12 FAM 360
CONSTRUCTION SECURITY CERTIFICATION PROGRAM
(CT:DS-266; 12-05-2016)
(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-266; 12-05-2016)
a. The construction security of all construction or
renovation projects described in 12 FAM 361.2,
which costs $1 million or more, 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-266; 12-05-2016)
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 less than $1 million but more than $100,000;
or
(2) Costs less than $100,000 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 projects 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
projects 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 Departments 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 firms 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/Es expertise at different points within
the design process based on the specific A/E teams (not A/E companys)
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 OBOs 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 (CACs,
Guard Posts) is complete and fully functional;
All telephone systems serving the CAA, CACs, 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.