12 FAM 360
CONSTRUCTION SECURITY CERTIFICATION PROGRAM
(CT:DS-376; 02-22-2022)
(Office of Origin: DS/C/PSP)
12 FAM 361 SCOPE AND AUTHORITIES
12 FAM 361.1 Purpose
(CT:DS-266; 12-05-2016)
a. The Construction Security Certification Program assures Congress that the Department of State has taken appropriate and adequate steps to ensure the security of a construction project before:
(1) Undertaking any new construction or major renovation project in any facility abroad intended for the storage of classified materials or the conduct of classified activities; or
(2) Approving occupancy of a similar facility for which construction or major renovations began before December 22, 1987.
b. The Certification Program also assures Congress that a plan is in place for the continued evaluation and maintenance of adequate security at such facility.
c. For such facilities, the Department will notify the proponent (i.e., post, Department organization, or tenant agency) of a project when the appropriate certification action has been completed. Upon completion of the security certification action, construction of the classified facility typically commences with a full Notice to Proceed for Construction issued to the contractor by the contracting officer. The contractor (builder) will be given the full notice to proceed (NTP) only after the certification is provided.
d. The Department considers activities such as site preparation, ground stabilization, excavations for building foundations, or the construction of the perimeter barriers and temporary or unclassified buildings separate from the construction of classified facilities, as contemplated by Public Law 100-204, Sec. 160(a). The directive to proceed with such activities is conveyed to the contractor via a Limited Notice to Proceed (LNTP) issued by the contracting officer. Activities that may commence under the LNTP are specially noted in the LNTP statement.
e. LNTPs may be granted prior to certification in certain circumstances not related to classified activities. On a case-by-case basis, OBO may request and DS may approve execution of work prior to certification via official correspondence. The directive to proceed with such activities is conveyed to the contractor via an LNTP issued by the contracting officer. Activities that may commence under the LNTP are specifically noted in the LNTP statement.
f. The following tasks may be permitted upon issuance of a LNTP:
(1) Design, particularly for design/build projects;
(2) Contractor mobilization;
(3) Site preparation, including soil stabilization, remediation, clearing, rough grading, and excavation;
(4) Perimeter security to include permanent compound access control structures; and
(5) Piles, drilled piers, and caissons are considered part of site preparation and soil stabilization and are not viewed as part of the building.
g. .A Memorandum of Understanding (MOU) concerning collaboration, certification, and accreditation among OBO, DS, and the Center for Security Evaluation (CSE) in the Office of the Director for National Intelligence (ODNI) exists to establish the responsibilities and procedures for security oversight of projects at such facilities (see 12 FAM 361, Exhibit 361.3).
12 FAM 361.2 Applicability
(CT:DS-266; 12-05-2016)
All new construction or renovation projects in a facility under chief of mission (COM) authority are subject to either certification to Congress or internal Departmental confirmation when the facility is intended for the storage of classified materials or the conduct of classified activities and such a project affects a controlled access area (CAA).
12 FAM 361.3 Responsibility
(CT:DS-266; 12-05-2016)
a. The COM is responsible for ensuring that no construction project subject to either certification or confirmation is initiated without certification or confirmation approval.
b. The proponent of a project covered by 12 FAM 361.2, paragraph a, is responsible for providing the Bureau of Overseas Buildings Operations’ Office of Security Management (OBO/CFSM/SM) with complete project information. This information is used to prepare the construction security plan (CSP).
c. After assembling complete information on the project, OBO/CFSM/SM will provide the Certification, Accreditation, Transit Security Branch (DS/PSD/CAT) with the CSP and other required data. The CSP will be project specific and will include a statement of work, labor schedule, and procurement plan. Document, personnel, and procedural security requirements are also to be included in the CSP, along with any additional information necessary to provide a clear security overview of the project.
d. Design approval is initiated with the submission of the CSP and the design documents, which are reviewed by DS and the Center for Security Evaluation (CSE). The design certification review is a formal task process that identifies and resolves all remaining concerns that must be incorporated into the construction documents and is an integral part of the overall project certification process. The full NTP for construction requires project certification.
e. After mandatory consultation with the Director of National Intelligence (DNI), DS/PSD/CAT will:
(1) Determine the need for a certification or internal confirmation;
(2) Prepare a Congressional certification or internal confirmation package that includes a description of work previously permitted under LNTP; and
(3) Coordinate the Congressional certification or internal confirmation action.
f. 12 FAM 361 Exhibit 361.3 (see below) Memorandum of Understanding Concerning Collaboration, Certification, and Accreditation details the responsibilities of OBO, DS, and the Center for Security Evaluation.
12 FAM 361.4 Authorities
(TL:DS-82; 07-16-2002)
The requirement for a construction security certification program is established by Public Law 100-204, the Foreign Relations Authorization Act for Fiscal Years 1988 and 1989, Section 160, as amended by Public Law 101- 246, the Foreign Relations Authorization Act, Fiscal Year 1990 and 1991, Section 135 (22 U.S.C. Section 4851 note).
12 FAM 362 CERTIFICATION ACTION
12 FAM 362.1 Congressional Certification
(CT:DS-376; 02-22-2022)
a. The construction security of all construction or renovation projects described in 12 FAM 361.2, which costs more than $5 million, including all new facilities (i.e., New Embassy Compounds (NECs)), will be certified by the Secretary to the Senate Foreign Relations Committee and the House Foreign Affairs Committee. This authority has also been delegated to the Under Secretary for Management (M).
b. The Secretary, after consultation with the DNI, certifies the following:
(1) Appropriate and adequate steps have been taken to ensure the security of the construction project (including an evaluation of how all security-related factors with respect to such project are being addressed);
(2) The facility resulting from such project incorporates:
(a) Adequate measures for protecting classified information and national security-related activities;
(b) Adequate protection for the personnel working in the facility; and
(3) A plan has been put into place for the continued evaluation and maintenance of adequate security at such facility. The plan shall specify the physical security methods and technical countermeasures necessary to ensure secure operations, including any personnel requirements for such purposes.
12 FAM 362.2 Department Confirmation
(CT:DS-376; 02-22-2022)
a. All construction or renovation projects will be confirmed, depending on the nature of the project, by the Assistant Secretary for Diplomatic Security or a designate, to the file if they are covered by 12 FAM 361.2 paragraph a, and:
(1) Costs $5 million or less, but equal to or more than $250,000; or
(2) Costs less than $250,000 but requires more than 15 days to complete; or
(3) Post or the Department believes the project to be of such security significance that it should be reported to the Department.
b. Departmental confirmation requires the same information required for congressional certification. See 12 FAM 362.1 paragraph b.
c. The plan must be made available to security engineering officers (SEOs) for the conduct of a technical inspection of the project, if appropriate.
12 FAM 363 EMERGENCIES
(CT:DS-266; 12-05-2016)
a. In the event of an emergency that threatens national security activities or information, life or safety, including structural damage to a building, emergency repairs may be made in a CAA without prior Department notification. These repairs will be limited to those necessary to remove the immediate danger.
b. The regional security officer (RSO) or post security officer (PSO) will notify DS/PSD/CAT and OBO/CFSM/SM, and the responsible engineering services center by immediate cable. If the RSO is not resident at post, the PSO will also notify the RSO by immediate cable. The cable(s) will include:
(1) Nature of the emergency;
(2) Extent of repairs;
(3) Who made the repairs, (e.g., general services officer (GSO,) Foreign Service nationals, host-country contractors); and
(4) A synopsis of security measures taken to ensure the continued integrity of the CAA (e.g., escorts, surveillance, etc.).
c. Emergency repair work is not exempt from certification or confirmation action. Therefore, the security procedures implemented must be adequate to permit certification or confirmation after the fact.
12 FAM 364 THROUGH 369 UNASSIGNED
12 FAM 361 EXHIBIT 361.3
Memorandum of Understanding Concerning Collaboration, Certification and
Accreditation Among The Bureau of Overseas Buildings Operations, The Bureau of
Diplomatic Security, and The Center for Security Evaluation
(CT:DS-266; 12-05-2016)
Casey Jones
Deputy Director
Bureau of Overseas Buildings Operations
Wayne Ashbery
Deputy Assistant Secretary
Bureau of Diplomatic Security
Deborah Eggleston
Assistant Director/NCSC, Center for Security Evaluation
Office of the Director of National Intelligence
July 2, 2015
INTRODUCTION
Purpose
This Memorandum of Understanding (MOU) codifies and formalizes the existing Program for Congressional Certification of new construction and/or major renovation projects in foreign facilities intended for the storage of classified materials or the conduct of classified activities per Public Law 100-204 Sec 160, and for the protection of personnel in unclassified office buildings and spaces. The processes, procedures, and responsibilities of the parties to this MOU are specified herein. There may be non-typical or special projects such as major renovations or small projects that will need to deviate somewhat from the processes depicted here, and those projects and their requirements will need to be identified at their inception.
Legal Mandate
Public Law 100-204 of 1987 requires, that after consultation with the Director of Central Intelligence (now the Director of National Intelligence), the Secretary shall certify to Congress that:
(1) Appropriate and adequate steps have been taken to ensure the security of the construction project; and
(2) The facility resulting from such project incorporates:
(a) Adequate measures for protecting classified information and national security related activities;
(b) Adequate protection for the personnel working in the facility; and
(c) A plan has been put into place for the continued evaluation and maintenance of adequate security at such a facility. The plan shall specify the physical security methods and technical countermeasures necessary to ensure secure operations, including any personnel requirements for such purposes.
Applicability
Certification is required of any facility involving new construction and/or major renovation projects in foreign facilities intended for the storage of classified materials or the conduct of classified activities. This MOU equally applies to all project delivery methods including design-build and design-bid-build.
Parties to the Agreement and Authority
Parties to this MOU are:
(1) The Bureau of Overseas Buildings Operations (OBO);
(2) The Bureau of Diplomatic Security (DS);
(3) The Office of the Director, National Counter-Intelligence and Security Center (NCSC), Center for Security Evaluation (CSE); and
(4) U.S. Department of State Foreign Affairs Manual Volume 15 FAM 100 authorizes the Bureau of Overseas Buildings Operations to act in the acquisition, design, construction, furnishing, management, maintenance, disposal, and reporting of real property abroad for the Department of State and all foreign affairs agencies represented at posts.
Statutory authority for the regulations prescribed in 15 FAM is found in legislation, including: The Foreign Service Buildings Act of 1926, (and amendments). By directive (1 FAM 280), authority has been given to the Bureau of Overseas Buildings Operations (OBO), which acts as the single real property manager (SRPM) for nonmilitary U.S. Government real property abroad.
The Omnibus Diplomatic Security and Anti-Terrorism Act of 1987 authorizes the Bureau of Diplomatic Security to be responsible for Security and Protective Operations Abroad. The scope of the DS responsibility includes:
(1) Establishment and operation of post security and protective functions abroad and
(2) Development and implementation of communications, computer, and information security.
The Director of National Intelligence acts in consultation to certify as required by Public Law 100-204.
All parties equally share the responsibility associated with committing U.S. government funds to execute design and construction projects of diplomatic facilities. As such, all parties mutually agree to ensure that the progressive approvals are supportive of the project’s schedule and budget goals.
Overview of the Process
The process of acquiring land, designing and constructing facilities, and accreditation of those facilities, is a step-by-step progression of cumulative decisions and commitments to each project. At each stage, progress is made by a successive set of approvals made at finer and finer levels of project definition. Prior to the start of construction, the project must be certified by DS, in consultation with CSE, to Congress that the resulting facility will meet all applicable Overseas Security Policy Board (OSPB) security requirements in accordance with PL 100-204.
During design, OBO contracts with A/E firms to develop designs meeting security and functional requirements. OBO requires A/E contractors to provide quality control of designs to satisfy security criteria, and to deliver designs for evaluation by DS. DS serves to provide security oversight to ensure that the OBO-delivered designs meet the requirements of public law. DS also acts to manage the facility accreditation process.
Progressive Approvals
A progressive approvals process assures design compliance with functional and security requirements at the cumulative stages of a project’s development. OBO has a “gated” process, to make certain that progress is made at each phase, and that management approvals consolidate that progress to limit revisiting issues and re-opening decisions. The gated process extends from site selection to construction completion and that process is reflected in this MOU. MOU Chapters provide more detailed information on the process, and are arranged as follows:
Chapter I – Collaboration Process
Chapter II – Certification Process
Chapter III – Accreditation Process
Chapter IV – Compliance Process
Goals of Progressive Approvals
The process of progressive approvals is based on a series of mutually-reinforcing goals:
Ensure that the Department is able to successfully certify to Congress that pertinent projects meet the requirements of Public Law 100-204;
Provide assurance at each major project milestone, that DS security requirements appropriate to the level of design completion are met;
Minimize overall project schedules, particularly when delays cost the USG significant resources and put projects at risk;
Ensure that project designs do not require revision;
Establish clear performance guidelines for security;
Identify security concerns and solutions early in the process;
Establish clear agenda for Accreditation based on Certification elements.
Economize security compliance within established project schedules and budgets
Collaboration Process
The collaboration process mirrors the stages of a design project, starting with site selection. OBO is responsible for acquiring properties capable of meeting DS Site Selection criteria. The site selection process fully involves DS subject matter experts employing site selection security criteria to ensure that the selected property site can meet DS requirements.
The collaboration process also contains progressive approvals associated with the stages of design. OBO shall be responsible for the development of designs complying with security requirements and criteria in consultation with and under the guidance of DS. At each design deliverable, each team member, including those representing DS, reviews, comments and resolves compliance concerns. All reviewers provide professional, timely and accurate commentary enabling the project to proceed with clear guidance.
The progressive approvals process relies upon supporting documentation, including the project-specific risk assessment, and the Construction Security Plan (CSP).
Certification Process
The certification process begins with the development of a risk assessment based on the selected site, continues with the submittal of the construction security plan and the design documentation, and, once reviewed and approved, is finalized with the Secretary certifying to Congress that the requirements of Public Law 100-204 have been met. Certification allows a full notice to proceed to be issued to the general contractor. The development and approval of a risk assessment, construction security plan, and certification submittal are reliant on a successful collaboration process, which ultimately leads to accreditation.
Accreditation Process
Accreditation shall be performed by DS in coordination with the OBO project director at several stages and at the completion of construction operations, prior to the occupancy of the facility. DS shall perform accreditation of the project closely guided by the project certification documents.
Compliance Process
Building projects that do not meet the applicability definition outlined in PL 100-204, but that do include security provisions, are reviewed and approved via a Compliance Process. Facilities for unclassified offices and functions that are not associated with an NEC project fall into this category. The compliance process is similar to the Certification process, but does not include the certification to Congress, and there is greater flexibility of early construction activities.
CHAPTER I – Collaboration
Overview
The planning, site acquisition, management, and design of a diplomatic facility prior to its construction comprise a process that requires the active involvement of professional staff to work together, in concert, to balance a large number of competing requirements. Diplomatic facilities contain many unique and essential security requirements not commonly found in other building types. Before a project can be certified, the project team collaborates to conceptualize, develop, refine, and document the design. OBO, DS, and CSE work together, with the A/E, to create the facility design. The design process, prior to bidding for construction, can be described as a series of steps containing processes and tasks:
· Program Planning
· Long Range Planning
· Program Budgeting
· Space Requirements Programming (SRP 0)
· Site Selection and Acquisition
· Site Selection Process
· Site Acquisition
· Project Definition
· Risk Assessment
· Space Requirements Programming (SRP 1)
· Design Standards
· Design Submittal Requirements for Certification
· A/E Scope of Work
· Budget Cost
· Project Schedule and Durations
· A/E Contracting
· A/E Selection
· A/E Contract Negotiation
· A/E Orientation
· Design
· Concept Development
· Schematic Design
· Design Development (35%)
· Construction Documents (60%)
· Construction Documents (90%)
· Construction Documents (100%)
· Issued For Construction Documents
All of the steps above involve and require the participation of OBO, CSE, and DS. Steps essential to the certification process, include the site evaluation, risk assessment, construction security plan, and certification documents.
Collaboration Team
OBO has established a Core Team concept to provide leadership for individual projects. Together, the OBO/PDCS/PDC project manager, the OBO/PDCS/DE design manager, the OBO/CFSM/CM construction executive and the OBO/CFSM/CM project director act to share the responsibilities of delivering the project from its inception to occupancy.
In addition to the OBO Core Team, there are other critical team members, including the DS/C/PSP/PSD/NOB officer, the ODNI/NCSC/CSE reviewer, the OBO/CFSM/SM/SCD/SEB security engineer, and the OBO/CFSM/SM staff assigned to the project. These individuals are responsible for defining and guiding the implementation of the security provisions for the project.
Other team members are responsible for their professional discipline and for the close coordination of those provisions with that of their colleagues and counterparts. Many engineering disciplines and specialties, as well as interior design, programming, cost estimating, and landscape architecture are involved.
Risk Assessment
At the time of site selection, OBO/PDC real estate will request a risk assessment from DS for the desired site. DS then requests a formal risk assessment from CSE. CSE researches the site, coordinates with the Intelligence Community, and publishes the final document. The risk assessment clarifies the technical requirements and enumerates requirements that exceed applicable FAH/FAM standards. The risk assessment and TEMPEST reviews are performed in conjunction with the site or facility search. The Security Environment Threat Level (SETL) establishes the specific threat ratings, from which project security requirements are established and subsequently incorporated within the certification documentation.
Site Selection Process
The site and location of an embassy or consulate has practical as well as symbolic implications. The Department of State is committed to selecting sites for new embassies and consulates that ensure the safety of the mission, enhance the conduct of diplomacy, and best represent the U.S. government and American values. The aim of the site selection process is to identify at least one viable site for recommendation as a preferred site and one as a back-up site.
OBO/PRE/OAD/SA is the lead OBO office responsible for site acquisitions, in support of the Capital Security Construction Program (CSCP). Sites are selected for acquisition through a multi-step process to ensure compliance with the goals of 15 FAM 471.
Establish preferred areas and neighborhoods (Tier Map) - In the site selection search, OBO and post establish preferred areas and neighborhoods in the city, as the initial step of the site selection process and integrate overall security concerns in the search for potential sites and in the selection process.
Pre-screen initial sites - OBO and DS inspect potential sites for compliance with general planning and security criteria.
Conduct Multi-disciplinary Site Evaluation Using Consistent Evaluation Criteria - To ensure an objective and consistent evaluation of selected sites, an OBO site evaluation team, in collaboration with representatives of the post, DS, and other stakeholders, assesses the characteristics of all viable sites based on the following criteria:
· Location
· Development
· Security
· Communications
· Planning/Zoning
· Environmental attributes and liabilities (to include natural hazards vulnerabilities)
· Acquisition management
Assess site performance during due diligence - OBO develops detailed site utilization plans for selected site(s). DS reviews site utilization plans for compliance with security considerations.
Site Acquisition
After completion of the site selection process, OBO prepares necessary authorization documentation for the site acquisition to proceed to closing. The following documents are part of the site acquisition phase and are reviewed and cleared by DS.
Congressional site notification package – OBO notifies Congress of the Department’s intent to acquire a selected property and provides specific acquisition details – location, transaction structure, cost;
OBO action memorandum – requests authorization approval from the OBO director to close the selected property acquisition; and
OBO authorization cable to post – authorizes the post to close the transaction.
Project Definition
A/E firm’s designs are based on programmatic, functional, life-safety, and security requirements, all described and defined in the A/E contract. The security provisions and requirements included in the A/E contract are specific to the site, country, and date of origin of the contract. The pertinent risk assessment, design submittal requirements for certification, and OBO design standards established in the A/E contract at the outset of the project shall govern the work of the A/E and shall be the basis for the certification of the project. Any subsequent change to the basis may require modification of the A/E contract and is discouraged unless determined to be critical.
Design Submittal Requirements for Certification
One attachment to the A/E contract that is central to the certification of the project is the design submittal requirements for certification (DSRC) document (Attachment 2 to this document). It closely defines the requirements that must be successfully presented to OBO, DS, and CSE when the design is submitted for certification review. The A/E design must completely and successfully address all requirements of the DSRC so that DS and CSE can review, evaluate, and approve a complete approach to security. The DSRC document may be reviewed periodically and may be revised as security conditions change. OBO and DS will work in concert to effectuate any changes.
Security Requirements Verification Checklist
The security requirements verification checklist (Attachment 3 to this document) contains the submittal requirements for certification documentation. Each project shall utilize the security requirements verification checklist to:
Substantiate A/E submittals for compliance with security requirements;
Verify that all security requirements are being met, and document errors or shortcomings;
Track compliance to ensure corrections have been implemented;
Verify compliance during construction, ensuring successful accreditation.
Certification 101 Training
Certification training is a combined presentation and workshop designed to educate and prepare the A/E and their subcontractors on the pertinent DS and IC security requirements for NEC, NCC, and/or major rehabilitation projects. It also instructs them how to incorporate the requirements into their design submittals for interim and certification design review.
The combined presentation and workshop provides a forum for the A/Es and subcontractors to listen to and ask questions of technical experts, as well as to sit down with the current set of design drawings and discuss the specific particulars of design submittal requirements for certification (formerly Section C, Appendix A of the A/E contract; now attachment 2 of this MOU).
Certification 101 is designed for the working-level audience (those creating the CAD or Revit drawings). All design and engineering disciplines need to attend Certification 101. The training is beneficial for new A/Es, or A/Es and subcontractors with new working level personnel, as it provides a “cliff-notes” version of how to develop security design and to display it in their design drawings. Since the A/Es are focused on a multitude of other elements of design, it is most beneficial to provide certification 101 to the team before they begin work on their certification submittal. It may also be necessary to supplement the A/E’s expertise at different points within the design process based on the specific A/E team’s (not A/E company’s) understanding and familiarity with DS physical and technical security requirements.
Integrated Design Review
OBO projects utilize an Integrated Design Review (IDR) process to document, manage, and resolve all design review comments. All design concerns, including security, are identified in review comments and resolved in ProjNet, providing the official record of comments and their resolution. Supplemental memos from DS to OBO may be used to clarify the security design direction, but ProjNet and ProjNet C provide the official design direction and project record.
A/E Security Submittal Reports
Design A/E firms will be required to include a security compliance report at each design submittal. The purposes of this quality control feature are to:
Define the requirements for security appropriate to each successive stage of design;
Require A/E verification of compliance with security provisions pertinent to each submittal;
Incentivize A/Es to perform appropriate security quality control (QC) on submittals;
Provide information to DS making verification more reliable.
The A/E report shall include references to design documents indicating where DS can verify compliance with each security requirement.
A/E Security Reporting
At each submittal stage, and as an integral part of quality control, the designer of record shall be required to report on the progress of the project security design and its compliance with security requirements, to OBO, for evaluation. A standard reporting format shall be adopted for the individual project.
Evaluation and Approvals
Security compliance progress reports shall contain all security requirements for the specific phase of design. This quality control measure requires the designer of record to affirm compliance and identify where specific requirements are contained in the facility design documentation. OBO shall evaluate the security compliance report for completeness and accuracy. Upon verification of completeness and accuracy, OBO shall forward the security compliance report to DS for their evaluation and verification. DS verification shall serve as the quality assurance (QA) step in determining whether the security compliance report and the attached design comply with security requirements fulfilling progressive approval. DS exceptions to the security design shall be tabulated in the security compliance report and the associated ProjNet review comment shall be identified. OBO shall ensure AE compliance with DS Security design exceptions communicated through this process and documentation resolving all exceptions.
Documentation Recordation
Design documents including drawings, specifications, and security compliance reports shall comprise the basis of progressive and final approvals. Facility designs shall contain all requirements to satisfy Congressional certification. The CD-1 facility design documents shall normally comprise the basis for the Certification submission. Subsequent construction document submittals and the issued for construction (IFC) documents shall be back-checked with the earlier design certification submission prior to release for use by construction contractors. Variance of IFC versus earlier certified design shall be brought to the attention of OBO for resolution. No construction will be permitted to proceed using IFC documents with security design exceptions varying from the certification design submittal.
CHAPTER II – Certification
Overall Process
Design certification is initiated with the submission of the construction security plan (CSP) to DS, and the submission of the design documents, which are reviewed by DS and CSE. Certification review is a formal task process, which identifies and resolves all remaining concerns that must be incorporated into the construction documents. The full notice to proceed (NTP) for construction requires project certification. The order of events and the individual responsibilities are enumerated below. Each group is responsible for the completion of tasks within the project timeframe and the schedule attached (Attachment 4 Certification Process Flowchart).
Construction Security Plan
The CSP shall be prepared by OBO/CFSM/SM and approved by DS/PSD/CAT. DS then provides the CSP to CSE, which initiates the certification process. Because the CSP is comprised of Division 1 contract sections (013550, 015015, and 013555) that are included in the construction contract, it is vital that the final plan be approved prior to the construction contract award. Additionally, should any changes be made to the scope of work (SOW) or the project plans, the change originator shall submit a formal change request to SM from which a formal CSP review will commence to determine whether or not modifications to the CSP are necessary. If warranted, SM will modify the CSP and transmit to DS for approval, in consultation with CSE. CM and/or PDC will determine the impact on schedule and/or cost. Changes to SOWs may significantly impact the security requirements of a project and are to be made sparingly, cautiously and with careful review and approval.
Design Submittal for Certification
A design submittal is required for review by DS and CSE. The DS Certification design submittal shall include the minimum requirements identified in the project-specific certification checklist, which aligns with the design submittal requirements for certification (Attachment 2). Minimum certification requirements may be expanded for specific projects at their inception and where specific circumstances dictate.
Design submittals determined to be in compliance with Design Submittal Requirements for certification shall enable DS processing of the certification documents to Congress. The review shall focus on adherence to Foreign Affairs Manual (FAM) and Foreign Affairs Handbook (FAH) requirements as established by the Overseas Security Policy Board (OSPB). The standards in effect on the date the design is awarded for construction will apply throughout the life of the project. It is vital that all elements of design submittal requirements for certification are included in the submittal provided for certification review.
DS, in consultation with CSE, will provide comments to OBO within 14 calendar days of receipt of the certification submittal. Any items that may significantly impact the projects shall be brought to OBO’s attention immediately upon identification. DS, OBO, and CSE shall meet to discuss and resolve the issues as soon as possible.
When all design issues are resolved between OBO, DS, and CSE, CSE will provide formal notification that all design issues have been resolved. If there are no unresolved issues regarding the CSP, the memo will indicate that the consultation process required by Public Law has been completed and absent an objection from another office (such as L/) within the Department of State, the certification process can continue.
Limited Notice to Proceed
A limited notice to proceed may be allowed prior to project certification. The following tasks may be permitted:
Design, particularly for design/build projects;
Contractor mobilization;
Site preparation, including soil stabilization, remediation, clearing, rough grading, and excavation;
Perimeter security to include permanent compound access control structures;
The installation of piles, drilled piers, and cassions are considered part of site preparation and soil stabilization activities and are not viewed as part of the building. OBO must request and receive prior DS approval for this work via official correspondence. The directive to proceed with such activities is conveyed to the contractor via a limited notice to proceed issued by the contracting officer.
Construction Notice to Proceed
When DS notifies OBO that the design certification package has been approved by M, then a full notice to proceed with construction can be made by OBO.
Changes
All design submittals subsequent to the certification submittal shall be forwarded by OBO to DS and CSE for additional review. Deviations from the certification submittal that are pertinent to certification shall be brought to the attention of DS immediately. Design submittals deviating from or amending prior certification approval shall identify amendments for further evaluation by OBO and DS. Submission of amended designs shall be as described under the design submittal for certification section, to assure DS and CSE concurrence. DS, OBO, and CSE shall meet within the review time period specified in the contract to ensure all issues are resolved.
Design Remediation
If the certification submittal does not sufficiently meet the certification requirements, the following remediation steps may be taken:
DS will formally notify OBO that the submitted design does not meet certification requirements and will indicate where the deficiencies exist.
A meeting among DS, OBO, CSE, the A/E (and their related subcontractors) will be held immediately to resolve all related issues.
If DS and CSE determine that the extent of errors or omissions is due to unfamiliarity or lack of knowledge of security requirements, DS will recommend that the A/E (and the pertinent subcontractors) attend a refresher Certification 101 Workshop see Chapter 1, Collaborative Process).
DS may require the resubmittal of a full or partial submittal of design materials.
CHAPTER III – Accreditation
Purpose
Accreditation ensures that inspections complement the requirements established in the design certification package and the construction security plan promulgated by OBO. This process also establishes a follow-up process to track remedial actions resulting from accreditation inspection findings and recommendations.
Objective
The Accreditation Inspection Program is a significant component of the Department's compliance with Public Law 100-204, as amended. These procedures will include security measures to be undertaken during construction as well as those that will become a permanent part of the completed project.
In the Bureau of Diplomatic Security, the Physical Security Division (DS/PSP/PSD), within the Office of Physical Security Programs, has primary responsibility for establishing technical and physical security inspection requirements for all New Embassy Compounds (NEC), New Office Annexes (NOX), New Office Buildings (NOB) and existing office buildings (EOB) scheduled for major renovations.
Within DS/PSP/PSD, the Certification, Accreditation and Transit Security Branch (DS/PSD/CAT) administers the Accreditation Inspection Program. This Branch verifies that security of a newly constructed or renovated overseas facility intended for the storage of classified materials or the conduct of classified activities meets relevant Overseas Security Policy Board (OSPB) physical and technical security standards. A functional portion of the Accreditation Inspection Program also includes a construction security documentation review to ensure that the construction security plan and related security documentation were followed throughout the course of the project.
Scope
Prior to the accreditation inspection, the DS/PSD/CAT team leader will review all applicable procedures with OBO's Project Director (PD). Actual inspections will include a series of on-site reviews to verify that all appropriate physical and technical security measures are effectively implemented, adequate, and meet OSPB standards, if applicable. The accreditation inspection program includes preparation of interim and final reports with recommendations for information, action, and final resolution as a condition to issuance of the Certification of Occupancy by OBO.
DS/PSD/CAT conducts accreditation inspections, generally three, on select (NECs, NCCs, and major renovations) congressionally certified projects involving new construction.
Phase I Inspection
The first inspection will focus on reviews of certification documentation and supporting specifications, and a review of temporary technical and physical security installations, and conduct a Technical Security Countermeasures Inspection (TSCM) if a classified Access Control Facility (ACF) exists or when deemed necessary by DS/PSD/CAT. The first inspection will normally occur at commencement of construction activities or at the time of demolition for a major renovation.
Phase II Inspection
An interim inspection will take place midway through the construction effort, generally when the facility has reached "completion of general construction" (i.e. building is enclosed with temporary enclosures or exterior windows and doors in place). The interim inspection process goal is to identify and correct potential security problems early in construction. This inspection will include those areas highlighted during the initial inspection, as well as reviews of the Transit Security Program implementation, and of any work associated with permanent physical and technical security systems and conduct a Technical Security Countermeasures Inspection (TSCM).
Phase III - Final Accreditation Inspection
The final inspection will occur after cable notification, by the OBO Project Director (PD) in coordination with the OBO Site Security Manager (SSM), that all conditions required in the Accreditation Checklist provided by DS/PSD/CAT have been completed and when actions required by OBO/CFSM, as contained in the following Responsibilities paragraph, have been accomplished. The final inspection, which will take place while the PD and the general contractor are still on site, will include a review of all security documentation and the following areas to ensure that they meet all applicable security standards in accordance with the project's contract Scope of Work (SOW) and subsequent to substantial completion of construction being achieved:
All CAA finish work is complete;
Perimeter barrier is complete, including required compound access control facilities are in fully functional, move-in condition;
All CAA furnishings installed by appropriately cleared personnel;
Forced Entry/Ballistic Resistant (FE/BR) products installed and fully functional (to include proper installation of ballistic trim);
All general contracting work (plumbing, fire suppression systems, electrical, etc.) for CAA security facilities (CAC’s, Guard Posts) is complete and fully functional;
All telephone systems serving the CAA, CAC’s, and MSG post one are installed and fully functional;
Fire systems are installed, fully functional, and accepted by OBO/FIR;
All permanent locking hardware is installed and functional, with appropriate keying or combinations;
MSG Post One is complete and in fully functional, move-in condition;
All building systems as identified in the DS accreditation checklist are installed, USG accepted, and fully functional;
All technical security systems are installed and fully functional (CCTV, IDS, IDNS, door controls, barriers/bollards) to include all required overrides; and
Chem-Bio filters are installed, tested, and accepted.
Responsibilities
DS/CAT is the DS focal point for all DS accreditation issues. OBO/CFSM/CM will act as final focal point for OBO management and on-site personnel regarding accreditation issues. The OBO/CFSM/CM project director has overall responsibility for security of the construction project.
DS/PSD/CAT will:
Identify and schedule accreditation inspections based on the project SOW (any congressionally certified OBO projects in diplomatic facilities containing CAA), the human and technical intelligence threat level, and requirements dictated by the construction security certification process in conjunction with OBO's construction schedule;
Determine types of inspection equipment and inspection techniques to be employed;
Determine the accreditation inspection scope based on criteria outlined above;
Determine the composition of accreditation inspection teams;
Extend an invitation to OBO/CFSM/SM to participate in accreditation inspections;
Conduct and complete inspections. Review project security based on previous criteria, making recommendations as required, and within the team's capabilities and expertise. Assist OBO/CFSM with resolutions to any recommendations as appropriate;
Prepare draft report(s) (interim or final) and an Executive Summary, while on site;
Discuss the Executive Summary with the OBO project director (PD), site security manager (SSM), and post management;
Issue a notice of full or conditional substantial compliance via front channel cable at the conclusion of the final accreditation inspection. The notice will indicate that there are no outstanding security issues that would preclude occupancy or, list those discrepancies that exist and require corrective action prior to the issuance full compliance and occupancy;
Distribute inspection reports to appropriate personnel within the Department, in a timely manner; and
Track unresolved issues and prepare an amended report or a change to the report, as appropriate.
OBO/CFSM/CM will provide an identification and scope of project, and tentative schedules to DS/PSD/CAT;
OBO/CFSM/SM will provide a project-specific construction security plan to DS/PSD/CAT;
The PD will provide assurance in writing in coordination with OBO/CFSM/SM and OBO/CFSM/CM, in preparation for the final accreditation inspection, that the following actions have been accomplished: installation of all security systems; or other enclosures; all fire protection equipment; and all telephones. Additionally, automated data processing (ADP) systems distribution nets must be installed or secured in approved secure storage areas and the UPS installation must be complete;
Provide assistance through the PD to the accreditation team prior to, and during the inspection. Such assistance shall include, but is not limited to, meeting and assisting, making arrangements for lodging, picking up and providing for secure storage of pouched inspection equipment, and providing for secure workspace;
Coordinate inspection activities with the OBO PD through OBO/CFSM/CM, in conjunction with the accreditation team leader;
Review the draft accreditation report upon receipt with CM; and
OBO PD in coordination with OBO/SM or OBO/CFSM/SM/SOD/SSO is to provide a written response for all issues, other than those that require DS response/action, to either resolve the issue or to indicate agreement with the office responsible for the resolution.
Resolution of Issues
When issues have been resolved, OBO/CFSM/CM, through the PD, will provide a statement to DS/PSD/CAT listing corrective actions taken. The statement will note that all issues have been satisfactorily resolved.
Accreditation Close-Out
At the conclusion of the accreditation process DS will issue cable notification to the post and PD that the project is in substantial compliance with P.L. 100-204 and that there are no significant deficiencies that would preclude occupancy. At this point the project will enter into the commissioning period which includes U.S. government teams installing their respective project related items, as well as any minor punch list activities.
If there are significant deficiencies they are brought to the attention of senior DS and OBO management for review to determine the best course of action.
Certificate of Occupancy
The Bureau of Diplomatic Security will issue the certificate of substantial compliance once all security concerns have been resolved. Following the receipt of the memorandum of acceptance of fire and life safety systems, the OBO project director can issue the certificate of substantial completion. The certificate of occupancy (C of O) package will then be prepared by the OBO Office of Construction Management. The certificate of occupancy cable will be issued to post. At that point the post is authorized to move-in and occupy the facility.
For projects with classified operations and subject to accreditation, DS issues a cable for the certificate of substantial compliance. For projects with no classified operations and not subject to accreditation, DS will perform physical and/or technical security compliance inspections and then issue a memo of compliance.
For New Embassy Compound (NEC), New Consulate Compound (NCC), and major renovation projects with classified operations, the highest level of clearance is by Under Secretary for Management (M) and the DS Assistant Secretary. The actual C of O cable drafting and routing is by OBO.
For projects such as annex (NOX), Marine Security Guard Quarter/Residence (MSGQ/MSGR), Lease Fit-Out (LFO), recreation facilities, warehouse, renovations and rehabilitation projects with no classified operations, the highest level of clearance is by the OBO director and by DS/C/PSP. The actual C of O cable drafting and routing is by OBO.
Upon completion of the above, OBO will issue the certificate of occupancy authorizing post to dedicate the facility, raise the flag, move in, and go to work.