§ 117.55 - Responsibilities.

§ 117.55 Responsibilities.

(a) The Under Secretary of Defense for Intelligence (USD(I)) will, in accordance with DoD Directive 5143.01, “Under Secretary of Defense for Intelligence (USD(I))” (available at http://www.dtic.mil/whs/directives/corres/pdf/514301p.pdf) and DoD Instruction 5220.22, “National Industrial Security Program” (see http://www.dtic.mil/whs/directives/corres/pdf/522022p.pdf):

(1) Oversee policy and management of the NISP, to include FOCI matters.

(2) Direct, administer, and oversee the FOCI provisions of the NISP to ensure that the program is efficient and consistently implemented.

(3) Provide additional guidance regarding FOCI matters by memorandum as needed.

(4) Coordinate with the Under Secretary of Defense for Policy (USD(P)) and the Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L)) on matters under their cognizance that affect the NISP consistent with paragraphs (c) and (d) of this section.

(b) The Director, Defense Security Service (DSS), in addition to the responsibilities in paragraph (d) of this section, under the authority, direction, and control of the USD(I) will in accordance with DoD Instruction 5220.22, “National Industrial Security Program” (available at http://www.dtic.mil/whs/directives/corres/pdf/522022p.pdf).

(1) Make FOCI determinations on a case-by-case basis for U.S. contractors or companies under consideration for an FCL under the NISP.

(2) Collect information necessary to examine the source, nature, and extent of a company's ownership, control, or influence by foreign interests.

(3) Determine, on behalf of the GCAs, whether a U.S. company is under FOCI to such a degree that the granting of an FCL would be inconsistent with the U.S. national security interests.

(4) Determine the security measures necessary to negate or mitigate FOCI and make recommendations to the U.S. company and to those GCAs with a contractual interest or other equity in the matter.

(5) Provide GCAs a guide to clarify their roles and responsibilities with respect to the FOCI process and to national interest determinations (NIDs), in particular. Update the guide, as needed, in coordination with the Office of the Under Secretary of Defense for Intelligence (OUSD(I)) Security Directorate.

(6) Determine a U.S. company's eligibility for an FCL on an initial and continuing basis depending on recurring security reviews and other interactions.

(7) Develop proposed changes to maintain the currency and effectiveness of this part. Forward proposed changes and associated justification to the OUSD(I) Security Directorate for consideration as future changes to this part.

(8) Consider and, as warranted, approve requests for exception to DoD 5220.22-M in consultation with affected GCAs for specific contractors and for specific periods of time (such as, to the completion date of a contract) when a contractor is unable to comply with the requirements of DoD 5220.22-M. Consideration of such requests will include an evaluation of any proposed alternative procedures with supporting justification and coordination as applicable, consistent with paragraph (a)(4) of this section.

(9) Coordinate and receive the concurrence of the OUSD(I) Security Directorate on requests for exception to DoD 5220.22-M and consistent with paragraph (a)(4) of this section when any of the following provisions apply:

(i) The request exceeds the authority of the Director, DSS as defined in this section;

(ii) The proposed exception applies to more than one contractor location; or,

(iii) The exception would be contrary to U.S. national policy or international agreements, including those relating to foreign government information (FGI) and international issues under the cognizance of the USD(P) with coordination as applicable, consistent with paragraph (a)(4) of this section.

(c) The USD(P) will, in accordance with DoD Directive 5111.1, “Under Secretary of Defense for Policy (USD(P))” (available at http://www.dtic.mil/whs/directives/corres/pdf/511101p.pdf), advise the USD(I) and DSS on the foreign relations and international security aspects of FOCI, including FGI, foreign disclosures of U.S. classified information, exports of defense articles and technical data, security arrangements for DoD international programs, North Atlantic Treaty Organization security, and international agreements.

(d) The USD(AT&L) will, in accordance with DoD Directive 5134.01, “Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L))” (available at http://www.dtic.mil/whs/directives/corres/pdf/513401p.pdf):

(1) Advise the USD(I) on the development and implementation of NISP policies, in accordance with DoD Instruction 5220.22.

(2) Ensure that DoD Components establish and maintain a record capturing the current and legitimate need for access to classified information by contractors in the Defense Industrial Base.

(3) Ensure that acquisition elements of DoD Components comply with the applicable provisions of DoD 5220.22-M.

(e) The Director, DoD SAP Central Office (SAPCO) will, in accordance with DoD Directive 5205.07, “Special Access Program (SAP) Policy” (available at http://www.dtic.mil/whs/directives/corres/pdf/520507p.pdf), notify DSS of the existence of SAP equities when DSS considers the acceptability of a contractor's FOCI action plan. In addition, the Director, DoD SAPCO, will develop procedures for the consideration of a NID when a contractor cleared under a Special Security Agreement (SSA) requires access to an unacknowledged Special Access Program (SAP).

(f) The Heads of the Components will:

(1) Oversee compliance by GCA personnel with applicable procedures identified in this subpart.

(2) Designate in writing an individual who is authorized to make decisions and provide a coordinated GCA position on FOCI matters to DSS within timelines established in this part.

(3) Submit proposed changes to DoD 5220.22-M, as deemed appropriate, to the OUSD(I) Security Directorate.