A company needs to perform work on a sensitive component of a US Department of Defense contract and applies for a facility security clearance (FCL). During the review process, the Defense Counterintelligence and Security Agency (DCSA) raises foreign ownership, control, or influence (FOCI) concerns because the company has done substantial business with foreign governments in the past. The company determines that it will need to work with DCSA to determine an ap- propriate FOCI mitigation measure. The company and its counsel now need a trusted partner to credibly, expertly, and efficiently develop a plan to mitigate the FOCI issues and establish eligibility for an FCL. Ankura’s integrated team of experts has the multi-disciplinary skills and experience to help global companies and their counsel navigate the FOCI review and FCL applications, and (where appropriate) to implement the various types of FOCI mitigation measures available, including a proxy agreement (PA), voting trust agreement (VTA), security control agreements (SCA), and special security agreements (SSA). EXAMPLE SERVICES IN FOCI AND FCL ENGAGEMENTS INCLUDE: Facility Security Clearance & FOCI Mitigation Solutions NATIONAL SECURITY, TRADE, & TECHNOLOGY FCL APPLICATION Ankura’s national security, trade, and technology (NSTT) practitioners have assisted clients with creation and submission of FCL application packages, including development of the SF-328 Certificate Pertaining to Foreign Interests, proposed key management persons (“KMP”) lists and security clearance documentation as well as creation of required business documentation and organizational diagrams. FACILITY SECURITY OFFICER (FSO) SUPPORT Our experienced NSTT practitioners, many of whom have served in head security officer roles at large companies or provided support to security officers, have assisted clients with identification and implementation of National Industrial Security Program Operating Manual (NISPOM) requirements, development of supporting policies and procedures, implementation of guidance and controls assessment, and support on effectuating the DCSA Risk Management Framework (RMF). FOCI MITIGATION NSTT practitioners have advised dozens of clients with preparation and submission of CFIUS and Department of State (DOS) filings and represented clients during DCSA FOCI mitigation plan negotiations. We can support you in coordinating with DCSA, preparing mitigation plan terms and conditions, and drafting associated FOCI plan documentation, including the Affiliated Opera- tions Plan (AOP), Electronic Communications Plan (ECP), Technology Control Plan (TCP), Facilities Location Plan (FLP), and Visitation Plan. Finally, our practitioners, many of whom are seasoned monitors or third-party auditors,
Transcript
A company needs to perform work on a sensitive component of a US Department of Defense contract and applies for a facility security clearance (FCL). During the review process, the Defense Counterintelligence and Security Agency (DCSA) raises foreign ownership, control, or influence (FOCI) concerns because the company has done substantial business with foreign governments in the past. The company determines that it will need to work with DCSA to determine an ap-propriate FOCI mitigation measure. The company and its counsel now need a trusted partner to credibly, expertly, and efficiently develop a plan to mitigate the FOCI issues and establish eligibility for an FCL.
Ankura’s integrated team of experts has the multi-disciplinary skills and experience to help global companies and their counsel navigate the FOCI review and FCL applications, and (where appropriate) to implement the various types of FOCI mitigation measures available, including a proxy agreement (PA), voting trust agreement (VTA), security control agreements (SCA), and special security agreements (SSA).
EXAMPLE SERVICES IN FOCI AND FCL ENGAGEMENTS INCLUDE:
Ankura’s national security, trade, and technology (NSTT) practitioners have assisted clients with creation and submission of FCL application packages, including development of the SF-328 Certificate Pertaining to Foreign Interests, proposed key management persons (“KMP”) lists and security clearance documentation as well as creation of required business documentation and organizational diagrams.
FACILITY SECURITY OFFICER (FSO) SUPPORT
Our experienced NSTT practitioners, many of whom have served in head security officer roles at large companies or provided support to security officers, have assisted clients with identification and implementation of National Industrial Security Program Operating Manual (NISPOM)
requirements, development of supporting policies and procedures, implementation of guidance and controls assessment, and support on effectuating the DCSA Risk Management Framework (RMF).
FOCI MITIGATION
NSTT practitioners have advised dozens of clients with preparation and submission of CFIUS and Department of State (DOS) filings and represented clients during DCSA FOCI mitigation plan negotiations. We can support you in coordinating with DCSA, preparing mitigation plan terms and conditions, and drafting associated FOCI plan documentation, including the Affiliated Opera-tions Plan (AOP), Electronic Communications Plan (ECP), Technology Control Plan (TCP), Facilities Location Plan (FLP), and Visitation Plan. Finally, our practitioners, many of whom are seasoned monitors or third-party auditors,
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can provide DCSA with detailed status reports showing that agreements are being effectively implemented.
DCSA SECURITY VULNERABILITY ASSESSMENTS (SVA)
Ankura has assisted clients with preparing for and undergoing SVAs through its knowledge of the inspection methodology used by the Office of Desig-nated Approving Authority (ODAA) and preparation of applicant-provided documentation, inspections, interviews, and other key application requirements.
OUTSIDE DIRECTORS AND PROXY MEMBERS
Through its experience with Ankura Trust Company and its integrated restructuring professionals’ decades of industry experience, Ankura has the unique ability to assist clients with putting in place proxy holders or trustees to serve as directors of the cleared company’s board, serve on a government security committee, and exercise authorized management prerogatives for either PA or VTA trust arrangements.
INSIDER THREAT
Ankura’s NSTT team has assisted clients to stand up insider threat programs by bringing together the right organizational stakeholders, conducting thorough risk assessments, identifying the highest areas of risk, and putting in place effective training and other controls to mitigate identified risk.
Ankura integrates industry-leading experience in operational management, security clearance applications, cyber and information security, trusts, and security officer support with unmatched expertise in the relevant regulatory issues and risks. The NSTT team provides deep, practical perspective based on our professionals’ collective experience as US national security and law enforcement professionals, corporate executive and compliance leaders, chief information security officers, and restructuring officers for complex global organizations and technical and regulatory experts in elite professional services firms.
