Management Personnel (KMP) Requirements Facility Clearance Suspensions E-FOCI E-FOCI Lessons Learned Feed back from E- FOCI/KMP Requirements KMP Workflow Chart Security Contacts Slide 129 Awareness Is The Key What is FOCI and When does it Apply? 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, Chg. 1, Safeguards and Security Program, Chapter VI, Section 1 Foreign Ownership, Control or Influence (FOCI) (f-cee or f-ki) Slide 130 Awareness Is The Key What is FOCI and When does it Apply FOCI is a DOE background check on a company to determine any foreign: Ownership, Control, or Influence If your company subcontracts, your subcontract company must also complete a FOCI package and also receive a favorable DOE determination. Upon favorable FOCI determination by DOE, a facility clearance is granted. Facility clearance is required in order to support personnel clearances needed to perform the work under contractual agreement with Sandia. Slide 131 Awareness Is The Key Rules for FOCI FOCI re-certification is required every 5 years or as significant changes occur. FOCI certification remains active as long as contractor/supplier maintains active contracts and access authorizations (clearances). Annual FOCI certification is required to be filed each year. KMP are required to maintain active DOE clearances as long as the company is FOCI certified. KMP are determined by DOE. All FOCI information is provided through the Designated Responsible Office (DRO) SNL/NM or SNL/CA. Slide 132 Awareness Is The Key KMP Requirements Identifying a KMP: Certain officials (typically the owners, officers, director, partners, regents, trustees, and/or executive personnel [KMP]) must be cleared to the level of the Facility Clearance (FCL). Based on their need for access, as determined by the DOE cognizant security authority. A few reasons KMPs are required to be cleared: Influence over the company Decision making Act on of behalf of the President Slide 133 Awareness Is The Key KMP Workflow Chart Slide 134 Awareness Is The Key Facility Clearance Suspensions What causes this? Company Merger/Buyout Company out of compliance with: Annual Certification/5 Year Recertification/Significant Change KMP are not in process for a clearance or not cleared at the correct level Suspension no new contracts can be placed with the company (that require DOE Clearances) or no new DOE clearances can be processed. How to resolve the suspension: Submit appropriate paperwork to SNL for Merger/Buyout Submit Annual Certification/5 Year Recertification/Significant Change through E-FOCI Submit Badge paperwork for KMPs Slide 135 Awareness Is The Key E-FOCI SNL provides an e-mail to the company inviting them to the system Company selects either: Registered User Login. New User Registration. Slide 136 Awareness Is The Key E-FOCI Lessons Learned One FOCI administrator per company (usually FSO). E-FOCI only allows one package type to be in process at any given time. Submit originals for the KMP List (formerly know as Owners, Officers, Directors, and Executive Personnel [OODEP]) and Standard Form 328 (SF 328) to the SNL FOCI Team. Originals required by DOE. Full middle names on KMP list. Additional information from company must be scanned and uploaded. DOE will not accept hard copies. Slide 137 Awareness Is The Key Feedback from E-FOCI/KMP Requirements We would like your feedback on using E-FOCI and KMP requirements PRIZES Slide 138 Awareness Is The Key Security Contacts Entity Account: foci@sandia.govfoci@sandia.gov FOCI Program Coordinator Phone: 505-845-0428 Fax: 505-284-2852 FOCI Program Assistant Phone: 505-284-2013 Fax: 505-284-2852 Slide 139 Slide 140 Awareness Is The Key Reporting Requirements The role Sandia expects you to play The role your company expects you to play Slide 141 Awareness Is The Key Reporting Requirements Inform your personnel: Initially, and Annually. Report your concerns. Whats your companys policy? Should you know? What should you do with the information? Slide 142 Awareness Is The Key Wheres the information? Slide 143 Awareness Is The Key Briefings Why are they so important? They are mandated by DOE. They are meant to make you aware of your security responsibilities. Slide 144 Awareness Is The Key Initial Security Briefing (SEC050) The Visitor Environment, Safety & Health (ES&H) Briefing has been added to SEC050 SEC050 video must be viewed by anyone requiring a badge for 31 days or more SEC050 video required by anyone requiring a clearance For individuals visiting for 30 days or less and not requiring a clearance, use SA 2730-BRF, Initial Security Briefing Form Slide 145 Awareness Is The Key Annual Security Refresher Briefing (SEC100) SEC100, Annual Security Refresher Briefing, is revised each year based on current security concerns and requirements. Contains module questions, no quiz Yes, sometimes you will see a subject repeated year after year Slide 146 Awareness Is The Key Termination Briefing (SEC225) Two methods Video Security Termination Briefing Form (SF 2900-STB) Individual fails to complete briefing We prefer individual complete briefing, but well accept a copy of the signed Termination Statement Individual also fails to read and sign DOE Termination Statement (DOE F 5631.29) Write a valid explanation on the Termination Statement as to why company failed to obtain individuals signature Slide 147 Awareness Is The Key Your Concerns Have you sent training completion records in on time only to find they were never recorded? Do you feel that your Sandia sponsor is unreasonable? Do you feel that no one listens to you? Slide 148 Awareness Is The Key FSO Quarterly Newsletter Includes the latest requirements and changes Resurrected based on requests from FSOs Since October 2005 Slide 149 Awareness Is The Key Contractor Toolcart http://www.sandia.gov/FSO/index.htm Slide 150 Awareness Is The Key Briefings Invite us to your next meeting! Dont want us? Someone else better? We can help! Slide 151 Awareness Is The Key The Key Keeping with our theme Just who is the key to Awareness at your company? Slide 152 Awareness Is The Key Unlocking the Door Are you passing down requirements? Are you sharing information we pass on to you? Are you reinforcing the Awareness message? Do you ask your employees for input? Do you give us feedback? Slide 153 Awareness Is The Key Now do you know who the key is? Slide 154 Slide 155 Awareness Is The Key Slide 156 Slide 157 Slide 158 Briefings Continued Slide 159 Awareness Is The Key Briefings Continued Slide 160 Awareness Is The Key Slide 161 Slide 162 Slide 163