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: Department of Energy Order (DOE O) 470.1, Safeguards and Security Program, Change 1, Chapter VI, Section 1
The DOE conducts a background check to determine FOCI, based on the information the company provides through the e-FOCI website: https://foci.td.anl.gov. Upon favorable FOCI certification by DOE, a facility clearance is granted. Facility cleareance is required in order to support personnel clearances needed to perform the work under contractual agreement with Sandia.
If your company subcontracts, that company must also complete a FOCI package and also receive a favorable DOE certification.
For more information, e-mail us at: FOCI@sandia.gov. At SNL/CA, e-mail CAFOCI@sandia.gov.
Summary of FOCI Process/Requirements
DOE Rules for FOCI
- FOCI re-certification is required every 5 years or as significant changes occur.
- FOCI remains active as long as contractor/supplier maintains active contracts and access authorizations (clearances).
- Annual FOCI update must be filed.
- Key Management Personnel (KMPs) are required to maintain an active DOE clearance as long as the company is FOCI certified. KMPs are determined by DOE.
- All FOCI information is provided through the Designated Responsible Office (DRO) – Sandia National Laboratories/New Mexico or California
Key Management Personnel (KMP)
New DOE Manual requirements define company KMPs as:
- Sole Proprietorships = Owner and Facility Security officer (FSO). FSO is a DOE appointed position as required for FOCI.
- Corporations, Non-profit Organizations = President, Vice Presidents, CEO, Chairman of the Board and FSO.
- Partnerships = Managing partner and FSO.
- Limited Liability Company = Owners/Managers, FSO
- Collegues and Universities = CEO, Chairman of the Board and FSO.
Note: The company’s DOE FOCI approval will be nullified if any of the KMP holding the above positions are unclearable or choose not to be cleared.
Significant Changes for FOCI
Any changes to the questions on the Standard Form 328, "Certificate Pertaining to Foreign Interests," are significant to the company's FOCI certification. Report all these significant changes immediately on the e-FOCI website under the "Significant Change" tab.
- Foreign ownership = over the company or by the company
- Non-U.S. citizens serving on the Board of the company
- Foreign power in the capacity of elections, appointed members, tenure
- Foreign agreements
- Foreign obligations or liability
- Foreign sources of income
- Foreign voting securities
- Any company officer or executive serving as a consultant to foreign person(s)
- Foreign influence on company operations
- Any ownership or control changes for the company.
- A previously reported threshold or factor that was favorably evaluated by DOE has increased requiring a determination by the DOE.
- Increase in 5% or more, or
- Shift of 5% or more by country location of end user (for revenue or income) or lenders (i.e., indebtedness).
Anticipated Changes for FOCI
Report all anticipated changes immediately on the e-FOCI website under the "Significant Change" tab:
- Any termination, merger, or sale that impacts the company’s ability to perform contract obligations to Sandia.
- Imminent adjudication or re-organization in bankruptcy.
- Any negotiations of sale to non-U.S. citizens.
- Any discussions or consultations with foreign interests that expect to lead to an increase of FOCI.
General Changes for FOCI
Report all general changes immediately on the e-FOCI website under the "Significant Change" tab:
- Company name change
- Company address or phone number change
- Re-designation of FSO
- Any KMP changes for the company that have been previously approved by DOE
Annual FOCI Update and 5-Year Recertification
As required by DOE, an Annual FOCI Update must be submitted on e-FOCI. Every five years, a FOCI Recertification must be submitted on e-FOCI.
FOCI Process (Powerpoint)