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U.S. Department of Energy					ORDER
	Washington, D.C.					DOE O 475.1

								Approved:  12-10-04
								  Review:  12-10-06
								 Expires:  12-10-08

SUBJECT:  	COUNTERINTELLIGENCE PROGRAM

1.	OBJECTIVES.  To establish Counterintelligence (CI) Program requirements and 
responsibilities for the Department of Energy (DOE), including the National Nuclear 
Security Administration (NNSA).  Pursuant to Executive Order (E.O.) 12333 and DOE 
Procedures for Intelligence Activities (October 1992), the Department will—

a.	conduct CI activities to protect DOE information (e.g. classified, unclassified 
controlled information, proprietary, unclassified, and economic information 
affecting national security), personnel, and assets from international terrorist 
activities and from intelligence collection by or on behalf of foreign powers or 
entities; 

b.	detect and deter insiders who engage in activities on behalf of a foreign 
intelligence service or international terrorist entity; and

c.	provide graded levels of CI Program activity and support for DOE programs in 
accordance with the potential risks.  

2.	CANCELLATION.  DOE 5670.3, Counterintelligence Program, dated 9-4-92.  
Cancellation of an Order does not, by itself, modify or otherwise affect any contractual 
obligation to comply with the Order.  Canceled Orders that are incorporated by reference 
in a contract remain in effect until the contract is modified to delete the references to the requirements in the canceled Orders.  

3.	APPLICABILITY.  

a.	Primary DOE Organizations, Including National Nuclear Security Administration 
(NNSA) Organizations.  Except for the exclusions in paragraph 3c, this Order 
applies to all Primary DOE Organizations and the DOE administered Power 
Marketing Administrations (see Attachment 1 for a complete list of Primary DOE 
Organizations).  This Order automatically applies to Primary DOE Organizations 
created after it is issued.  

The NNSA Administrator will ensure that NNSA employees and contractors 
comply with their respective responsibilities under this Order.

b.	Site/Facility Management Contractors.  

(1)	Except for the exclusions in paragraph 3c, the Contractor Requirements 
Document (CRD), Attachment 2, sets forth requirements of this Order that will apply to site/facility management contractors whose contracts 
include the CRD.  

(2)	The CRD must be included in all site/facility management contracts for 
contractors that are required to conduct CI Programs.  

(3)	This Order does not apply to other than site/facility management 
contractors.  Any application of requirements of this Order to other than 
site/facility management contractors will be communicated separately.  

(4)	Secretarial officers are responsible for telling contracting officers which 
site/facility management contracts are affected by this Order.  Once 
notified, the contracting officer is responsible for incorporating the CRD 
into the laws, regulations, and DOE directives clause of each affected 
site/facility management contract.  

(5)	As the laws, regulations, and DOE directives clause of a site/facility 
management contract states, regardless of the performer of the work, the 
site/facility management contractor is responsible for compliance with the 
requirements of the CRD.  

(a)	Affected site/facility management contractors are responsible for 
notifying subcontractors at any tier of the requirements of the CRD 
to the extent necessary to ensure the site/facility management 
contractor’s compliance with the applicable requirements.  

(b)	In doing so, the contractor will not impose unnecessary or 
imprudent requirements to subcontractors.  That is, the contractor 
will—

1	ensure that it and its subcontractors comply with the 
requirements of the CRD and 

2	only incur costs that would be incurred by a prudent person 
in the conduct of competitive business.  

c.	Exclusions.  None.  

4.	REQUIREMENTS.  

a.	Background.  Pursuant to E.O. 12333 and DOE Procedures for Intelligence 
Activities, it is DOE policy to protect programs, resources, facilities, and 
personnel from intelligence collection by or on behalf of international terrorists or 
foreign powers or entities and related threats through implementation of an 
effective, efficient CI program.  Since the signing of Presidential Decision 
Directive (PDD) 61, U.S. Department of Energy Counterintelligence Program (U) 
(February 1998), the Department has taken aggressive measures to strengthen the 
CI program now administered by the DOE Office of Counterintelligence (OCI) 
and the NNSA Office of Defense Nuclear Counterintelligence (ODNCI).  This 
Order reflects the current CI program scope and requirements.  

b.	Program Organization.  

(1)	The CI Program is comprised of the DOE OCI and the NNSA ODNCI.  

(2)	The OCI includes the following programs:  

(a)	Analysis; 

(b)	Operations and Investigations; 

(c)	Plans, Policy, Training and Awareness; 

(d)	Information and Special Technologies; 

(e)	Inspections; and 

(f)	CI Evaluation Program (CIEP), which includes the Polygraph 
Program. 

(3)	These programs are shared resources between OCI and ODNCI.  Both the 
OCI Director and the ODNCI Chief direct the managers of these 
programs, with the exception of the Inspections and Polygraph programs, 
which are directed solely by the OCI Director.  

(4)	The OCI Director is responsible for administrative management of the 
OCI program directors, their staffs and related support staffs, and OCI 
Headquarters activities.  The OCI Director executes these responsibilities 
in coordination with the ODNCI Chief.  

(5)	The CI Program also consists of specific field elements that perform CI 
functions.  The OCI Director and ODNCI Chief manage these field 
elements in accordance with this Order.  To maintain a centrally managed 
CI Program and achieve a graded approach to CI across DOE [see 
paragraph 4(e), below], local CI offices have been established at specific 
DOE locations.  Some of these offices act as servicing CI offices for 
additional facilities because of existing organizational relationships or 
geographic proximity.  This Order does not limit the authority of the OCI 
Director and ODNCI Chief to add or eliminate programs or change the 
Headquarters or field organizational structure to execute the CI Program 
effectively.  

(6)	A close, cooperative relationship between OCI and ODNCI management 
is essential to the successful execution of the DOE CI mission.  

c.	Program Independence.  

(1)	To ensure that the program operates independent of other DOE 
organizations, the OCI Director will report directly to the Secretary and 
the ODNCI Chief will report directly to the NNSA Administrator.  Both 
also will have direct access to all Departmental officials and contractors.  
The ODNCI Chief also will have direct access to the Secretary.  

(2)	All DOE elements will cooperate fully with OCI/ODNCI program 
activities and will make available all appropriate files/records (regardless 
of media), facilities, activities, security information, information 
technology (IT) systems, and databases that are within their purview 
following verification of access authorization and need-to-know.  

d.	Program Implementation.  To support DOE response to threats posed by foreign 
powers or entities and international terrorists attempting to collect intelligence 
information, the CI Program Headquarters and field elements will conduct the 
following activities.  

(1)	Analyze and assess the threat posed by these entities and their activities 
and advise the Department/Administration on potential threats.  

(2)	Develop and execute a comprehensive CI awareness program that 
includes regular briefings to ensure that personnel are aware of their 
responsibilities in support of the CI Program.  Briefings will be integrated 
into or provided in conjunction with required security briefings (e.g., new 
hires’ initial briefings and comprehensive and annual refresher briefings).  

(3)	An effective CI awareness program for employees includes the following.  

(a)	Initial and comprehensive briefings on CI.  Topics include but are 
not limited to overview of the foreign intelligence collection and 
international terrorist threat, espionage indicators, and reporting 
requirements.  

(b)	Annual refresher briefings designed to reinforce and update 
awareness of CI issues and employees’ responsibilities.  

(c)	Additional awareness briefings and training for specific employee 
groups as identified in site-specific awareness plans.  
NOTE:  Portions of the awareness program may be coordinated with the security 
awareness program at the discretion of local site officials.  

(4)	Conduct investigations and inquiries on incidents of CI/counterterrorism 
concern.  

(5)	Develop and conduct IT-based CI activities and acquire information 
systems and other technology-based tools for the CI Program.

(6)	Conduct CI evaluations, to include CI-scope polygraph examinations, for 
covered persons in certain high risk programs.  

e.	Graded Protection.  DOE will determine and allocate the level of CI resources to 
be applied based on the perceived level of risk posed to DOE information (e.g. 
classified, unclassified, proprietary, or unclassified controlled information), 
personnel, and assets from intelligence collection by or on behalf of foreign 
powers or entities, international terrorists, and insiders who engage in activities on 
behalf of these entities. 

f.	Site-Specific CI Support Plans.  CI program plans will be tailored to address 
site-specific concerns and will be developed in coordination with OCI/ODNCI 
and the local or servicing CI office.  Site-specific CI support plans should address 
the following areas at a minimum.  

(1)	Threat Analysis.  Conduct an assessment of the threat from foreign 
intelligence collection and international terrorist activities tailored to the 
site and conduct ongoing analysis of the threat to support prioritization of 
local and national CI Program activities.  

(2)	Information Technology.  Develop specific action plans to counter the 
threat to information systems posed by foreign intelligence collection and 
international terrorist activities.  

(3)	Awareness.  Ensure that site management and personnel are aware of their 
responsibilities in support of the CI Program.  

(4)	Briefing and Debriefing.  Brief and debrief personnel whose activities 
require foreign travel, hosting foreign visitors or assignees, or working in 
high-risk positions or special access programs or who otherwise need 
focused CI program support.  

(5)	Investigations and Inquiries.  Conduct investigations and inquiries on 
matters of CI concern.  

(6)	Liaison.  Interact with local law enforcement and the United States 
intelligence community (USIC) in support of the site CI Program.  

(7)	Unclassified Foreign Visits and Assignments (UFVA) Program Support.  
Coordinate UFVA matters in support of the site CI Program.  

(8)	Security Support.  Coordinate with security program administrators on 
matters related to the site CI Program.  

(9)	Support the CI Evaluations Program.  Conduct activities in support of CI 
evaluations of high-risk personnel as required by law and DOE 
regulations.  

(10)	Foreign Travel.  Coordinate foreign travel matters in support of the site CI 
Program.  

(11)	Training.  Address training needs of CI staff and CI Representatives and 
site staff on CI issues.  

g.	Program Appraisal and Assessment.  

(1)	DOE will strive for continuous CI Program improvement and will 
validate improvement using an internal inspection process.  

(2)	This internal inspection process will include reviewing CI programs and 
activities and making recommendations for improving program 
administration, effectiveness, and efficiency.  

(a)	The OCI Director will review and assess the CI Program regularly 
in accordance with established program requirements.  To support 
these assessments, the Director and the ODNCI Chief will consult, 
as appropriate, with OCI program directors, site/facility managers, 
other DOE officials, and USIC and law enforcement officials with 
whom CI office personnel interact in the course of official 
business.  For NNSA specific sites, assessments will be scheduled 
in coordination with the ODNCI Chief.  

(b)	Performance assessments may cover but are not limited to the 
following program dimensions and functional activities:  

1	quality, quantity, and/or timeliness of investigations, 
actions recommended in accordance with such overriding 
requirements as referrals to the Federal Bureau of 
Investigation (FBI) under Section 811 of the Intelligence 
Authorization Act of 1995;

2	quality and effectiveness of CI program management 
(planning, organizing, directing/executing, budgeting, 
coordinating, communicating, evaluating, and quality 
assurance) in relation to resources, personnel, and 
operations;

3	quality and effectiveness of program components to include 
the integration of UFVA, awareness, briefing and 
debriefing, reporting, investigations, information and 
special technologies, analysis, information management, 
financial management, liaison, training, evaluation program 
support, unique and/or high-risk personnel administration, 
and high-risk personnel evaluation;

4	compatibility of performance results with OCI/ODNCI 
policies, procedures, program directives, strategic planning, 
and other administrative requirements;

5	quality of data gathered, evaluated, recorded, and reported 
through CI briefings and debriefings of individuals who 
have professional, substantive personal, enduring, or 
financial contact with sensitive country foreign  
nationals; 

6	program capability to define and counter CI risks and 
concerns resulting from DOE activities, especially those 
that involve interaction with foreign nationals for official 
and unofficial reasons;

7	quality, accuracy, and timeliness of CI work products 
submitted in response to requirements, assignments, or 
requests for support issued by the OCI Director or the 
ODNCI Chief;

8	quality of local CI program liaison and interaction  
with local FBI, USIC, and law enforcement  
personnel; 

9	measures taken to identify and resolve matters of CI 
concern and promote proactive interaction, 
communications, and liaison with the site/facility manager, 
contract manager, and other operational elements (e.g., 
security, personnel administrators, export control, 
technology transfer, classified and unclassified computer 
security, foreign travel, and foreign visits and  
assignments).  

(3)	The OCI/ODNCI will maintain records of inspection scheduling, criteria, 
recommendations, and corrective actions for the Secretary and 
Administrator.  

h.	Local CI Office.  The OCI Director/ODNCI Chief, in consultation with 
appropriate Secretarial officers and site/facility management, will establish local 
CI offices at specific sites and locations.  Local CI offices will implement the CI 
Program at those sites/facilities and may also act as the servicing CI offices for 
additional DOE sites/facilities as designated by the OCI Director and the ODNCI 
Chief.  

i.	Servicing CI Office.  Some local CI offices at DOE sites/facilities will be 
designated as servicing CI offices for additional facilities to support CI Program 
implementation at sites where it has been determined that a permanent local CI 
office is not required.  Servicing CI offices will support implementation of a 
graded approach to the CI Program and efficient use of resources within the CI 
Program and supported sites/facilities.  

j.	Indices Checks.  

(1)	UFVAs involving terrorist- or sensitive-country nationals, sensitive 
subjects, and visits to security areas require that indices checks be 
requested 30 days before the first day of access.  

(2)	In rare cases when there is insufficient time to complete an indices check 
before the first day of access, the approval authority may request a CI 
consultation in lieu of the completing indices check for non-terrorist 
country nationals.  Counterintelligence consultations may not be 
employed as a standard alternative to indices checks.

(3)	Relief from the requirement to submit an indices check request 30 days in 
advance is provided to some sites for certain unclassified foreign national 
visits.  This relief applies only to visits of 30 days or less and visits not 
involving sensitive subjects, security areas or visitors from 
terrorist-supporting countries.  The relief does not apply to assignments.  

5.	RESPONSIBILITIES.  

a.	Secretary of Energy.  

(1)	Promulgates DOE CI policies for the Department, including the NNSA. 

(2)	Maintains an effective CI Program in accordance with E.O. 12333, the 
National Defense Authorization Act (NDAA) of 2000, and DOE 
Procedures for Intelligence Activities to ensure that the program—

(a)	conducts CI activities to protect DOE information (e.g. classified, 
unclassified controlled information, proprietary, unclassified), 
personnel, and assets from intelligence collection by  
international terrorists or on behalf of foreign powers or entities 
and 

(b)	detects and deters efforts of insiders who engage in activities on 
behalf of a foreign intelligence service or international terrorist 
entity.  

(3)	Delegates non-NNSA management, implementation, and oversight 
responsibilities to the OCI Director.  

(4)	Delegates to a management panel consisting of the Director, Office of 
Security; Director, Office of Intelligence; and the Director, OCI, authority 
to approve access by foreign nationals who were born in, are citizens of, 
are employed by, or are representing entities in countries identified as 
state sponsors of terrorism.  

(5)	Authorizes the NNSA Administrator to delegate responsibility 
for implementing a CI Program for NNSA to the ODNCI Chief.  

b.	Administrator, NNSA.  

(1)	Establishes and maintains an effective CI Program in accordance with 
E.O. 12333, the NDAA of 2000, and DOE Procedures for Intelligence 
Activities to—

(a)	implement CI Program policies for NNSA sites and facilities;  

(b)	conduct CI activities to protect NNSA information (e.g. classified, 
unclassified controlled information, proprietary, unclassified), 
personnel, and assets from intelligence collection by or on behalf 
of foreign powers or entities and international terrorist activities; 
and

(c)	detect and deter insiders who engage in activities on behalf of a 
foreign intelligence service or international terrorist entity.  

(2)	Delegates CI Program implementation and related responsibilities to the 
ODNCI Chief.  

c.	Secretarial Officers.  

(1)	Support the implementation of an effective CI Program by providing 
program and project direction consistent with DOE-wide  
CI directives.  

(2)	In coordination with the OCI Director and the ODNCI Chief—

(a)	ensure that adequate CI programs are established across the 
Department/Administration; 

(b)	support the OCI or ODNCI as appropriate in the development, 
review, and approval of site-specific CI support plans for each site 
under their purview;

(c)	establish CI support programs for their respective Headquarters 
elements and designate CI Representatives for Headquarters 
organizations, as appropriate;

(d)	ensure that contractors’ requests for procurement requiring 
application of this Order incorporate requirements specified in the 
CRD of this Order;

(e)	ensure that contracting officers for each site/facility are notified 
when site/facility management contractors are affected by 
requirements of this Order and ensure that the CRD is incorporated 
into affected site/facility management contracts; 

(f)	ensure that non-DOE-funded work under their jurisdiction is 
protected in accordance with applicable DOE CI directives; and

(g)	support the establishment of local CI offices.  

d.	OCI Director and ODNCI Chief (jointly).  

(1)	Delegate day-to-day CI Program implementation to functional program 
directors and coordinate management of program priorities and activities.  

(2)	In consultation with the appropriate Secretarial officers and each site, 
facility, operations office, service center, director or manager within their 
respective jurisdictions, establish local CI offices to implement the CI 
Program in accordance with the provisions of this Order and other DOE 
directives and nationally mandated CI requirements.  

(3)	Designate senior CI officers (SCIOs) at site, facility, or operations 
office/service centers to manage the local CI offices.  

(4)	In consultation with the appropriate Secretarial officers and site, facility, 
and operations offices, or service center managers within their respective 
jurisdictions, designate servicing CI offices for facilities without local CI 
offices.  

(5)	In coordination with appropriate local field management, designate 
individuals to serve as counterintelligence representatives (CRs) at sites 
supported by servicing CI offices.  

(6)	Oversee the assignment of CI responsibilities and execution by servicing 
SCIOs in support of CI Program activities.  

(7)	Maintain liaison with the FBI and other law enforcement and intelligence 
agencies and programs regarding CI information, activities, and 
investigations in their respective areas.  

(8)	Coordinate the development, implementation, and maintenance of a joint 
OCI/ODNCI strategic plan to guide long-term CI program and budget 
planning.  

(9)	Ensure professional training development and continuing professional 
availability for CI personnel across the DOE complex.  

(10)	Establish and maintain training necessary for Departmental and Agency 
staff to ensure appropriate awareness and professional knowledge of CI 
issues for the conduct of the broader national security missions. 

(a)	The CI Training Academy (CITA) has been established as an 
independent element of the National Training Center (NTC) in 
Albuquerque, NM to support the Training and Awareness 
Program.  

(b)	The CITA’s primary missions are designed to—

1	support the development of professional training for CI 
staff across the complex and

2	support the training of other departmental and agency staff 
for awareness and professional knowledge of CI issues as 
they relate to the Department’s broader national security 
missions.  

(c)	The CITA will participate in the continued enhancement of the 
Department’s/Administration’s educational services capability for 
national security professionals.  

(11)	Ensure that the CI training program integrates the resources of the USIC 
into the CI Program for efficiency.  

(12)	Ensure that the DOE CI staffs maintain proficiency levels comparable to 
their USIC peers.  
(13)	Establish and maintain a records management system to support the 
OCI/ODNCI.  

e.	Director, OCI.  

(1)	Reports directly to the Secretary, with direct access to all Department 
officials and contractors.

(2)	Establishes policy for CI programs and activities at Departmental 
facilities in accordance with E.O. 12333, Section 3204 of the National 
Defense Authorization Act and DOE Procedures for Intelligence 
Activities requirements to—

(a)	conduct CI activities to protect DOE information (e.g. classified, 
unclassified controlled information, proprietary, unclassified), 
personnel, and assets from intelligence collection activities by or 
on behalf of foreign powers or entities and international terrorist 
activities and 

(b)	detect and deter insiders who engage in activities on behalf of a 
foreign intelligence service or international terrorist entity.  

(3)	Issues policy directives for the CI Program, and manages and directs 
non-NNSA CI programs at Headquarters and in the field.  

(4)	Consults with the ODNCI Chief on policy formulation or changes and on 
interagency or National Security Council (NSC) policy matters.  

(5)	Coordinates policy development as necessary with the senior intelligence 
officer to ensure compliance with Executive orders, Director of  
Central Intelligence directives and DOE Procedures for Intelligence 
Activities.  

(6)	Manages and directs the DOE Counterintelligence Inspection and 
Polygraph programs.

(7)	Manages and directs Headquarters staff, line element, and administrative 
support for the CI program, including maintaining the integrity of 
information management and classified CI databases.  

(8)	Provides information on the status and effectiveness of CI programs and 
activities at Departmental facilities to the Secretary, the Director of 
Central Intelligence, and the Director of the FBI on a regular basis and in 
answer to special requests.  

(9)	Issues DOE referrals (including all referrals originating from within 
NNSA) to the FBI pursuant to Section 811 of the Intelligence 
Authorization Act of 1995 [Title 50 United States Code (U.S.C.) 402(a)].  

(10)	Establishes policy on qualifying and credentialing of OCI/ODNCI 
personnel and manages the control, issuance, and use of CI credentials 
and shields.  

(11)	Supports UFVA activities as follows.  

(a)	Establishes and identifies CI policy and information requirements 
related to access by foreign nationals to DOE sites, programs, 
technologies, and information for inclusion in the UFVA Program.  

(b)	Provides advice to Headquarters approval authorities and supports 
field CI officers with guidance on foreign national access issues to 
consider in reviews.  

(c)	Ensures that local capability and expertise is available to provide 
effective CI advice to local approval authorities regarding access 
approval requests.  

(d)	Develops and provides CI awareness modules for UFVA training.  

(e)	Coordinates the external indices check process with the appropriate 
U.S. Government agencies.  

(f)	Documents and maintains DOE-wide information on requests for 
and completion of indices checks.  

(g)	Maintains separate, classified analytical databases to document 
foreign interaction at DOE sites.  

(h)	As a member of the Secretary’s Headquarters Management Panel, 
reviews applications for nationals of state sponsors of terrorism 
visits.  

(12)	Establishes policy on CI briefings/debriefings for DOE personnel on 
official travel to countries where they intend to have or have had 
discussions with sensitive country foreign nationals regarding  
sensitive subjects.  This would include travel known in advance to 
involve meetings with sensitive country foreign nationals or chance 
meetings where there are foreign nationals from sensitive countries in 
attendance.  

(13)	Establishes policy on, manages, and directs the CI Investigations and 
Operations Program to investigate and conduct inquiries on incidents of 
CI concern.  

(14)	Manages and directs CI investigations and inquiries in DOE.  

(15)	Manages and directs an internal CI inspection process to evaluate the 
efficiency and effectiveness of CI program elements and provides results 
to the Secretary and the Administrator, NNSA.  

(a)	Establishes policy for developing corrective actions, inspection 
findings and recommendations pertaining to DOE sites and 
scheduling and implementation of corrective actions.  

(b)	Coordinates with the ODNCI Chief and the Office of Independent 
Oversight and Performance Assurance inspection scheduling at 
NNSA sites to minimize overlapping inspections.  

(c)	Monitors corrective actions taken for inspection findings and 
recommendations at DOE and NNSA sites.  

(16)	Conducts CI information technology activities to—

(a)	protect DOE information architecture, 

(b)	detect and deter technical attacks and threats posed by intelligence 
collection directed against DOE by hostile foreign intelligence and 
international terrorist elements, and 

(c)	develop and acquire information systems and other 
technology-based tools for the CI program.  

(17)	Conducts analyses of threat posed by foreign intelligence and 
international terrorist activities.  

(18)	Provides threat information to DOE management to support the protection 
of DOE personnel, information, facilities, and assets.  

(19)	Manages a CI evaluation program covering employees and applicants for 
employment who are undergoing CI assessments in connection with their 
placement or retention in high-risk positions as required by law and 
regulations.  

(20)	Develops CI Program security and classification management policies in 
concert with the Chief of ODNCI and coordinates these policies with the 
Office of Security and Office of Intelligence.  

(21)	Ensures that all existing and future DOE site/facility management 
contracts include CI program goals, objectives, and performance criteria.  

(22)	Supports contractor performance evaluation process for implementing the 
CI Program as it applies to DOE contract administration, award fee, and 
appraisal.  

(23)	Develops, manages, and executes the CI Program budget and is 
accountable for coordination, information processing, and presentation of 
the unified CI annual budget to the Chief Financial Officer, the Office of 
Management and Budget, and the Office of Central Intelligence 
community management staff.  Coordinates this activity with the ODNCI 
Chief and coordinates the submission of the CI budget with the Director, 
Office of Intelligence.  

(24)	In coordination with the ODNCI Chief, develops integrating procedures 
to ensure timely responses to requirements set by the Chief Financial 
Officer.  

(25)	Ensures that information developed through CI Program activities is 
shared with appropriate program offices and the Office of Security, 
including information which may affect personnel, physical, and 
information security or operations security (OPSEC); and technical 
surveillance countermeasure (TSCM) programs.  

(26)	Coordinates with the Director, Office of Intelligence, those activities that 
require senior intelligence officer review and approval (per DOE 
Procedures for Intelligence Activities. 

(27)	As the senior counterintelligence officer, reports questionable activities to 
the Inspector General, General Counsel, and the Director of the Office of 
Intelligence as the senior intelligence officer (per E.O. 12333, E.O. 
12863, and DOE Procedures for Intelligence Activities).  

f.	Chief, ODNCI.  

(1)	Reports to the NNSA Administrator, with direct access to the Secretary 
and all other Department officials and contractors.  

(2)	Ensures that DOE CI policies are implemented within NNSA.  

(3)	Develops, implements, and manages CI Programs at NNSA Headquarters 
and field facilities in accordance with E.O. 12333 and DOE Procedures 
for Intelligence Activities requirements to—

(a)	conduct CI activities to protect DOE/NNSA information (e.g. 
classified, unclassified controlled information, proprietary, 
unclassified), personnel, and assets from intelligence collection 
activities by or on behalf of foreign powers or entities and 
international terrorist activities and

(b)	detect and deter insiders who  engage in activities on behalf of a 
foreign intelligence service or international terrorist entity.  

(4)	In coordination with OCI Director, directs OCI Headquarters program in 
support of ODNCI activities.  

(5)	Manages and directs the ODNCI Headquarters staff, line elements, 
and administrative support functions of the CI Program, including  
all personnel, programs, and operations responsible to NNSA  
elements.  

(6)	Implements the CI briefing/debriefing program for personnel who interact 
with foreign nationals and/or may otherwise require focused CI Program 
support.  

(7)	Advises the NNSA Administrator on contractual activities impacting CI 
Program goals, objectives, and performance throughout NNSA.  

(8)	Ensures that all existing and future NNSA associated site/facility 
management contracts include CI program goals, objectives, and 
performance criteria.  

(9)	Coordinates with the OCI Director the scheduling NNSA facilities 
inspections to evaluate the efficiency and effectiveness of CI Program 
elements.  

(10)	For NNSA facilities, develops corrective actions for inspection findings 
and recommendations and schedules those actions to ensure that they are 
fully implemented, in coordination with the OCI Director.  

(11)	Forwards to the OCI Director information on matters requiring a referral 
pursuant to Section 811 of the Intelligence Authorization Act of 1995 
[50 U.S.C. 402(a)] for NNSA and advises the OCI Director concerning 
similar referrals made by the Naval Criminal Investigative Service 
(NCIS) to the FBI regarding Naval Reactors facilities.  

(12)	Oversees, manages and/or directs CI investigations conducted by  
ODNCI offices and keeps the OCI Director informed of  
investigations.  

(13)	Supports the contractor performance evaluation process as it pertains to 
site/facility management contractors’ implementation of the CI Program 
as part of NNSA contract administration, award fees, and appraisal 
provisions.  

(14)	Conducts CI Information Technology activities to—

(a)	protect DOE/NNSA information architecture; 

(b)	detect and deter technical attacks and threats posed by foreign 
intelligence collection directed against DOE/NNSA by hostile 
foreign intelligence and international terrorist elements; and 

(c)	develop and acquire information systems and other technology-
based tools for OCI/ODNCI personnel.  

(15)	Conducts analyses of the threat posed by foreign intelligence and 
international terrorist activities and provides threat information to 
DOE/NNSA management to support the protection of DOE/NNSA 
personnel, information, facilities, and assets.  

(16)	Ensures that information developed through CI program activities is 
shared with the NNSA Office of Defense Nuclear Security, including 
information that may affect personnel security, physical security, 
information security, OPSEC, and TSCM programs.  

(17)	Coordinates with the Director, Office of Intelligence activities that require 
the Director’s review and approval (per DOE Procedures for Intelligence 
Activities).

(18)	Reports all questionable activities to the Inspector General, General 
Counsel, and the Director, Office of Intelligence as the senior intelligence 
officer (per E.O. 12333, E.O. 12863 and DOE Procedures for Intelligence 
Activities).  

(19)	Supports UFVA.  

(a)	Ensures that CI policy and information requirements are adhered to 
for the approval and management of unclassified access approval 
for foreign nationals to NNSA sites, programs, technologies, and 
information for Office of Defense Nuclear Security.  

(b)	Provides advice to NNSA Headquarters approval authorities and 
supports field CI officers with guidance on foreign national access 
issues to consider in performing reviews.  

(c)	For NNSA sites/facilities, ensures that local capability and 
expertise are available to provide effective CI advice to local 
approval authorities regarding access approval requests.  

(d)	For NNSA sites/facilities, develops and provides CI awareness 
modules for UFVA training, as applicable.  

(e)	Supports the coordination of the external indices check process 
with the appropriate U.S. Government agencies.  

(f)	Supports the documentation and maintenance of DOE-wide 
information on requests for and completion of indices checks.  

(g)	Supports the CI Program in maintaining a separate, classified 
analytical database to document foreign interactions at 
DOE/NNSA sites.  

(h)	For NNSA sites/facilities, supports the NNSA Administrator in the 
approval process for nationals of state sponsors of terrorism visits 
in coordination with the Director, Office of Defense Nuclear 
Security; the OCI Director; the Director, Office of Security; the 
Director, Office of Intelligence; the Secretary; or the Secretary’s 
management panel, as appropriate.  

(20)	Develops CI Program security and classification management policies in 
concert with the Director of OCI and coordinates these policies with the 
Office of Security and Office of Intelligence.  

g.	DOE/NSNA Field, Service Center, Site, Laboratory or Facility Managers, and the 
DOE Power Marketing Administrations.  

(1)	Support and adhere to all CI-related statutory and regulatory 
requirements, as well as DOE CI directives impacting DOE CI program 
requirements at their sites.  

(2)	Ensure implementation of DOE CI program requirements at their sites 
and provide support to—

(a)	the local or servicing CI office in the development and 
implementation of site/facility specific CI support plans in 
accordance with paragraph 4f of this Order and

(b)	the OCI Director and or ODNCI Chief in the identification and 
selection of individuals to serve as CI Representatives, as 
appropriate, to support local requirements. 

(3)	Maintain effective coordination with the OCI Director/ODNCI Chief on 
matters of CI interest.  

(4)	Provide the SCIO, local or servicing CI office personnel, and the CI 
Representative direct access to senior management.   

(5)	Ensure that the servicing or local CI office has appropriate access to all 
records, facilities, operational activities, security information, IT systems, 
and databases necessary to perform official duties.  

(6)	Coordinate with the OCI Director/ODNCI Chief to ensure the 
implementation of CI plans for each DOE special access program (SAP), 
including SAP CI threat assessments.  

(7)	Provide support and assistance for CI eligibility evaluations and CI  
scope polygraphs for designated DOE high-risk personnel pursuant to 
statutory provisions and regulatory requirements [see Title 10 Code  
of Federal Regulations (CFR) Part 709, Polygraph Examination 
Regulation].  

(8)	Ensure the implementation of effective CI awareness programs for 
employees that include—

(a)	initial and comprehensive briefings on CI, 

(b)	annual refresher briefings, and 

(c)	awareness briefings and training for specific employee groups as 
identified in site-specific awareness plans.  

NOTE:  Portions of the awareness program may be coordinated with  
the security awareness program at the discretion of local site 
officials.  

(9)	Institute and maintain processes for coordinating adverse personnel 
actions (disciplinary suspensions, terminations, involuntary  
separations, and revocations/reinstatements of access 
authorizations/security clearances) with the responsible local or  
servicing CI office.  

(10)	Ensure that CI resources are actively used to protect and preserve 
classified and/or sensitive programs and operations.  

(11)	Maintain accountability to both the Secretary and the NNSA 
Administrator, as appropriate, for the performance of CI Program 
functions and requirements at their locations.  

(12)	Use performance evaluation information provided by DOE/NNSA 
Headquarters to support performance appraisals of site/facility 
management contractors under their purview.  

(13)	Provide timely, thorough support to Headquarters CI organizations, 
taskings, and requests for information.  

(14)	Support the CI Program in assessing risks associated with sensitive 
country foreign visits and assignments and visits and assignments 
involving sensitive subjects or security areas by—

(a)	supporting effective implementation of the local UFVA  
program,  

(b)	providing recommendations for approval/disapproval of specific 
visits,  

(c)	supporting the conduct of indices checks by the CI Program,  
and  

(d)	supporting briefings and debriefings conducted by the CI Program.  

(15)	Ensure that all employees are aware of the requirement to report the 
following to the local or servicing CI office.  

(a)	Official foreign travel to sensitive countries regardless of whether 
the traveler possesses a security clearance.  

(b)	Travel to countries where they intend to have or have had 
discussions with sensitive country foreign nationals regarding 
sensitive subjects.  This would include travel known in advance to 
involve meetings with sensitive country foreign nationals or 
chance meetings where there are foreign nationals from sensitive 
countries in attendance.  

(c)	All travel to any country when areas determined to be sensitive 
subjects will be discussed.  

(d)	Any substantive professional, substantive personal, or substantive 
or enduring financial relationships (see paragraph 6, Definitions) 
with foreign nationals affiliated with sensitive countries.

(e)	Any contacts with foreign nationals who make requests that could 
be attempts at exploitation or elicitation.  Examples are—

1	requests for documents or information that is viewed by the 
traveler as unexpected or unrelated to the purpose of the 
interaction;

2	requests for the traveler to transport back to the U.S. any 
package(s) or letter(s) for mailing in the U.S.;

3	requests of any kind that cause the traveler to feel 
uncomfortable or call into question the purpose of the 
request;

4	professional contacts and relationships with sensitive 
country foreign nationals, whether they occur at one’s worksite or abroad; and 

5	any foreign travel for which foreign monetary support is 
provided, whether to a sensitive or a non-sensitive country. 

(f)	Requests for unauthorized access to classified or otherwise 
sensitive information.  

(16)	At the discretion of the local or servicing CI office, support the briefing 
and debriefing of employees when—

(a)	they travel to foreign countries, regardless of whether they hold 
security clearances;

(b)	they host both sensitive and non-sensitive country foreign visitors 
and assignees who are going to be given access to sensitive 
subjects or security areas; and

(c)	other circumstances arise which may warrant the briefing and 
debriefing of certain employees to support the  
CI Program.  

(17)	Support the proactive integration and use of information security and 
intrusion detection resources and capabilities to protect DOE/NNSA 
information architecture and deter and prevent technical attacks and other 
threats posed by foreign intelligence activities directed against 
DOE/NNSA by hostile foreign intelligence collection and international 
terrorist elements.  

(18)	Support analyses of the threat posed by foreign intelligence and 
international terrorist activities and provide threat information to 
DOE/NNSA management to support the protection of DOE/NNSA 
personnel, information, facilities, and assets.  

(19)	Support investigations and inquiries on incidents of CI concern.  

h.	Director, Office of Security.  

(1)	Provides DOE/NNSA CI Federal and contractor personnel access to 
appropriate security records and files throughout the DOE complex as 
needed to conduct CI activities in accordance with this Order and 
applicable laws, regulations, Executive orders, and other  
DOE directives.  

(2)	Ensures that Office of Security managers and personnel promptly refer to 
the OCI Director, the ODNCI Chief, or field CIOs information of CI 
concern identified in the standard course of fulfilling Office of Security 
mission requirements.  This includes security incidents having foreign 
nexus implications or involving hostile foreign intelligence collection or 
international terrorist activity or incidents which may indicate deliberate 
compromise of classified information or technical penetration of DOE 
facilities.  

(3)	With the OCI Director and ODNCI Chief reviews matters pertaining to 
hostile foreign intelligence collection and international terrorist activities 
to ensure a coordinated assessment of and response to threats.  This 
includes collaborating as necessary—

(a)	design basis threats;

(b)	OPSEC vulnerability assessments;

(c)	technical surveillance countermeasures activities;

(d)	security and counterintelligence awareness programs; and

(e)	personnel security, information security, and protection  
operations.  

(4)	In cooperation with the OCI Director, coordinates the UFVA program  
and policies in accordance with DOE O 142.3, Unclassified Foreign 
Visits and Assignments, dated 6-18-04, to support CI Program 
implementation. 

i.	Associate Administrator for Defense Nuclear Security.  

(1)	Provides DOE/NNSA CI Federal and contractor personnel access  
to appropriate records and files throughout the DOE complex as  
needed to conduct CI activities in accordance with this Order and 
applicable laws, regulations, Executive orders, and other DOE 
directives.  

(2)	Ensures that Office of Defense Nuclear Security managers and personnel 
promptly refer to the OCI Director, the ODNCI Chief, or field CI 
personnel any information of CI concern that is identified in the standard 
course of fulfilling Office of Defense Nuclear Security mission 
requirements.  This includes any security incidents having foreign nexus 
implications or involving threats from hostile foreign intelligence 
collection or international terrorist activity or incidents which may 
indicate deliberate compromise of classified information or technical 
penetration of DOE facilities.  

(3)	With the OCI Director and ODNCI Chief reviews matters pertaining to 
hostile foreign intelligence collection and international terrorist activities 
to ensure a coordinated assessment of and response to threats.  This 
includes collaborating as necessary—

(a)	design basis threats; 

(b)	OPSEC vulnerability assessments at applicable sites/facilities

(c)	TSCM activities at NNSA sites/facilities

(d)	security and counterintelligence awareness programs at NNSA 
sites/facilities, and 

(e)	personnel security, information security, and protection  
operations.  

(4)	With the ODNCI Chief coordinates UFVA programs and policies in 
accordance with DOE O 142.3, Unclassified Foreign Visits and 
Assignments, dated 6-18-04, and supports CI Program  
implementation.  

j.	Director, Office of Intelligence.  

(1)	Acts as the senior intelligence officer for DOE and oversees  
the Department’s intelligence activities pursuant to  
E.O. 12333.  

(2)	Provides for and/or coordinates the gathering of foreign  
intelligence information for OCI/ODNCI Headquarters and field 
elements.  

(3)	Coordinates CI matters with the OCI Director/ODNCI Chief.  

(4)	Coordinates with the OCI Director/ODNCI Chief the dissemination of CI 
threat information.  

(5)	Supports OCI/ODNCI responsibilities to analyze, produce, and 
disseminate threat related CI information.  

(6)	Coordinates with the OCI Director/ODNCI Chief on the development of 
the DOE/NNSA portion of the National Foreign Intelligence Program 
(NFIP) budget.  

k.	Deputy Administrator for Naval Reactors.  Ensures that all activities at joint 
NNSA-Navy sites involving CI interests are conducted in accordance with current 
specific agreements among ODNCI, the Department of the Navy, NCIS, the 
Office of Naval Reactors, and E.O. 12344, Naval Nuclear Propulsion Program.  

l.	Local/Servicing CI Office Senior Counterintelligence Officers.  

(1)	Implement the CI Program and related policies, standards, and guidelines 
pursuant to legal and regulatory mandates, provisions of this Order, DOE 
CI directives and other requirements.  

(2)	Ensure that site-specific CI support plans are developed in accordance 
with paragraph 4f of this Order for sites/facilities for which the 
local/servicing CI office is responsible.  

(3)	Serve as primary CI advisors and provide CI support to DOE/NNSA 
site/facility management in accordance with established local/servicing CI 
office areas of responsibility while maintaining concurrent accountability 
to the OCI Director/ODNCI Chief for fulfilling CI Program  
requirements.  

(4)	Pursuant to Section 811 of the Intelligence Authorization Act of 1995, 
immediately forward to the OCI Director/ODNCI Chief for referral by the 
OCI Director to the FBI any information, regardless of origin, which 
indicates that classified information is being or may have been disclosed 
in an unauthorized manner to a foreign power or an agent of a foreign 
power.  

(5)	Establish and/or maintain records management systems that support 
local/servicing CI offices, in coordination with the OCI Director/ODNCI 
Chief.  

(6)	Notify OCI/ODNCI of all incidents of CI concern involving suspected or 
identified foreign intelligence or international terrorism activities, as well 
as suspected or identified technical penetrations affecting persons or 
facilities under their jurisdiction, and document these in appropriate CI 
information systems.  

(7)	Implement CI briefing/debriefing programs for personnel who travel to 
sensitive countries or interact or have contact with foreign nationals, 
pursuant to CI Program policy and under the direction of the OCI 
Director/ODNCI Chief.  

(8)	Support CI analyses of threats posed to sites/facilities by foreign 
intelligence and international terrorist activities and provide relevant 
threat information to CI investigative, training and awareness,  
and Information and Special Technology Program (ISTP) personnel and 
outside offices such as those involved in the execution of the  
foreign visits and assignments process and other national security-related 
duties.  

(9)	Ensure the proactive integration and use of information security and 
intrusion detection capabilities to protect DOE/NNSA information 
architecture and to detect and deter technical attacks and intelligence 
gathering activities directed against DOE/NNSA by hostile foreign 
intelligence and international terrorist elements.  

(10)	Ensure entry of all CI-relevant data into CI-Net applications, including 
the results of debriefings, analyses, cyber and liaison incident reports, 
and other lead information supplied by DOE or United States CI 
community.  

(11)	Conduct liaison with site counterparts (e.g., security, intelligence, export 
control, technology transfer, TSCM, OPSEC, and nonproliferation 
personnel) on national security matters.  

(12)	Conduct liaison with local, state, and Federal intelligence community and 
law enforcement agencies concerning CI matters and maintain complete 
records of these interactions.  

(13)	Execute OCI/ODNCI mission and related strategic plan requirements to 
detect and deter foreign intelligence collection activities and unauthorized 
personnel from compromising DOE assets (i.e., information, classified 
and unclassified computers).  

(14)	Support Headquarters OCI/ODNCI requests for information and 
assistance for other CI activities as deemed appropriate by the OCI 
Director/ODNCI Chief.  

(15)	Support and assist the CI Evaluation Program covering designated DOE 
high-risk personnel as required by current statutory provisions and related 
regulatory requirements (see 10 CFR Part 709).  

(16)	Ensure that the implementation of an effective CI awareness program for 
employees includes—

(a)	initial and comprehensive briefings on CI,  

(b)	annual refresher briefings to reinforce and update awareness of CI 
issues and employee responsibilities, and 

(c)	additional awareness briefings and training for specific employee 
groups as identified in site-specific awareness plans.  
NOTE:  Portions of the awareness program may be conducted in 
conjunction with the security awareness program at the discretion 
of local site officials.  

(17)	Ensure that CI personnel receive professional training and development 
necessary to execute their duties in support of the CI mission and 
OCI/ODNCI strategic plan.  

(18)	Ensure coordination with the local supporting security, human resources 
or other organizational entity to institute and maintain a process for 
coordinating adverse personnel actions (e.g., disciplinary suspensions, 
terminations, involuntary separations, and revocations/reinstatements of 
access authorizations/security clearances).  

(19)	Implement local programs to assess CI concerns associated with foreign 
visitors and assignees and foreign travel.  

(20)	Ensure that CI resources are actively used to protect and preserve 
classified and/or sensitive programs and operations.  Focus will be 
prioritized on programs with subject matter, personnel, or activities 
believed to be of hostile foreign intelligence collection or international 
terrorist interest, where the possible loss of classified or sensitive 
information and materials imposes substantive national security concerns, 
and where there is significant interaction with sensitive country foreign 
nationals.  

(21)	Support the evaluation of sensitive country foreign nationals’ visits and 
assignments, and foreign visits and assignments involving sensitive 
subjects or security areas, including recommendations for 
approval/disapproval, background checks, and CI briefings and 
debriefings for hosts.  

(22)	Work in close cooperation with contractor CI personnel.  

(23)	Provide UFVA support.  

(a)	Review requests for foreign national access approval (e.g., visits 
involving information and technologies that are releasable to the 
public) and requests for designation of optional areas within 
property protection areas without sensitive information for CI and 
counterterrorism implications.  

(b)	At the request of a local hosting site, provide CI consultations to 
the approval authority and his or her designees to evaluate foreign 
national access in the absence of the required completed indices 
check, and document that the consultation was conducted in the 
Foreign Access Central Tracking System.  

(c)	Conduct briefings and debriefings of hosts/sponsors/escorts of 
foreign visitors and assignees and develop and provide CI 
awareness modules for local UFVA training.  

(d)	Coordinate the external indices check process for local sites.  

(e)	Document foreign interactions at local sites in the applicable 
databases.  

(f)	Support the approval process for nationals of state sponsors of 
terrorism visits in coordination with the OCI Director.  

(24)	Support CI activities for IT to—

(a)	protect the DOE information architecture, 

(b)	detect and deter technical attacks and intelligence collection 
directed against DOE by hostile foreign intelligence and 
international terrorist elements, and 

(c)	develop and acquire information systems and other 
technology-based tools for the CI program.  

(25)	Support analyses of the threat posed by hostile foreign intelligence 
collection and international terrorist activities for CI purposes, and 
provide threat information to DOE management to support the protection 
of DOE personnel, information, facilities, and assets.  

(26)	Conduct investigations and inquiries on incidents of CI concern. 

(27)	Develop criteria and establish a process to identify and document site-
specific unique access programs, positions and individuals. 

m.	CI Representatives.  Coordinate with assigned servicing CI office SCIOs  
and local site management the implementation of the local CI Program  
which includes assistance to the servicing CI office for the development of a 
site-specific CI support plan and support to servicing CI office  
investigations.

NOTE:  CI Representatives will not conduct CI investigations independent of the 
servicing CI office.  The servicing CI office will conduct investigations 
and may request the support of the CI Representative.  

n.	Contracting Officers  will incorporate the CRD of this Order (Attachment 2) into 
affected site/facility management contracts via the laws, regulations, and DOE 
directives clause and upon notification that the Order is applicable to a 
procurement action.  

o.	DOE Federal Employees.  

(1)	Report substantive professional, business, or personal contacts and 
relationships with sensitive country foreign nationals to the local or 
servicing CI office or local CI Representative (see paragraph 6, 
Definitions).  

(2)	Follow established procedures to notify local or servicing CI offices of 
impending official or unofficial travel to sensitive countries or to any 
foreign country for discussions involving sensitive subjects so that they 
may receive CI awareness briefings to mitigate potential risks and help 
prepare them for their visits.  

(3)	On return from official or unofficial travel, cooperate in CI debriefings to 
gather information about experiences that may be helpful to future 
travelers and to assist in ongoing analyses of CI vulnerabilities and 
threats.  

(4)	Notify the local or servicing CI office of foreign travel, whether to a 
sensitive country or not, for which substantive foreign monetary support 
is provided.  

(5)	As hosts for sensitive and non-sensitive country visitors and assignees 
who will be given access to sensitive subjects or security areas, maintain 
availability for pre- and post-visit or assignment briefings/debriefings by 
the local or servicing CI office.  

(6)	Report to the local or servicing CI office information concerning any 
approach or contact by an individual, regardless of nationality, attempting 
to acquire unauthorized access to sensitive or classified information or 
materials; attempts to commit espionage, sabotage, or terrorist acts 
against the United States; or any deliberate or foreign related 
incident/action regarding the loss, compromise, or suspected compromise 
of classified information.  

6.	DEFINITIONS.  

a.	Counterintelligence (CI)  —the information gathered and activities conducted to 
protect against espionage or other intelligence activities, sabotage, or 
assassinations conducted for or on behalf of foreign powers, organizations, or 
persons or international terrorist activities, but not including personnel, physical, 
document, or communications security programs.  

b.	CI Employee —any full-time or part-time Federal or contractor employee who is 
designated by the OCI Director or the ODNCI Chief as having CI Program  
responsibilities that require participation in and/or access to sensitive CI matters, 
databases, and/or records.  

c.	CI Evaluation —the process, including a CI scope polygraph examination, 
employed by the Office of Counterintelligence to determine whether DOE Federal 
and contractor employees, other individuals assigned or detailed to Federal 
positions at DOE, or applicants for employment will be recommended for initial 
or continued access to high-risk positions, pursuant to required statutory 
provisions and related regulatory requirements embodied in DOE regulations at 
10 CFR Part 709.  

d.	CI Indicator —information that reflects possible foreign intelligence or 
international terrorist motives/involvement/activity.  

e.	CI Investigation —administrative fact-finding and information gathering 
conducted by the DOE Office of Counterintelligence/NNSA Office of Defense 
Nuclear Counterintelligence to determine whether national security is being 
threatened and/or damaged by activities perpetrated against DOE personnel, 
information, activities, facilities, and technologies or systems by or on behalf of 
foreign powers, organizations or persons, or international terrorist  
organizations.  

f.	CI Officer (CIO) —a Federal or contractor employee appointed by the OCI 
Director/ODNCI Chief to conduct investigative matters and various additional 
duties in support of the CI Program.  CIOs normally report to a senior CIO who is 
responsible for a specific CI Program field office.  

g.	CI Polygraph Program —engagement in activities and processes for administering 
CI scope polygraph examinations pursuant to required statutory provisions and 
related regulatory requirements embodied in DOE regulations at  
10 CFR Part 709.  

h.	CI Representative —an employee who is formally appointed by local site 
management to serve in a coordination role with the CI Program.  CI 
Representatives will normally be appointed when there are no on-site CI program 
personnel and where a servicing CI office covers the facility.  The CI 
Representative acts as the interface between a servicing CI office and the local 
site to support CI Program implementation at the site.  

i.	Elicitation — subtle extraction of information during an apparently normal and 
innocent conversation

j.	Emotional Bonds —feelings of affection or emotional attachment in a relationship.  

k.	Enduring Relationship —one that has existed or is expected to exist for a 
substantial period of time (months or years).  

l.	Exploitation —the harmful, merely instrumental utilization or unfair advantage of 
an individual or his capabilities for one’s own gain.
m.	Foreign Intelligence —information relating to the capabilities, intentions, and 
activities of foreign powers, organizations, or persons but not including 
counterintelligence other than information on international terrorist activities.  

n.	Foreign Interest —any of the following:  

(1)	a foreign government or foreign government agency; 

(2)	any form of business enterprise organized under the laws of any country 
other than the United States or its possessions; 

(3)	any form of business enterprise organized or incorporated under the laws 
of the United States or a State or other jurisdiction within the United 
States that is owned, controlled, or influenced by a foreign government, 
agency, firm, corporation, or person; or 

(4)	any person who is not a U.S. citizen.  

o.	Foreign National —anyone who is not a U.S. citizen by birth or naturalization.

p.	Foreign Nexus —specific indications that a DOE employee or contractor employee 
is or may be engaged in clandestine or unreported relationships with foreign 
powers, organizations or persons, or international terrorists, contacts with foreign 
intelligence services; or other hostile activities directed against DOE facilities, 
property, personnel, programs, or contractors by or on behalf of foreign powers, 
organizations or persons, or international terrorists. 

q.	High-Risk —programs, offices, and positions subject to the counterintelligence 
evaluation and polygraph examination provisions specified in DOE regulations at 
10 CFR 709. 

r.	Insider —anyone with authorized, unescorted access to any part of DOE facilities 
and programs.

s.	International Terrorism —the unlawful use of force or violence by a group or 
individual who has some connection to a foreign power or whose activities 
transcend national boundaries against persons or property, for purposes of  
intimidating or coercing a government, the civilian population, or any segment 
thereof in furtherance of political or social objectives.  

t.	Local CI Office —the location where the CI Program has established a full-time 
presence for the conduct of CI Program activities staffed by personnel assigned to 
the CI program.  

u.	National Nuclear Security Administration (NNSA) Facilities —the laboratories 
and facilities covered by NNSA:  Los Alamos, Lawrence Livermore, and Sandia 
national laboratories; the Kansas City, Pantex, and Y-12 plants; tritium operation 
facilities at the Savannah River Site; the Nevada Test Site; and any other sites or 
facilities as designated by the Secretary in consultation with the NNSA 
Administrator (see P.L. 106-65).  

v.	Senior CI Officer (SCIO) —a Federal or contractor employee serving full-time  
in support of the CI program and responsible for the management of a specific  
CI program field office located within a specific facility or housed in a  
location that services a number of facilities.  SCIOs are appointed by the OCI 
Director or the ODNCI Chief directly or in consultation with local  
management.  

w.	Servicing CI Office —local DOE CI offices staffed with full-time personnel and 
assigned responsibility for providing CI services to additional designated DOE 
facilities including those without full-time personnel and ensuring that all 
Departmental activities receive necessary CI services.  

x.	Substantive Relationship —one that is enduring and involves substantive sharing 
of personal information and/or the formation of emotional bonds.  

y.	Substantive Sharing (of personal information) —discussion of private information 
about oneself that one would not routinely share with strangers.  

7.	REFERENCES.  The following references constitute the enabling legislation, 
memorandums, policies, and directives and guidance documents for DOE O 475.1.  

a.	DOE O 142.3, Unclassified Foreign Visits and Assignments Program, dated 
6-18-04.  

b.	DOE O 551.1B, Official Foreign Travel, dated 8-19-03.  

c.	E.O. 12333, United States Intelligence Activities, December 4, 1981; implemented 
by Department of Energy Procedures for Intelligence Activities as approved by 
the Office of the Attorney General of the United States, October 19, 1992.  

d.	E.O. 12344, Naval Nuclear Propulsion Program, dated February 1, 1982.  

e.	E.O. 12958, Classified National Security Information, dated April 17, 1995.  

f.	E.O. 12968, Access to Classified Information, dated August 2, 1995.  

g.	Presidential Decision Directive (PDD)/NSC-12, Security Awareness and 
Reporting of Foreign Contacts, dated August 5, 1995.  

h.	PDD/NSC-61, U.S. Department of Energy Counterintelligence Program (U), 
dated February 11, 1998.  

i.	10 CFR 709, Polygraph Examination Regulations.  

j.	Public Law (P.L.) 83-703, Atomic Energy Act of 1954, as amended.  

k.	P.L. 106-65, National Defense Authorization Act for Fiscal Year 2000.  

l.	P.L. 106-398, National Defense Authorization Act for Fiscal Year 2001.  

m.	P.L. 80-253, National Security Act of 1947, as amended by Title VIII of the 
Intelligence Authorization Act of 1995(P.L. 103-359).  

n.	Secretarial Policy Memorandum regarding governing the relationship between the 
DOE Office of Counterintelligence and the NNSA Office of Defense Nuclear 
Counterintelligence, dated January 19, 2001.  

o.	Mapping the Future of the Department of Energy’s Counterintelligence Program 
(U), dated July 1998.  

p.	White House Memorandum, Early Detection of Espionage and other Intelligence 
Activities through the Identification and Referral of Anomalies, dated 
August 23, 1996.  

q.	Department of Energy Procedures for Intelligence Activities as approved by the 
Office of the Attorney General of the United States, dated October 19, 1992.  

r.	Office of Counterintelligence Memorandum, Relief from Requirement to Conduct 
Indices Checks in Advance of Certain Visits, dated January 10, 2001.  

s.	Delegation Order No. 00-020.00 to the Director of Intelligence, dated 
December 6, 2001.  

8.	CONTACT.  Questions concerning this Order should be directed to the OCI at 
202-586-5901.  Questions regarding NNSA CI activities should be directed to ODNCI at 
202-586-9018.  

BY ORDER OF THE SECRETARY OF ENERGY:
	KYLE E. McSLARROW
	Deputy Secretary

PRIMARY DOE ORGANIZATIONS TO WHICH DOE O 475.1 IS APPLICABLE

Office of the Secretary
Departmental Representative to the Defense Nuclear Facilities Safety Board
Energy Information Administration
National Nuclear Security Administration
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Office of Economic Impact and Diversity
Office of Electric Transmission and Distribution
Office of Energy Assurance
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Independent Oversight and Performance Assurance
Office of Inspector General
Office of Intelligence
Office of Legacy Management
Office of Management, Budget and Evaluation/Chief Financial Officer
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security
Office of Security and Safety Performance Assurance
Secretary of Energy Advisory Board
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration

CONTRACTOR REQUIREMENTS DOCUMENT 
DOE O 475.1, Counterintelligence Program

Regardless of the performer of the work, the contractor is responsible for compliance with the 
requirements of this Contractor Requirements Document (CRD).  The contractor is responsible 
for flowing down the requirements of this CRD to subcontractors at any tier to the extent 
necessary to ensure the contractor’s compliance with the requirements.  In doing so, the 
contractor will not unnecessarily or imprudently flow down requirements to subcontracts.  That 
is, the contractor will ensure that it and its subcontractors comply with the requirements of this 
CRD to the extent necessary to ensure the contractor’s compliance and only incur costs that 
would be incurred by a prudent person in the conduct of competitive business.  

The purpose of the Department of Energy (DOE)/National Nuclear Security Administration 
(NNSA) Counterintelligence (CI) Program is to gather information and engage in activities that 
are designed to protect Departmental resources and personnel against espionage or other 
intelligence activities, sabotage, or assassinations conducted for or on behalf of foreign powers, 
organizations, or persons or international terrorist activities.  

This CRD establishes CI requirements for DOE contractors, including NNSA contractors.  

1.	BACKGROUND.  The Director of the DOE Office of Counterintelligence (OCI) or the 
Chief of the NNSA Office of Defense Nuclear Counterintelligence (ODNCI) consults 
with appropriate DOE field site/facility management within their respective jurisdictions 
to establish local CI offices with full-time Federal and contractor CI personnel who 
implement the CI Program.  

In addition, determinations are made concerning each local CI office as to whether it will 
act as a servicing CI office for facilities that do not have local CI offices.  A CI office 
may service more than one field office or site.  The OCI Director/ODNCI Chief, to 
support CI Program requirements, may change the scope of responsibility for each local 
CI office.  

For managing and operating contractors, when it is determined that no local CI office is 
required, a servicing CI office for that contract will be designated and the contractor will 
be required to support the requirements of the site-specific CI plan developed for that 
contract in coordination with the servicing CI office and the OCI Director or the ODNCI 
Chief, as appropriate. 
 
At facilities not requiring a local CI office, a servicing CI office will be designated.  For 
facilities supported by a servicing CI office an individual at the serviced site will be 
designated by site/facility management as the on-site contractor CI Representative.  This 
selection should be coordinated with the servicing CI office Federal or contractor SCIO 
and the OCI Director or the ODNCI Chief as appropriate.  All contractor CI personnel are 
required to work in close cooperation with field and Headquarters Federal CI personnel.  
The contractor must ensure that the senior CI officer (SCIO) reports directly to both 
site/facility senior management and either the OCI Director or the ODNCI Chief.  The 
contractor CI Representative reports to the SCIO for CI matters only.  

2.	PROGRAM DIMENSIONS.  Contractor CI Programs will be evaluated in accordance 
with performance assessments covering, but not limited to, the following program 
dimensions and functional activities:  

a.	quality, quantity, and timeliness of investigations, including actions recommended 
in accordance with such overriding requirements as referrals to the Federal Bureau 
of Investigation (FBI) [see Title 50 United States Code (U.S.C.) 402a];

b.	quality and effectiveness of the CI program management process (planning, 
organizing, directing/executing, budgeting, coordinating, communicating, 
evaluating, and quality assurance activities conducted in relation to CI resources, 
personnel, and operations);

c.	quality and effectiveness of program components such as unclassified foreign 
visits and assignments (UFVA), CI awareness/briefing and debriefing/reporting, 
investigations, information and special technologies, CI analysis, information 
management, financial management, liaison, training, CI Evaluations Program 
support, and administration of unique and/or high-risk personnel;

d.	compatibility of performance results with OCI/ODNCI policies, procedures, 
program directives, strategic planning, and other administrative requirements;

e.	quality of data gathered, evaluated, recorded, and reported through CI briefings 
and debriefings of those individuals having professional, substantive personal, 
enduring, or financial contact with sensitive country foreign nationals; 

f.	ability of the program to define and counter any CI risks and concerns incurred as 
a result of DOE activities, especially those that involve interaction with foreign 
nationals for official and unofficial reasons;

g.	quality, accuracy, and timeliness of CI work products submitted in response to 
requirements, assignments, and/or requests for support issued by the OCI 
Director/ODNCI Chief;

h.	quality of the local CI program’s liaison and interaction with local FBI, United 
States intelligence community (USIC), and law enforcement personnel; and 

i.	measures taken to identify and resolve matters of CI concern, and promote 
proactive interaction, communications, and liaison with the site/facility manager, 
contract manager, and/or other operational elements (e.g., security, personnel 
administrators, export control, technology transfer, classified and unclassified 
computer security, foreign travel, and foreign visits and assignments).  

3.	CONTRACTOR REQUIREMENTS.  

a.	Contractors and subcontractors under their purview must support, adhere to, and 
implement all DOE CI Program requirements at their sites.  

b.	The contractor must ensure implementation of the following DOE CI Program 
requirements. 
 
(1)	Support the local assigned servicing CI office in the development and 
implementation of site/facility specific CI support plans in accordance 
with paragraph 3c(2) of this CRD.  

(2)	At sites where a local CI office is co-located, implement the CI Program 
directly through the local office.  

(3)	At sites that use a servicing CI office at another location, contractors will 
coordinate implementation with the assigned servicing CI office.  

(4)	Site/facility management contractors at sites assigned to act as servicing 
CI offices for other contractor facilities will be responsible for developing 
site-specific CI support plans and overall CI Program implementation 
through the Federal or contractor servicing SCIO in coordination with 
those assigned sites and the OCI Director/ODNCI Chief.  

(5)	Support the Director and or Chief in identifying and selecting individuals 
to serve as contractor SCIOs or CI Representatives.  

(6)	Maintain effective coordination with the OCI Director and the ODNCI 
Chief on matters of CI interest.  

(7)	Provide the Federal or contractor SCIO, local or servicing CI office 
personnel, and the contractor CI Representative with direct access to 
senior management.  

(8)	Ensure that the local or servicing CI office has appropriate access to all 
records, facilities, operational activities, security information, IT systems, 
and databases necessary to perform its official duties.  

(9)	Coordinate with the OCI Director and the ODNCI Chief to ensure the 
implementation of CI plans for each DOE special access program (SAP) 
and SAP CI threat assessments.  

(10)	Provide support and assistance for CI eligibility evaluations and CI scope 
polygraphs for designated DOE high-risk personnel pursuant to current 
statutes and the regulatory requirements [Title 10 Code of Federal 
Regulations (CFR) Part 709, Polygraph Examination Regulations].  

(11)	Ensure that the implementation of an effective CI awareness program for 
contractor employees includes the following.  

(a)	Initial, comprehensive briefings on CI.  Briefing topics include but 
are not limited to overview of the foreign intelligence collection 
and international terrorist threat, espionage indicators, and 
reporting requirements.  

(b)	Annual refresher briefing.  Refresher briefings should reinforce 
and update awareness of CI issues and their responsibilities, 
regardless of whether the employee holds clearances or not.  

(c)	Additional awareness briefings and training for specific employee 
groups as identified in site-specific awareness plans.  
NOTE:  Portions of the awareness program may be coordinated with the 
security awareness program at the discretion of local site officials.  

(12)	Institute and maintain a process for coordinating adverse personnel 
actions with the responsible local or servicing CI office (including such 
actions as disciplinary suspensions, terminations, involuntary separations, 
and revocations/reinstatements of access authorizations/security 
clearances).  

(13)	Ensure that CI resources are used to protect and preserve classified and/or 
sensitive programs and operations.  

(14)	Maintain accountability to both the Secretary and the Administrator for 
the performance of CI program functions and requirements at their 
locations.  

(15)	Provide timely and thorough support to Headquarters CI Program 
Directors, CI taskings, and requests for information.  

(16)	Support the CI role in assessing risks associated with sensitive country 
foreign visits and assignments and or when sensitive subjects will be 
discussed or security areas will be used at DOE facilities by—

(a)	supporting the effective implementation of the local UFVA 
program,

(b)	providing recommendations for approval/disapproval of specific 
visits,  

(c)	supporting the conduct of indices checks by the CI Program, and 

(d)	supporting the conduct of briefings and debriefings by the CI 
Program.  

(17)	Ensure that all contractor employees are aware of the requirement to 
report the following to the local or servicing CI office.  

(a)	Official foreign travel to sensitive countries regardless of whether 
the traveler possesses a security clearance.  

(b)	Travel to any country where they intend to have or have had 
discussions with sensitive country foreign nationals regarding 
sensitive subjects.  This would include travel which they know in 
advance will involve meetings with sensitive country foreign 
nationals or chance meetings where there are foreign nationals 
from sensitive countries in attendance.

(c)	All travel to any country when areas determined to be sensitive 
subjects will be discussed.  

(d)	Any substantive professional, personal, or enduring financial 
relationship [one that has existed, or is expected to exist, for a 
substantial period of time (months or years)] with foreign nationals 
affiliated with sensitive countries. 

(e)	Any contacts with foreign nationals who make requests that could 
be attempts at exploitation or elicitation.  Examples are—

1	requests for documents or information that is viewed by the 
traveler as unexpected or unrelated to the purpose of the 
interaction;

2	requests for the traveler to transport back to the U.S. any 
package(s) or letter(s) for mailing in the U.S.;

3	requests of any kind that cause the traveler to feel 
uncomfortable or call into question the purpose of the 
request;

4	professional contacts and relationships with sensitive 
country foreign nationals, whether they occur at one’s 
worksite or abroad; and 

5	any foreign travel for which foreign monetary support is 
provided, whether to a sensitive or a non-sensitive country. 

(f)	Requests for unauthorized access to classified or otherwise 
sensitive information.  

(18)	At the discretion of the local or servicing CI office, support the briefing 
and debriefing of contractor employees when warranted to support the CI 
Program, including contractor employees who are—

(a)	traveling to sensitive foreign countries when required regardless of 
whether they hold a security clearance or

(b)	hosting sensitive and non-sensitive country foreign visitors and 
assignees that are going to be given access to sensitive subjects or 
sites. 
NOTE:  Other circumstances may arise which could warrant the briefing 
and debriefing of certain employees to support the CI Program.  

(19)	Support the proactive integration and use of information security and 
intrusion detection resources and capabilities to protect the DOE 
information architecture and detect and deter technical attacks and 
intelligence collection directed against DOE by hostile foreign 
intelligence and international terrorist elements.  

(20)	Support analyses of the threats posed by foreign intelligence services and 
international terrorist activities for CI purposes and provide threat 
information to DOE management to support the protection of DOE 
personnel, information, facilities, and assets.  

(21)	Support the conduct of investigations and inquiries about incidents of CI 
concern.  

c.	The contractor must ensure that the assigned SCIO performs the following 
functions at the local site and for assigned sites which they service.  For sites not 
assigned a local SCIO, the assigned servicing CI office SCIO will be responsible 
for performing these same functions in coordination with the local contractor site 
contractor CI Representative.  

(1)	Implement CI Program policies, standards, and guidelines pursuant to 
legal and regulatory mandates, provisions of this Order, and other 
relevant DOE CI directives and requirements. 

(2)	Ensure the development of a site-specific CI support plan for each 
site/facility for which the local/servicing CI office is responsible.  These 
plans are to be developed in coordination with OCI/ODNCI, as 
appropriate.  Site specific CI support plans should address the following 
areas at a minimum.  

(a)	Threat Analysis.  Conduct site-based counterintelligence threat 
assessments based on a variety of sources, including foreign 
intelligence and international terrorist information.  Conduct 
ongoing analysis of the threat to support prioritization of local and 
national CI Program activities.  

(b)	Information Technology.  Develop specific actions to be taken to 
counter the threat to information systems posed by foreign 
intelligence collection and international terrorist activities.  

(c)	Awareness.  Ensure site personnel are aware of their 
responsibilities to support the CI Program.  

(d)	Briefing and Debriefing.  Brief and debrief specific personnel 
whose activities require foreign travel, hosting foreign visitors or 
assignees, working in high risk positions or special access 
programs or who otherwise need focused CI program support.  

(e)	Investigations and Inquiries.  Conduct investigations and inquiries 
on matters of CI concern.  

(f)	Liaison.  Conduct liaison with local law enforcement and the USIC 
in support of the site CI Program.  

(g)	UFVA support.  Coordinate the UFVA matters.  

(h)	Security support.  Coordinate with security on matters related to 
the site CI Program.  

(i)	Support to the CI Evaluation Program.  Conduct activities in 
support of CI evaluations of high risk personnel as required by law 
and DOE regulations (10 CFR 709).  

(j)	Foreign Travel.  Coordinate on foreign travel matters in support of 
the site CI Program.  

(k)	Training.  Address training needs of the CI staff, CI 
Representatives, and site staff on CI issues, as appropriate.  

(3)	Serve as the primary CI advisor and provide CI support to DOE 
site/facility management in accordance with established local/servicing CI 
office areas of responsibility while maintaining concurrent accountability 
to the OCI Director/ODNCI Chief for fulfilling CI Program requirements.  

(4)	Immediately forward to the OCI Director/ODNCI Chief for referral by 
the OCI Director to the FBI, any information, regardless of origin, which 
indicates that classified information is being or may have been disclosed 
in an unauthorized manner to a foreign power or an agent of a foreign 
power (see 50 U.S.C. 402a).  

(5)	Establish and/or maintain an approved records management system to 
support the local/servicing CI office, in coordination with the OCI 
Director/ODNCI Chief.  

(6)	Notify OCI/ODNCI of all incidents of CI concern involving suspected or 
identified hostile foreign intelligence or international terrorism activities 
and suspected or identified technical penetrations affecting persons or 
facilities under their jurisdiction and document these in appropriate CI 
information systems, as applicable.

(7)	Implement a CI briefing/debriefing program for contractor personnel who 
travel to a sensitive country or interact or have contact with foreign 
nationals, pursuant to CI Program policy and under the direction of the 
OCI Director/Chief ODNCI.  

(8)	Conduct analyses to assess the threats posed by foreign intelligence 
services and international terrorist activities to sites/facilities for CI 
purposes and provide relevant threat information to CI investigative, 
training and awareness, and Information and Special Technology Program 
(ISTP) personnel and outside offices such as those involved in foreign 
visits and assignments and other national security–related duties.  

(9)	Ensure the proactive integration and use of information security and 
intrusion detection capabilities to protect the DOE information 
architecture and to detect and deter technical attacks and intelligence 
gathering activities directed against DOE by foreign intelligence and 
international terrorist elements.  

(10)	Ensure entry of all CI-relevant data into existing CI-Net applications, (or 
successor systems), including the results of investigations, debriefings, 
analysis, cyber, liaison, incident reports, and other lead information 
supplied by the DOE CI community.  

(11)	Conduct liaison with site counterparts (including security, intelligence, 
export control, technology transfer, technical surveillance 
countermeasures, operations security, and nonproliferation personnel) on 
national security matters.  

(12)	Conduct liaison with appropriate local, state, and Federal intelligence and 
law enforcement agencies, as appropriate, concerning CI/counterterrorism 
matters and maintain a complete record of these interactions.  

(13)	Execute OCI/ODNCI mission and related strategic plan requirements to 
deter, detect, and prevent foreign powers and other unauthorized 
personnel from compromising DOE assets (e.g., information or classified 
and unclassified computers).  

(14)	Support Headquarters OCI/ODNCI, including Program Directors, 
requests for information and assistance for other CI activities as required 
and deemed appropriate by the OCI Director or the ODNCI Chief.  

(15)	Support and assist the CI Evaluation Program covering designated DOE 
high risk personnel, as required (10 CFR Part 709).  

(16)	Ensure the implementation of an effective CI awareness program for 
contractor employees that includes the following.  

(a)	Initial briefings on CI.  Briefing topics include but are not limited 
to overview of the foreign intelligence collection and international 
terrorist threat, espionage indicators, and reporting requirements.  

(b)	Annual refresher briefings.  Refresher briefings should reinforce 
and update awareness of CI issues and employees’ responsibilities, 
regardless of whether they hold clearances or not.  

(c)	Additional awareness briefings and training for specific employee 
groups as identified in site-specific awareness plans
NOTE:  Portions of the awareness program may be coordinated with the 
security awareness program at the discretion of local site officials.  

(17)	Ensure that subordinate CI contractor personnel, including CI 
Representatives, receive the professional training and development 
necessary to execute their particular duties in support of the overall CI 
mission and OCI/ODNCI Strategic Plan.  

(18)	Ensure coordination with the local supporting security, human resources, 
or other organizational entity to institute and maintain a process for 
coordinating adverse personnel actions (including such actions as 
disciplinary suspensions, terminations, involuntary separations, and 
revocations/reinstatements of access authorizations/security clearances).  

(19)	Implement local programs to assess CI implications of foreign visitors 
and assignees and foreign travel.  

(20)	Ensure that CI resources are actively used to protect and preserve 
classified and/or sensitive programs and operations.  Focus will be 
prioritized on programs with subject matter, personnel, or activities 
believed to be of interest to hostile foreign intelligence or international 
terrorist entities, where the possible loss of classified or sensitive 
information and materials imposes substantive national security concerns, 
and where there is significant interaction with sensitive country foreign 
nationals.  

(21)	Support the evaluation of sensitive foreign country foreign visits and 
assignments to DOE facilities, including recommendations for 
approval/disapproval, the conduct of indices checks, and the conduct of 
host CI briefings and debriefings.  

(22)	Require contractor personnel to work in close cooperation with Federal 
CI personnel.

(23)	Support the UFVA program.  

(a)	Review requests for foreign national access approval, including 
visits involving information and technologies that are releasable to 
the public, and requests for designation of optional areas within 
property protection areas for CI and Counterterrorism implications.  
This includes attendance in offsite conferences and other functions 
when foreign national access approval is required.  

(b)	At the request of the local hosting site, provide CI consultations to 
the approval authority and his or her designees to evaluate foreign 
national access in the absence of a required, completed indices 
check, and document that the consultation was conducted in the 
Foreign Access Central Tracking System.  

(c)	Conduct briefings and debriefings of foreign visitors’ and 
assignees’ hosts/sponsors/escorts and develop and provide CI 
awareness modules for local UFVA training.  

(d)	Coordinate the external indices check process for local sites.  

(e)	Document foreign interaction at the local site in applicable 
databases.  

(f)	Support as required the approval process for nationals of state 
sponsors of terrorism visits in coordination with the OCI Director.  

(24)	Support the conduct of information technology CI activities to protect the 
DOE information architecture; to detect and deter technical attacks and 
intelligence collection directed against DOE by hostile foreign 
intelligence and international terrorist elements; and to develop and 
acquire information systems and other technology-based tools for the CI 
program.  

(25)	Support analyses of the threat posed by foreign intelligence and 
international terrorist activities for CI purposes and provide threat 
information to DOE management to support the protection of DOE 
personnel, information, facilities, and assets.  

(26)	Support investigations and inquiries on incidents of CI concern. 

(27)	Develop criteria and establish a process to identify and document site-
specific unique access programs, positions and individuals. 

d.	Contractor CI Representatives will be appointed by site/facility managers, in 
coordination with the servicing SCIO and the OCI Director/ODNCI Chief for sites 
supported by a servicing CI office.  For CI purposes only, contractor CI 
Representatives will report directly to their servicing CI office Federal or 
contractor SCIO.  The contractor CI Representative position is not intended to be a 
full time responsibility.  

(1)	Contractor CI Representatives will coordinate with the assigned servicing 
CI office Federal or contractor SCIO and local site management on the 
implementation of the local CI Program.  This will include at a minimum 
assistance to the servicing CI office for the development of a site-specific 
CI support plan.  

(2)	Contractor CI Representatives will support the servicing CI office in the 
conduct of investigations.  

NOTE:  The CI Representative will not conduct CI investigations independent of 
the servicing CI office.  The servicing CI office will conduct 
investigations and may request the support of the local contractor CI 
Representative, as appropriate.  

4.	DEFINITIONS.  

a.	Counterintelligence (CI)  —the information gathered and activities conducted to 
protect against espionage or other intelligence activities, sabotage, or 
assassinations conducted for or on behalf of foreign powers, organizations, or 
persons or international terrorist activities, but not including personnel, physical, 
document, or communications security programs.  

b.	CI Employee —any full-time or part-time Federal or contractor employee who is 
designated by the OCI Director or the ODNCI Chief as having CI Program  
responsibilities that require participation in and/or access to sensitive CI matters, 
databases, and/or records.  

c.	CI Evaluation —the process, including a CI scope polygraph examination, 
employed by the Office of Counterintelligence to determine whether DOE Federal 
and contractor employees, other individuals assigned or detailed to Federal 
positions at DOE, or applicants for employment will be recommended for initial 
or continued access to high-risk positions, pursuant to required statutory 
provisions and related regulatory requirements embodied in DOE regulations at 
10 CFR Part 709.  

d.	CI Indicator —information that reflects possible foreign intelligence or 
international terrorist motives/involvement/activity.  

e.	CI Investigation —administrative fact-finding and information gathering 
conducted by the DOE Office of Counterintelligence/NNSA Office of Defense 
Nuclear Counterintelligence to determine whether national security is being 
threatened and/or damaged by activities perpetrated against DOE personnel, 
information, activities, facilities, and technologies or systems by or on behalf of 
foreign powers, organizations or persons, or international terrorist organizations.  

f.	CI Officer (CIO) —a Federal or contractor employee appointed by the OCI 
Director/ODNCI Chief to conduct investigative matters and various additional 
duties in support of the CI Program.  CIOs normally report to a senior CIO who is 
responsible for a specific CI Program field office.  

g.	CI Polygraph Program —engagement in activities and processes for administering 
CI scope polygraph examinations pursuant to required statutory provisions and 
related regulatory requirements embodied in DOE regulations at 10 CFR Part 709.  

h.	CI Representative —an employee who is formally appointed by local site 
management to serve in a coordination role with the CI Program.  CI 
Representatives will normally be appointed when there are no on-site CI program 
personnel and where a servicing CI office covers the facility.  The CI 
Representative acts as the interface between a servicing CI office and the local 
site to support CI Program implementation at the site.  

i.	Elicitation — subtle extraction of information during an apparently normal and 
innocent conversation

j.	Emotional Bonds —feelings of affection or emotional attachment in a relationship.  

k.	Enduring Relationship —one that has existed or is expected to exist for a 
substantial period of time (months or years).  

l.	Exploitation —the harmful, merely instrumental utilization or unfair advantage of 
an individual or his capabilities for one’s own gain.

m.	Foreign Intelligence —information relating to the capabilities, intentions, and 
activities of foreign powers, organizations, or persons but not including 
counterintelligence other than information on international terrorist activities.  

n.	Foreign Interest —any of the following:  

(1)	a foreign government or foreign government agency; 

(2)	any form of business enterprise organized under the laws of any country 
other than the United States or its possessions; 

(3)	any form of business enterprise organized or incorporated under the laws 
of the United States or a State or other jurisdiction within the United 
States that is owned, controlled, or influenced by a foreign government, 
agency, firm, corporation, or person; or 

(4)	any person who is not a U.S. citizen.  

o.	Foreign National —anyone who is not a U.S. citizen by birth or naturalization.

p.	Foreign Nexus —specific indications that a DOE employee or contractor employee 
is or may be engaged in clandestine or unreported relationships with foreign 
powers, organizations or persons, or international terrorists, contacts with foreign 
intelligence services; or other hostile activities directed against DOE facilities, 
property, personnel, programs, or contractors by or on behalf of foreign powers, 
organizations or persons, or international terrorists. 

q.	High-Risk —programs, offices, and positions subject to the counterintelligence 
evaluation and polygraph examination provisions specified in DOE regulations at 
10 CFR 709. 

r.	Insider —anyone with authorized, unescorted access to any part of DOE facilities 
and programs.

s.	International Terrorism —the unlawful use of force or violence by a group or 
individual who has some connection to a foreign power or whose activities 
transcend national boundaries against persons or property, for purposes of 
intimidating or coercing a government, the civilian population, or any segment 
thereof in furtherance of political or social objectives.  

t.	Local CI Office —the location where the CI Program has established a full-time 
presence for the conduct of CI Program activities staffed by personnel assigned to 
the CI program.  

u.	National Nuclear Security Administration (NNSA) Facilities —the laboratories 
and facilities covered by NNSA:  Los Alamos, Lawrence Livermore, and Sandia 
national laboratories; the Kansas City, Pantex, and Y-12 plants; tritium operation 
facilities at the Savannah River Site; the Nevada Test Site; and any other sites or 
facilities as designated by the Secretary in consultation with the NNSA 
Administrator (see P.L. 106-65).  

v.	Senior CI Officer (SCIO) —a Federal or contractor employee serving full-time in 
support of the CI program and responsible for the management of a specific CI 
program field office located within a specific facility or housed in a location that 
services a number of facilities.  SCIOs are appointed by the OCI Director or the 
ODNCI Chief directly or in consultation with local management.  

w.	Servicing CI Office —local DOE CI offices staffed with full-time personnel and 
assigned responsibility for providing CI services to additional designated DOE 
facilities including those without full-time personnel and ensuring that all 
Departmental activities receive necessary CI services.  

x.	Substantive Relationship —one that is enduring and involves substantive sharing 
of personal information and/or the formation of emotional bonds. 
 
y.	Substantive Sharing (of personal information) —discussion of private information 
about oneself that one would not routinely share with strangers.