Contractor Employee Clearing Procedures

U.S. DEPARTMENT OF TRANSPORTATION ORDER FEDERAL AVIATION ADMINISTRATION AC 3370.6C Mike Monroney Aeronautical Center Effective date: SUBJ: Contractor Employee Clearing Procedures 1. Purpose of This Order . This Order provides Mike Monroney Aeronautical Center, hereinafter referred to as the Aeronautical Center, Contractor employee policy and procedures and supplements Acquisition Management System (AMS) Guidance T 3.14.1 A 3.g and the FAA Contractor Employee Off-Boarding Checklist (FAA Form 4400-47). The AMS Guidance, FAA Checklist, and this Order govern such processes as the surrender of accountable property, termination of access to facilities and automated systems, and cancellation of credentials for contractor employees. These documents further define roles and responsibilities for the contractor employee separation/transfer process and implement a standardized separation/transfer process using the FAA Contractor Employee Off-Boarding Checklist and AC Form 3370-2, Contractor Employee Clearance Record (appendix A). Questions about this process should be directed to the Aeronautical Center Acquisitions Division, AAQ-700.

2. Audience. This Order applies to all contractor employees working at the Aeronautical Center, Aeronautical Center contractor employees with remote access not physically located on- site, all Contracting Officers (CO), Contracting Officer Representatives (COR), and all clearing officials at the Aeronautical Center specified on form AC 3370-2.

3. Where Can I Find T his Order. You can find this order on the FAA website at http://www.faa.gov/regulations_policies/orders_notices .

4. What This Order Cancel s . This Order cancels Order AC 3370.6B dated November 6, 2019.

5. Privacy Statement . The information required to be submitted as part of the clearing process is in accordance with the Privacy Act of 1974 and is authorized by 5 USC 552a. The information furnished will be used to verify compliance with the FAA Contractor Employee exit and clearing process by identifying records properly associated with contract performance at the FAA, to obtain additional information if necessary, and to maintain complete contract file records.

6. Scope . The Order applies to contractor employees who are: a. Terminated by the contractor or resigning from employment with the contractor b. Retiring c. Transferring employment from one FAA contractor to another or to Federal employment d. Exiting as a result of the contract being concluded e. Deceased Distribution: Electronic Initiated By: AAQ - 700

AC 3370.6C 7. Objectives. This Order centralizes and standardizes a process of internal controls so the Aeronautical Center can: a. Ensure cancellation of credentials, b. Remove access privileges to automated information systems, and c. Reclaim any Government property used by or assigned to the contractor employee.

8. Policy . This clearing process will be used to clear the contractor employee’s record and to document it through proper completion of the forms FAA 4400-47 and AC 3370-2.

9. Exceptions and Waivers. None. If a contractor employee departs without completing the clearing process, it is the responsibility of the employing contractor to complete forms FAA 4400-47 and AC 3370-2 and return all Government property including credentials, decals, keys, badges, equipment, etc., and indicate on the form it was accomplished on the contractor employee’s behalf.

10. Roles and Responsibilities. The offices with responsibilities listed on the forms FAA 4400-47 and AC 3370-2 must assume final authority within their areas of responsibility.

Individuals who sign forms FAA 4400-47 and AC 3370-2 must meet the appropriate level of access requirements for systems, accountable items, and/or Security credentials.

a. Contractor (1) The Contractor’s Project Manager /Program Manager is responsible for ensuring contractor employees follow the separation/transfer process by having the contractor employee fill out the forms FAA 4400-47 and AC 3370-2 and by obtaining the appropriate coordination on each in accordance with the specific contract under which they are performing. If someone other than the contractor employee completes the process for the contractor employee, the final responsibility rests with the Contractor Project Manager/Program Manager. This process is in accordance with the Security Clause and Personnel Suitability Requirements incorporated in each FAA contract requiring services to be performed at the Aeronautical Center.

(2) The Contractor’s Project Manager/Program Manager must ensure the CO, COR, and Personnel Security are provided with the completed two forms FAA 4400-47 and AC 3370-2 to document the completion of the clearing process. The contractor must submit a Vendor Application Procedures (VAP) action to notify Personnel Security of the employee separation or transfer; however, the forms FAA 4400-47 and AC 3370-2 must still be filled out. Contractors and vendors must submit a copy of the forms FAA 4400-47 and AC 3370-2 for all out- processing or transferring employees.

(3) Upon termination of employment or transfer to a position that does not require a Security Clearance, Contractor employees with a Security Clearance must complete FAA Form 1600-25, Security Termination Statement. This action will satisfy the security debriefing requirement referenced on FAA Form 4400-47. The form can be obtained from https://employees.faa.gov/tools_resources/forms/ , Personnel Security, and must be submitted at the same time the contractor employee completes the clearing process.

AC 3370.6C b. FAA Organizational Responsibilities (1) The Aeronautical Center Acquisitions Division (AAQ - 700) is the official repository for contractor employee clearance reco rds, which are maintained in the individual contract files.

AAQ - 700 will be the Office of Primary Responsibility for maintaining forms FAA 4400 - 47 and AC 3370 - 2 s and will ensure they are available to the COR and Personnel Security.

(2) Duty organizations not u nder the Enterprise Services Center (ESC) L ine of Business (L OB ) are responsible to sign clearance for equipment and remove access as needed in accordance with the FAA Contractor Employee Off - Boarding Form ( Form 4400 - 47, OMB Control No. 2120 - 0595).

(3) Inform ation Technology (IT) Asset & Purchase Management, ASP - 300 , will provide clearance for A ir Traffic Organization (A TO ) LOB Contractors not supported by ESC and will receive all I T - related equipment and remove accesses.

(4) Upon receipt of forms FAA 4400 - 47 and AC 3370 - 2, ESC is responsible, for deleting access to the Service Management Tool (SMT), Network/Active Directory, Outlook, Voicemail (Messages cleared/Passwords Reset), ESC Data Center, EASE Mainframe, user IDs for financial systems (Delphi, ESC PRISM, Tr avel Management System, etc.) The ESC clearing official must sign and date in the applicable blocks .

(5) Acquisition Automation Team (AAQ - 2) will delete PRISM login rights and user IDs and sign and date form AC 3370 - 2 in the applicable blocks.

(6) The Pass and ID office is located across from the HSPD - 12 counter in the Security Command Center and is responsible for collecting all forms of ID media including, legacy ID Cards, parking decals, reserve handicap parking passes, and hard and electronic keys. They must collect Personal Identity Verification (PIV) cards, yellow or orange ID cards on behalf of HSPD - 12 staff and Personnel Security and sign and date the forms FAA 4400 - 47 and AC 3370 - 2 in the applicable blocks.

(7) The COR is responsible for providing forms FAA 4400 - 47 and AC 3370 - 2 to the contractor. Additionally, the COR is ultimately responsible for ensuring all off - boarding actions are completed and accountable Government keys , ID cards, and IT equipment issued to the contractor employees are returned to the appropriate offices as designated in the preceding paragraphs.

(8) The CO will receive forms FAA 4400 - 47 and AC 3370 - 2 from the Contractor's Project Manager/Program Manager, review them t o determine all requirements have been met, and file the document in the Contract Administration file.

Michelle Coppedge Director, Aeronautical Center

AC 3370.6C

Appendix A

Appendix A. AC Form 3370 - 2

CONTRACTOR EMPLOYEE CLEARANCE RECORD

Privacy Act: In compliance with the Privacy Act of 1974, the following information is provided. Solicitation of the informati on on this form is authorized by 5 USC 552a.

1. Employee’s Full Name 2. DOB 3. Routing Symbol (Duty Org.)

4. Contract Number 5. Contract Company’s Name and Local Telephone Number 6. ACTION : _____ R ESIGNATION _____ OTHER _____ TRANSFER TO ___________________________________ 7. Instructions: Each item subject to clearance must be signed by the clearing official. If an item is not required in an employee’s position, the cognizant Contracting Officer’s Representative may indicate “not applic able” and sign in the “Signature of Clearing Official” block.

Printed Name, Routing Symbol and OFFICE BLDG/RM ITEMS SUBJECT TO CLEARANCE DATE SIGNATURE OF CLEARING OFFICIAL APS - 300 Clearance for ATO supported CTR’s ADP – equipment and network ARB 132 (also see form FAA access/User - ID’s for ATO LOB.

4400 - 47 page 4) Service Management Tool (SMT), Network/Active Directory, Outlook, Voice Mail, ESC Data Center, EASE Mainframe, etc.

ESC Clearance Office ESC - for ESC supported Voice Mail (Messages Cleared / CTR’s Organizations Clearance - Passwords Reset) (also see form FAA Desk@faa.gov 4400 - 47 page 5) User - IDs for financial systems. (i.e.: Delphi, ESC PRISM, Markview, GOVTRIP, etc.) If not required in employee's position, supervisor may sign.

Call the If you are an FAA PRISM User, PRISM System PRISM Help PRISM System Administrators Administrators (SAs), Desk 405 - (AAQ - 2) must remove PRISM login AAQ - 2 954 - 3000, rights and inactivate your user ID.

Option 4 Security Command ID cards, access cards, accountable Center for all CTR’s Bldg. 230 Rm keys, reserved handicap parking, and (also see form FAA vehicle decals.

4400 - 47 page 4) 8. CERTIFICATION OF EMPLOYEE: I certify that 9. CERTIFICATION OF CONTRACT PROJECT

___ 8a. Former

I have returned all government property entrusted MANAGER: I certify that to the best of my knowledge and employee not to me. belief, all government property, records, and indebtedness available for entrusted and/or issued to the above employee have been signature.

accounted for, and computer access and passwords have been deleted, except as noted.

Signature Date Signature Date Notes: 1. Sign in the appropriate certification space if all items cleared. If any accountable item is not cleared, note in the space provided or provide details on an attachment to this form.

2. This form shall be maintained in the official contract file. The Contract Project Man ager is responsible for distributing completed copies of the form to the Contracting Officer (CO), COR, Personnel Security, and the clearing contractor employee.

THE FOLLOWING IS FOR USE BY THE CONTRACTING OFFICER Date Action Completed: Date Withholding Action Initiated: Amount Withheld: AC 3370-2 (05/23) Supersedes previous edition

A - 1

AC 3370.6C Appendix B Appendix B. Administrative Information 1. Distribution. This Order is distributed to all FAA Employees at the Aeronautical Center.

2. Authority to Change This Order. The issuance, revision, or cancellation of the material in this order is the responsibility of AAQ - 700, Aeronautical Center Acquisition Services Division .

3. Forms a nd Reports. AC Form 3370 - 2, Contractor Employee Clearance Record 4. Suggestions for Improvements. Please forward all comments on deficiencies, clarifications, or improvements regarding the contents of this order to t he Directives Management Officer at 9 - AFN - DMO@faa.gov .

Your suggestions are welcome. FAA Form 1320 - 19, Directive Feedback Information, is located in appendix C of this order for your convenience.

5. Records Management. Refer to FAA Order 0000.1, FAA Standard Subject Classification System ; FAA Order 1350.14, Records Management ; or your office Records Management Officer (RMO)/Directives Management Officer (DMO) for guidance regarding retention or disposition of records.

B-1

AC 3370.6C Appendix C Appendix C. Directive Feedback Information Directive Feedback Information Please submit any written comments or recommendations for improving this directive or suggest new items or subjects to be added to it. Also, if you find an error, please tell us about it.

Subject: Order AC 3370.6C , Contractor Employee Clearing Procedures To: Directive Management Officer, 9 - AFN - DMO@faa.gov (Please mark all appropriate line items) ☐ An error (procedural or typographical) has been noted in paragraph _______ on page _______.

☐ Recommend paragraph _______ on page _______ be changed as follows: (attach separate sheet if necessary) ☐ In a future change to this O rder, please include coverage on the following subject: (briefly describe what you want added.)

☐ Other comments: ☐ I would like to discuss the above. Please contact me.

Submitted by: __________________________________ Date: __________________ Telephone Numb er: __________________ Routing Symbol: _________________ FAA 1320 - 19 (08/21) Supersedes Previous Edition C-1