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Federal Register / Vol. 86, No. 232 / Tuesday, December 7, 2021 / Proposed Rules
Department of Defense National Industrial Security Program Operating Manual NISPOM.
d Pre-screening of contractor employees. The Contractor must prescreen individuals designated for employment under any DOT contract by verifying minimal suitability requirements to ensure that only candidates that appear to meet such requirements are considered for contract employment, and to mitigate the burden on the Government of conducting background investigations on objectionable applicants. The Contractor must exercise due diligence in prescreening all employees prior to submission to DOT for agency access.
DOT may decline to grant agency access to a contractor employee for reasons including, but not limited to 1 Conviction of a felony, a crime of violence, or a misdemeanor involving moral turpitude;
2 Falsification of information entered on forms or of other documents submitted;
3 Improper conduct including criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct adverse to the Government regardless of whether the conduct is directly related to the contract; and 4 Any behavior judged to pose a potential threat to DOT facilities, sensitive information, information systems or other resources.
e Citizenship status. The Contractor must monitor a non-citizens continued authorization for employment in the United States. The Contractor must provide documentation to the Contracting Officer or the Contracting Officers Representative COR during the background investigation process that validates that the E-Verify requirement has been met for each contractor employee.
f Background investigation and adjudication. A contractor employee must have a favorable adjudication of background investigation before DOT
will issue an ID card to the contractor employee granting access to DOT
facilities, sensitive information, information systems or other DOT
resources. DOT may accept favorable adjudications of background investigations from other Federal agencies when applicants have held PIV
cards issued by those agencies with no break in service. DOT may also accept PIV1 interoperable cards issued by an authorized PIV1 issuer as evidence of identity. A favorable adjudication does not preclude DOT from initiating a new investigation when deemed necessary.
At a minimum, the FBI National
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Criminal History Check fingerprint check must be favorably completed before a DOT identification card can be issued. Each Contractor must use the Office of Personnel Managements OPM e-QIP system to complete any required investigative forms.
Instructions for obtaining fingerprints will be provided by the COR or Contracting Officer. The DOT Office of Security, M40, or a DOT organization delegated authority by M40, is responsible for adjudicating the suitability of contractor employees.
g Agency access denied. Upon contract award, DOT will initiate the agency access procedure for all contractor employees requiring access to DOT facilities, sensitive information, information systems and other DOT
resources for contract performance. DOT
may deny agency access to any individual about whom an adverse suitability determination is made.
Failure to submit the required security information or to truthfully answer all questions shall constitute grounds for denial of access. The Contractor must not provide agency access to contractor employees until the COR or Contracting Officer provides notice of approval, which is authorized only by the DOT
Office of Security M40 or a DOT
organization delegated authority by M
40. Where a proposed contractor employee is denied agency access by the Government or, if for any reason a proposed application is withdrawn by the Contractor during the agency access process, the additional costs and administrative burden for conducting additional background investigations caused by a lack of effective prescreening or planning on the part of the Contractor may be considered as part of the Contractors overall performance evaluation.
h Identification card application process. The COR will be the DOT ID
card Sponsor and point of contact for the Contractors application for a DOT
ID card. The COR shall review and approve the DOT ID card application before an ID card is issued to the applicant. An applicant may be issued either a Personal Identity Verification PIV card that meets the standards of Homeland Presidential Security Directive HSPD12, or an applicant may be issued a non-PIV card.
Generally, a non-PIV card will be issued for contracts that expire in six months or less, including option periods. The COR may request the issuing office to waive the six-month eligibility requirement when it is in DOTs interest for contract performance. The following applies
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1 PIV card. The applicant must complete a DOT on-line application for a PIV card;
2 Non-PIV card. The applicant must complete and submit a hard copy of Form 1681 to the COR/Sponsor; and 3 Regardless of the type of card to be issued PIV or non-PIV, the applicant must appear in person to provide two forms of identity source documents in original form to DOT. The identity source documents must come from the list of acceptable documents included in Form F9, OMB No. 1115
0136, Employment Eligibility Verification. At least one document must be a valid State or Federal government-issued picture identification. For a PIV card, the applicant may be required to appear inperson a second time for enrollment and activation.
i Identification card custody and control. The Contractor is responsible for the custody and control of all forms of government identification issued by DOT to contractor employees for access to DOT facilities, sensitive information, information systems and other DOT
resources. The Contractor shall:
1 Provide a listing of personnel for whom an identification ID card is requested to the COR or PM who will provide a copy of the listing to the card issuing office. This may include Contractor and subcontractor personnel.
Follow issuing office directions for submittal of an application packages.
2 While visiting or performing work on a DOT facility, as specified by the issuing office, PM or COR, ensure that contractor employees prominently display their ID card.
3 Immediately notify the COR or, if the COR is unavailable, the Contracting Officer when a contractor employees status changes and no longer requires agency access e.g., employees transfer, completion of a project, retirement, removal from work on the contract, or termination of employment that may affect the employees eligibility for access to the facility, sensitive information, or resources.
4 Promptly deliver to the issuing office: a All ID cards assigned to an employee who no longer requires access to the facility; and b all expired ID
cards within five 5 days of their expiration or all cards at time of contract termination, whichever occurs first.
5 Immediately report any lost or stolen ID cards to the issuing office and follow its instructions.
i The Contractor is responsible for maintaining and safeguarding the DOT
ID card upon issuance to the contractor employee. The Contractor must ensure
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