INDUSTRIAL SECURITY SEMINAR (U)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP96B01172R001000090001-2
• Release Decision: RIPPUB
• Original Classification: C
• Document Page Count: 75
• Document Creation Date: December 16, 2016
• Document Release Date: July 8, 2005
• Sequence Number: 1
• Publication Date: January 30, 1984
• Content Type: MF

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Bo ,AN
MEMORANDUM FOR: Chief, Physical Security Division
25X1 FROM:
25X1
Deputy Chief, Industrial Security Branch
SUBJECT: Industrial Security Seminar (U)
1. At present, two Industrial Security Seminars are
booked for the current year. Time constraints have focused on
the availability of Room 1A07, Headquarters, where it is most
desirable to conduct these functions. ISB has, therefore, made
a firm commitment for the use of that facility during the
period 25, 26 and 27 June and 15, 16 and 17 October 1984. Time
for early spring use of Room 1A-07 is not open and November was
the only alternative offered for the latter part of the year.
The third day of each booking is for one-half (1/2) day until
noon. The extra half day will allow for additional workshop
and question/answer time, as expressed by the majority of
attendees at the last several seminars. Additionally,
conducting the seminar early in the week will allow the
attendees two full days to "catch-up" on their own official
duties (C)
2. These two seminars will statistically fulfill the goal
set for 1984 ISB seminars. However, in reality these two
functions will not fulfill the full objectives of TSB in
response to the numerous requests for more frequent seminars
which we have received from attendees to the past several
seminars. (U)
3. It has been suggested by senior security management
that thought be given to conducting one-day seminar/workshops
, This is considered to be not only
reasiole DUt aesirabie from the view of keeping the contractors
abreast of the most current security guidelines and policy.
More importantly, it will enhance the dis-establishment of the
"adversary" attitude/relationship which often pervades the
security audit and will augment the "partnership" attitude so
desired to aid the implementation of good security. This is of
particular import for success in our mutual responsibilities to
support National Programs.(C)
WARNING NOTICE c ONFIDENTIAL
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4. Critiques of several past ISB seminars have noted
those topics which are of continued interest to Contractor's
Security Officials. Although it sounds dull, Document Control
and Classification is invariably at or near the top of the
list. Other topics which would lend themselves well to a
one-half day seminar/workshop are:
a. The clearance/adjudication/approval/appeals
process, including paper flow;
b. Common audit findings/recommendations - a
compilation of commonly found areas of inattention/
concern. Such a topic would allow each contractor to
view such findings in the light of their own specific
operations, and
c. technology transfer. (U)
5. Several of the major
associated with National Progl contractors, long
ams partic larly, have facilities
that will lend themselves admirably to such presentations. It
is suggested that a "pathfinder" trip to thel
areas be authorized to explore tacilities.
invitee logistics and establish required support from
lin order to establish a time frame for a
running of a one-day seminar/workshop in those areas.
would be to conduct two one-da sessions; one in the
land one in thel larea during a one wee
(same) time frame. Close coordination with the ODE and OL
Security Staffs would, of course, be a prerequisite to a
successful "go" in this direction. (C)
the
pilot
The goal
CONFIDENTIAL
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AppraZilg1er-lie-1
Oct 83
P A SECURITY SEMINARS
?ao ownoom-2
3 to 5 months before seminar
\N
1) Memo to Central Registration Branch, OTE, for room reservation. (ON FILE)
2) Memo to C/LSD/OL for Executive Dining rm for first night of seminar.
(ON FILE) 25X1
(double check with
2 months before seminar
1) Make up tentative schedual
2) Contact D/OS for finalized schedual & audience
3) Contact ODE or OL/SS and request list of attendees. Have them submit
list of attendees, their social security numbers, companies. Should be
submitted to ISB as soon as possible.
One month before seminar
1) Memo to Agency executive Director requesting Money. (ON FILE)
2) Memo tch Agency Executive Director requesting talk at seminar.(ON FILE)
3) Firm up schedual & speakers(ask speakers for visual aid requirements)
STAT 4) Contact re coffee/donuts. (Note ISB to buy
Decaf and tea Uct OS conterence used approximately 8 gal of
coffee & 7 doz donuts daily). Use tax exempt # of Agency to save $.
3 weeks to seminar
attendees and requests; a) compound admittance
VIP parking for attendees c) visitor escort badges
check with JOY in reception area for badges)
VIP parking for ISB during seminar. (On File)
Vi for stanchions/room dividers. Will need 8 rm
& approximately 4 stanchions with 3 lenghts of
6' pieces
1) Memo to HSB which lists
on seminar dates b)
(Prior to seminar double
(ON FILE)
2) Memo to HSB requesting
3) Contact Levi and/or
dividers if in 1A07
rope.. .one 12' & 2
4) Drop off attendee list to IN&CB for ticket certification.
5) Contact Security Services(1E4809) for menu boards. One to be placed
at main entrance & one in front of class room. (should say Industrial
Security Seminar & list dates.
6) Reserve area in North Cafeteria for attendee lunches.
7) Buy notebooks for attendees(Cinns)...$ from PTAS petty cash
8) Obtain cart for Hq transportation of materials.. .use FPO cart/duty office.
9) Distribute flyer re coctail party
10) Set up notebooks to include a) agenda b) critique c) common audit
recommendations d) audit outline e) items needed prior to audit
11) Make up ID cards for attendees, ISB member's, applicable host security
reps and all attendees to cocktail party. Color code attendees as to Slwr,
discussion groups with corresponding labels(color) on notebooks
12) Set up conference room the night before. If 1A07 ap technical
difficulties to include VTR/Microphones
etc call'
13) Arrange for adequate escorts for
attendee movement in Hq Bldg.
14) Two weeks before seminar
drop off topics/themes list to fl/OS office
STAT
for distribution to
Lf he is talking at seminar. (ON FILE)
15)
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SUGGESTIONS FOR FUTURE INDUSTRIAL SECURITY SEMINARS
----The following are a list of suggestions for future Industrial security
seminars which are drawn up based on the experiences of the June and
October 1983 seminars. While the following may be impractical in some
instances, it is believed they would generally improve the seminar and
the administration of same.
1) Put one person from ISB in chargf of the entire seminar.
While the Chief& Deputy Chief should retain responsibility for
schedule formulation, a seperate ISB individual should be responsible
for every other facet of the seminar to include both logistical
matters as well as liaison between ISB and the hosting security
component. This would not only ensure a clear line of responsibility,
but also help to avoid late memos and the needless double checking
that characterized the October 1983 seminar.
2) Attendees should be notified before the seminar that any problems or
concerns they may have will be discussed at seminar workshops.
By giving the attendees some time to think about these items, it is
hoped the workshops could be more productive.
3) Expand the seminar to 2 & 1/days.
TETlast two seminars indicated a mid day get away time would be
more convenient for everyone involved. Both seminars had people missing
from the last sessions due to planes to catch. Filling the extra time
with pertinent information is not foreseen as a problem.
4) One ISB representative and one OL or OD&E rep should be assigned to each
group of attendees and these two persons should be responsible at the
outset for all escort activity.
During the last two seminars the escort of attendees within the
Headquartersbuilding has been inadequate at best. Defined responsibilty
makes it easier on us and the contractors and certainly sets a much
better example.
5) Precheck for any other seminars being held during the same time and take
necessary precautions.
During the October seminar a large seminar was also taking place. With
proper preplanning we could have reserved seats in the North Cafeteria,
complete with our group indicators on tables. This would promote
better control and lessen the confusion.
6)
STAT
STAT
While the agenda for the October 1983 seminar was excellent, certain
minor chang hnii1d 11P made.
For example
presentation should logically follow
presentation andl should be seperatea. S AT
Both were excellent and both used LLSUal alus; they would proably have
more effectiveness if they were used on seperate days. The first
actual presentation should offer the attendees some type of organizationa]
overview of security most have no idea how we are organized especiall)
if we invite individuals at the "working level".
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JMS/Oct 83
STAT
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ROUTING AND TRANSMITTAL VW
TO: Name, office symbol, room number,
building, Agency/Post)
1.
Initials
Date
.
off
2.
3. Sr pr
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Actin
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PPIrote
and Return
Approval
For Clearance ,
Per Conversation
As Requested
For Correction"
Prepare Reply
Circulate
For 1:9,ar iiiformation
See Me
Comment
Itteistigate
Signature
Coordination ,`
,..,-
Justify
REMARKS
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Rio eP'C'et,ge7/7/7/0444/(
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DO T use this form as a RfCORD of approvals, concurrences, disposals,
clearances, and similar actions
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Room No.?Bidg.
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Approved For Release 200 jrii /it4-; Phone No.
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,OPTIONAL FORM 41 (Rev. 7-76)
reseribut by GSA
PPMR (41 CFR) 101-11.206
*GPO : 1981 0 - 3111-529 (120)
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OFFICE OF THE DIRECTOR /4"
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MEMORANDUM FOR: Manager, Executive Dining Room, LSD/OL
3E14 Headquarters Building
It is requested that the Executive Dining Room be reserved
SPONSOR:
Date:
Occasion:
for:
(EDR Membei'T
Phone Number Component
Time: 5:30 p.m.-7:30 p.m.
Membership
Account No.
Menu Selection No. at $ per person.
(If party is held in Cafeteria an additional $.50 per person charge
will be added.)
Number of People
SPONSOR (Signature)
(1) A minimum number of 40 people attending any party in the
Executive Dining RTIoN?must be guaranteed. Checks must be made
payable to Executive Dining Room Fund.
(2) The sponsor for the party will be billed for the number of people
specified. Should a lesser number of personnel than stated above
attend the function, no adjustment in the total price will be
made unless the Executive Dining Room is notified at least 48
hours before the party.
(3)
( 4 )
The sponsor is obligated to provide security escorts for
non-Agency guests and is responsible for the conduct of all
those in attendance.
The sponsor is requested to have attendees vacate the
Dining Room by 7:30 p.m. to avoid additional overtime
charges for the party. If foreign nationals are in
attendance contact the Office o Security on extension
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Approved For Release 2006;
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BUFFET MENUS
STAND-UP BUFFET
from 5:30 ? 7:30 p.m.
All with Open Bar except Menu No. 7
No. 1
Oven Fried Win gettes
Barbeque Franks
Tuna Salad Spread
Stuffed Celery and Deviled Egg Tray
Chips and Dip
Crackers
Nuts
$4 per person
No. 4 $7 per person
Oven Fried Chicken Drumettes
Chicken Livers Wrapped with Bacon
Barbeque Franks
Sliced Roast Beef
Sliced Ham
Crab Spread
Sliced Cheese
Stuffed Mushrooms
Relish Tray
Chips and Dip
Assorted Breads
Crackers
Nuts
No. 2
Oven Fried Win gettes
Swedish Meatballs
Tuna Salad Spread
Assorted Finger Sandwiches
Relish Tray with Deviled Eggs
- Crackers
Nuts
$5 per person
No. 5 $8 per person
Steamship Round Carved on the Buffet Line
(Served wlminimum of 75 persons)
Bottom Round Beef Carved on the Buffet Line
(Serves up to 75 persons)
Sweet and Sour Pork Tenderloin
Oven Fried Chicken Wingettes
Crab Claws
Crab Spread
Stuffed Celery and Deviled Egg Tray
Relish Tray
Chips and Dip
Party Rolls
Crackers, Nuts
No. 3 $6 per person
Oven Fried Chicken Drumettes
Sweet and Sour Pork Tenderloin
Sliced Beef with Party Rolls
Relish Tray with Deviled Eggs
Stuffed Mushrooms
Cheese Tray
Chips and Dip
Crackers
Nuts
AnDrOVPLLFOr RPIPaRP 2005107117
No. 6 Price based on
menu selection
Special menus can be provided
for any type function.
No 7 $6 per person
Wine and Cheese Party
(No Open Bar)
ciA_RnpqnRol1T9R001000090001-2
STAT
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ROUTING AND RECORD SHEET
SUBJECT: (Optional)
Industrial Security Seminar
FRO? l
Branch
EXTENSION
T
NO.
DC/Industrial Security
202 Jefferson
,
I?
DATE
3 0 JAN 1984
TO: (Officer dlesignation, room number, and
building)
DATE
OFFICER'S
INITIALS
COMMENTS (Number each comment to show from whom
to whom. Draw a line across column after each comment.)
RECEIVED
FORWARDED
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,
CONFIDENTIAL
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AGENDA
INDUSTRIAL SECURITY OFFICERS TRAINING COURSE
15 - 19 November 1982
Monday
15 November 1982
0900 - 0930 Welcome, Orientation, Administration
Student Introductions
0930 - 0950 Introductory Remarks
0950 - 1020 Introduction to the CIA Industrial
Security Audit Program
1030 - 1120 Security Administration of OL
Contracts
1120 - 1215 Security Administration of ODE
Contracts
1215 - 1330 Lunch
1330 - 1530 National Programs
--Overview
--Contracting Elements of the IC and
their relationship to the CIA
Industrial Security Program
1540 - 1640 Contracting Officer's Technical
Representative -
Preparation of Statement of Work
COTR's Role - Source Selection,
Monitoring Contractor Performance
Stress on teamwork demanded of the
CO, COTR, SO, and Auditor
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CONFIDENTIAL
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0900
- 0940
0940
- 1020
1030
- 1130
1130
- 1200
1200
- 1315
1315
- 1400
1415
- 1700
TUESDAY
16 November 1982
Overview of Procurement
Statues and Regulation's ,
Socio Economic Programs
Formal Advertising vs. Negotiation
Procurement Organization in CIA
Source Selecion
Technical Proposal
Evaluation
Contract Negotiation
Techniques
Cost and Price Analysis
Type of Contract
Contract Administration
COTR's Role in Contract
Administration
Changes Clause/Incentive Award Fees
Terminations
Lunch
Opposition efforts to obtain classified
information in the industrial arena
Computer Security in the Industrial
Environment
25X1
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CONFIDENTIAL
CONHDENTIAL
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Wednesday
17 November 1982
0900
- 1000
Soviet Espionage in Industry
1015
- 1130
The Audit
- Pre-trip preparation
- On site conduct of the audit
- Post-trip activity
1130
- 1245
Lunch
1245
- 1415
Personnel Security
- Clearance Division
Support to the Industrial
Security Program
- Polygraph Division
IPP - Goals, Scope, Results
1430
- 1530
.ontractor Seturity_Officers
1545
- 1630
Federal Bureau of Investigation
Counterintelligence Awareness Program
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Thursday
18 November 1982
0900 - 1000 Telephone Equipment for Use
In Industry
1010 - 1130 Defense Investigative Service
- Another Approach -
1130 - 1245 Lunch
1245 - 1345 Communications Security in the
Industrial Environment
ComCenters - SOCOM/Agency
Equipment - keycards, etc.
TEMPEST Concerns
1345 - 1430 Special Security Center
Mission - Function
Relationship to Intelligence Community
Support to Intelligence 'Community
CIB
4C
Briefing/Debriefing Statements
Problems with COSRs - Contractors
1445 - 1600 Contractor Facility SCIF Accreditations
Co-utilization
SCI Document Control
1600 - 1700 Contractor's Security Officer
Systems Planning Corporation
25X1
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PrwrinrniTtni
0900 - 1130
UJU ILJL.111
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Friday
19 November 1982
Security Equipment for Use in
Industry
- Security Containers
- Destruction Devices
- Alarms
1130.- 1300 Lunch
1300 - 1430 National Security Agency
- NSArs Industrial Security
Program
1430 - Open Discussion
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FOR OFFICIAL USE ONLY
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INTRODUCTION TO INDUSTRIAL SECURITY
Three Days / SI, TK, BYC, Required
0900-0915
0915-1000
Welcome by Industrial Security Branch
Outline Parameters of Course
The Agency Contracting Process by
Chief or Spokesperson for Logistics Contracts
(Paperwork, Contract #'s, Payment, Process and
Inter-governmental Statement of Work)
1000-1015 Break
1015-1100 The National Program Contracting Process by
Chief or Spokesperson for ODE Contracts
1100-1200 Organization of Logistics Security Staff and Resonsibilities
to Contractors and the Agency by Representative of Log Security
1200-1300 Lunch
1300-1400 Organization of ODE Security Staff and Responsibilities
by Representative from ODE Security Staff
1400-1430 Industrial Security Legal Requirements by Representative
from Office of the General Counsel
1430-1445 Break
1445-1530 The Industrial Clearance Process by Chief Industrial and
Certification Branch, Clearance Division
(Types of Clearances, Problems, Paperwork, Industrial Security
Officers' Responsibilities)
1530-1600 The Industrial Polygraph Program by Representative of
Polygraph Division (Present Tape )
1600-1615 Break
1615-1700 History of Agency's Industrial Security Program by the
Industrial Security Branch or Other Agency Representative
1700 End of First Day
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FOR OFFICIAL USE ONLY
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SECOND DAY
0900-1015 Logistics Physical Security Requirements
Alarms, Safes, Guard Forces, etc.
1015-1030 Break
1030-1145 ODE Physical Security Requirements
1145-1230 Sensitive Compartments Information Facility (SCIF)
Accreditation by Representative of Special Security Center
Paperwork, Rquirements, Process
1230-1330 Lunch
1330-1430 Classified Document Marking and Accountability
1430-1445 Break
1445-1530 ODE Pouch System and Requirements by ODE Records Management
Officer
1530-1600 Logistics Security Mailing System for Communication with
Industrial Contractors (Addresses, Registered Mail, etc.)
1600-1615 Break
1615-1715 Overview of Defense Investigative Service Industrial Security
Program and the Agency's Relationship with DIS and DISCO
1715 End of Second Day
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FOR OFFICIAL USE ONLY
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THIRD DAY
0900-0945 Tempest Considerations
0945-1030 STU-III's and Secure Communications
1030-1045 Break
1045-1145 Automated Information Systems Security Requirements by
Representative of Information Systems Group
1145-1215 Technical Security Countermeasures Requirements by Representative
of TSCM/Office of Security
1215-1330 Lunch
1330-1430 Security Education Requirements of Contractors and Industrial
Security Officers Responsibilities/ Counterintelligence Awareness
1430-1445 Break
1445-1530
The Special Security Center by Chief SSC
(Agency, Contractor and Community Responsibilities of the
Center and Capabilities)
1530-1545 Break
1545-1630 Round Table Discussion By Industry Representatives
1630-1700 Summation of Course by Industrial Security Branch
Critiques
1700 End of Course
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INDUSTRIAL SECURITY OFFICERS TRAINING COURSE
Tuesday, 23 October 1984
0900 - 0915 Orientation and Administration
0915 - 0945 CIA Industrial Security
Terminology
0945 - 1010 Industrial Security Branch
Role and Relationship
1010 - 1100 Office of Logistics
Security Staff
Role and Relationships
1100 - 1200 Office of Logistics
Contracting Officer's Security
Representative
1200 - 1300 Lunch
1315 - 1500 National Programs Overview
1500 - 1600 OD&E Security Staff
Organization & Role
1600 - 1700 Office of Development and
Engineering/Contracting
Officer's Security Representativ,,
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Wednesday, 24 October 1984
0900
- 1145
The Contracting Officer's Role
and Authority
1145
- 1300
Lunch
1300
- 1400
Contractor's Special
Security Officer (CSSO)
1400
- 1415
Discussion
1415
- 1515
Contracting Officer's Technical
Representative (COTR)
1515
- 1530
Discussion
1530
- 1630
Contractor's Security
Officer (CSO)
1630
- 1700
Discussion
CONFIDENTIAL
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Thursday, 25 October 1984
0900 - 1015 Technology Transfer
1015 - 1115 Industrial Security Approvals
1115 - 1145 Industrial Polygraph Program
1145 - 1315 Lunch
1315 - 1415 Telephone Equipment for Use
in Industry
1415 - 1700
Special Security Center -
Mission/Function
Compartmented Information Branch
4C System
Document Control
SCIF
Accreditations
Co-utilizations
CONFIDENTIAL
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0900
- 1010
1010
- 1130
1130
- 1300
1315
- 1415
Friday, 26 October 1984
Corporate Accounting Methods
Security Audit
Lunch
Legal Aspects of Industrial
Security
1415-1515 Boyce-Lee Film
1515 - 1630 Discussion
Administrative Wrap-Up
CONFIDENTIAL
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TERMS USED IN THE INDUSTRIAL SETTING
The following terms are provided to offer the
student a general guideline for identifying personnel
and terms used in the industrial setting. For a complete
list and specific definitions of terms, the appropriate
security manuals should be referenced.
Industrial Security Officers Training Course
2.32.6? OctQh.,ex 1984,
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SECRET
Atou
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INDUSTRIAL TERMS--PERSONNEL
AGENCY REPRESENTATIVES
CO Contracting Officer A designated Agency representative
who administers contracts. The CO writes and signs
contracts, has the power to commit funds and is the
final authority in the contract process.
COTR...Contracting Officer's Technical Representative A
designated Agency representative who handles the day
to day technical aspects of the contract and has
frequent interaction with the contractor's technical
personnel.
COSR...Contractin Officer's Security Representative The
Agency security officer assigned to ?a contracting
component who assists the CO in security matters
and provides security guidance to the contractors.
The COSR may be assigned to the Office of Logistics
(SCl/collateral contracts) or to OM (SCl/BYE
contracts). An individual contractor may be
responsible to more than one COSR, depending on
the types of contracts the company has.
ISSO...Information S stems Securit Officer The Agency
security o icer rom ISSG who provides security
guidance to the contractors for processing data- on
automated information systems.
ISB....Industrial Security_11:112E11 As an independent
organization within the Office of Security, ISB
conducts security audits of contractor facilities
to ensure compliance with Agency and Intelligence
Community standards.
The contractor may also interact with various
Agency personnel on technical security matters such
as communication and audio countermeasures.
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CONTRACTOR REPRESENTATIVES
CSO Contractor Security Officer The security representative
of the company responsible for implementing Agency security
policy within the company for collateral contracts. The
individual may be the corporate manager of security, an
individual within the security department or in small
?
organizations, the program manager who also handles
security duties. CSO is an Agency supplied designator
as actual titles vary from company to company.
CSSO Contractor Special Security Officer The Agency
designator applied to the company security representative
who is responsible for implementing Agency security
guidelines associated with SCI contracts. Titles may
vary from company to company and the CSSO may also serve
as the CSO and/or BIFSCO.
BIFSCO...BYE Industrial Facility Security Control Officer The
security representative of the company, who is mutually
agreed upon by Project Headquarters and the contractor,
who carries out security duties in the contractor's
BYE Industrial Facility (BIF) and/or Special
Compartmented Information Facility (SCIF).
DCO......Document Control Officer A designated company employee
responsible for all document control functions associated
with the transmission, storage and accountability of
Agency classified material. The individual may or may not
be a security employee.
Contractors utilize various individuals that
interact with the Agency COs and COTRs. Titles
vary from company to company in referencing these
people, but the most widely used terms include
program managers and contract administrators.
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SECRET
INDUSTRIAL TERMS
DD Form 441 A Department of Defense (DOD) Form which
is a Certificate Pertaining to Foreign
Affiliation. DOD requires submission
of this form in ascertaining whether a
contractor has foreign ownership exceeding
5% or is subject to foreign control or
influence.
OODEPS Owners, Officers, Directors, Executive
Personnel List. A required DOD list that
depicts company positions/titles, DPOB,
DOD level of clearance and citizenship.
The form is utilized in determining thp
identity and citizenship of key corporate
personnel.
SCIF Sensitive Compartmented Information Facility.
An accredited area, room, group of rooms or
installations where SCI may be stored, used,
discussed, and/or electronically processed.
May also be referred to as a Secure Area or
BIF (BYE Industrial Facility).
Secure Working Area
Document Control
An Agency approved or accredited facility
which is used for handling, discussing
and/or processing classified material.
Classified material may not be stored in
a Secure Working Area.
Center...A designated area within a secure area that
handles document control functions.
Two-Person Rule
A requirement for contractors to staff two
approved and briefed individuals in
communication centers, document control
centers and any other areas so designated
by the COSR.
Waiver Written approval by the authorized Agency
Security Officer for a deviation of
standards from the prescribed security
guidelines. Waivers mist be rejustified
and revalidated on a yearly basis.
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Sterility
This refers to any arrangements which
are made to reduce the possibility of
compromising the connection between
Project Headquarters or the Agency
with the contractor or compromising
the relationship among other contractors.
IPP Industrial Polygraph Program. Agency
sponsored polygraph program for
contractor personnel holding ISA/TS
and/or SCI accesses.
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AGENCY/INTELLIGENCE COMMUNITY SECURITY GUIDELINES USED IN INDUSTRY
Collateral Contracts:
1. Standard Security Procedures for Contractors (SSPC), dated
1 May 1979; general security requirements.
2. Security Requirements For Contractor Automated Information
Systems Processing Collateral Information, dated 9 February 1982;
computer/word processing security. (Similar to Appendix VI
in the SSPC)
SCI Contracts:
1. BYE Industrial Security Manual (BISM) dated 1 July 1982;
general security guidelines for BYE contracts.
2. U.S. Intelligence Community Physical Security Standards for
Sensitive Compartmented Information Facilities, NFIB/NFIC-9.1/47,
dated 23 April 1982; physical standards for SCI protection.
3. Security Requirements for Contractor Automated Information
Systems Processing-Sensitive Compartmented Information,
dated 8 April 1982, computer/word processing security for
SCI information.
4. SI/TK Manual, dated 22 August 1975. Contractors use a
sanitized version. General security guidelines for handling
SI/TK material.
5. SCI Reference Handbook, due to be published in September 1983.
This three segment publication will serve as an indoctrination
tool for Agency area and industrial security officers and will
include physical, personnel and document control procedures.
Some of the above publications have annexes which provide
security guidance in specific areas such as TEMPEST
requirements, sound attenuation requirements, telephone
and alarm requirements and personnel processing requirements.
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Approved For Release 2005/07/12: CIA-RDP96601172R001000090001-2
CRITIQUE
INDUSTRIAL SECURITY OFFICERS TRAINING COURSE
23-26 October 1984
On a scale of 1 to 5 (1 being the lowest and 5 being the
highest) please. rate each speaker regarding conteent, relevance
and presentation. In addition, general comments regarding each
day's agenda are solicited, i.e., why you think a particular
speaker was poor or great, why you think a particular area
should be dropped, etc.
Accolades are not solicited but will be accepted - the
point is how can we improve the Industrial Security Officers
Training Course. Please complete each day - signatures are not
required. .
TUES - 23 Oct 84 Content
Relevance Presentation
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WED - 24 Oct 84 Content
Relevance Presentation
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THURS - 25 Oct 84
Content
FRI - 26 October 84
Content
Relevance Presentation
Relevance Presentation
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The following Govermental Agencies are NFIB members:
Central Intelligence Agency
Department of State
Department of Treasury
Department of Defense
Department of Energy
Defense Investigative Agency
National Security Agency
Federal Bureau of Investigation
Other Elements of Department of Defense Responsible for
Reconnaissance Activities.
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...... liV.:RNING NOTICE
1 iNTL:,.L!?::::"?;:: :*:-. L'S
??.,...','.._',-Appr
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INDUSTRIAL SECURITY OFFICERS TRAINING COURSE
23-26 October 1984
CONTENTS
1. Procurement Authority
2. Procurement Organization
3. R&D Contract Sequence
4. Contract Administration - Team Approach
5. Types of Contracts
6. Request for Initial Security Inspection of New Sources
7. Certificate Pertaining to Foreign Interests
8. Contract Data Classification Guide (CDCG)
9. Form 88
10. Form 2420
11. Contract Inspection Report
?????????^???????????soi......eara.o..........dom.d..0.1?111.4-.
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10. PROCUREMENT AUTHORITY
a. AGENCY AUTHORITY
Agency procurement authority is contained in the
Central Intelligence Agency Act of 1949, sections 3 and 8 (50
U.S.C. 403c and 50 U.S.C. 403j, respectively); the Federal
Property and Administrative Services Act of 1949 (40 U.S.C.
471, et seq., as amended); and Executive Order 12333.
b. DIRECTOR OF LOGISTICS' AUTHORITY
25X1 By
the Director of Central Intelligence as
Agency Head has authorized the Director of Logistics to
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exercise all procurement authority, unless otherwise
specifically delegated by the Director, except that only the
head of the Agency may authorize advance payments under
negotiated contracts and then only for an amount not exceeding
the contract price.
C. REDELEGATION OF DIRECTOR OF LOGISTICS' AUTHORITY
(1) Contracting Officers
(a) The Director of Logistics has issued written
redelegations of procurement authority to selected personnel,
designated as.contracting officers, the authority to enter into
and administer contracts for supplies and services (including
research, development, studies, and engineering services) on
behalf of the Agency, subject to specific limitations set forth
in each Delegation of Contracting Authority. The approval of
the Director of Logistics or designee is required for a
contracting officer to exceed these limitations. (Note: the
term "procurement officer' is used synonomously for
'contracting officer" in this handbook.)
(b) Contracting officers may redelegate their
authority to knowledgeable procurement personnel if the
authority to do so is included in their delegation from the
Director of Logistics. When redelegation is permitted, it
should not be to clerical, administrative, or other
noncontractual support personnel, although this type of
personnel may be involved in actions leading up to execution of
a contract document. The document itself must be executed by
the contracting officer.
(c) Redelegations by the Director of Logistics to
contracting officers are reviewed by the Logistics and
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Procurement Law Division, Office of General Counsel
(OGC/L&PLD); and any further redelegations also require the
review of OGC/LSPLD. Copies of all delegations and
redelegations will be maintained by the Procurement Management
Staff, or...
(d) Contracting officers will be guided in their
actions by this handbook, by Headquarters Regulations (see
paragraph 23 for a list of HRs of particular importance), by
the Federal Acquisition Regulation (FAR), and by Procurement
Notes issued by the Office of Logistics (see paragraph 11d(1)).
(2) 'Imprest Funds
Delegations of authority to procure materiel or
services under.imprest-fund procedures have been granted to
many Agency components. Imprest funds are approved by the
Director of Finance or designee and, unless specifically
prohibited in the imprest-fund charter, may be used for the
procurement of supplies and services. See paragraph 54 for
monetary limitations and procedures in making purchases from an
imprest fund.
11. PROCUREMENT ORGANIZATION
In accordance with Executive Order 12352, the Deputy
Director for Administration has designated (upon the
recommendation of the Director of Logistics) a Procurement
Executive with Agency-wide responsibility to oversee the
development of the Agency procurement system, evaluate system
performance in accordance with approved criteria, enhance
career management of the procurement work force, and certify to
the DCI that the Agency's procurement system meets approved
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criteria. The Procurement Executive, reporting directly to the
Director of Logistics, manages the Procurement Division, the
decentralized research and development procurement teams, and
the Procurement Management Staff (see paragraphs b, c, and d,
directly below). The Procurement Executive functions as the
coordinator for the creation and maintenance of uniform Agency
procurement policies and procedures and as a focal point for
efforts to increase the efficiency and effectiveness of Agency
procurement. The Procurement Executive serves as the Agency
representative on various interagency committees concerned with
procurement.
b. PROCUREMENT DIVISION
(1) Procurement of production items, nonpersonal
services, automatic data processing equipment, general
purchases, and purchases against the General Services
Administration's Federal Supply Schedules is centralized in the
Procurement Division, OL. The Procurement Division is comprised
of the following branches:
(a) Automatic Data Processing (ADP) and Engineering
Branch, which handles the procurement of ADP equipment and
related services, excluding word processing equipment.
(b) 'ProductionTMWS417ii&iContiactisCBtancht which
handles other than ADP equipment and services through contracts
of the type and magnitude that require cost analysis (see
paragraph BO).
(c) General Procurement Branch, which handles all
?I???????????M?ffinialw....NI/1.100
other procurement, including word processing equipment. The
Small Purchases Section, within this branch, is unique in that
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overseas requisitioners can correspond directly with it as
described in paragraph 51.
c. DECENTRALIZED CONTRACTING TEAMS
The Director of Logistics has established a
decentralized procurement system to carry out the procurement
of research and development, including external analyses,
studies, engineering services, prototypes, and first follow-on
production where it can be reasonably demonstrated that
adequate specifications or manufacturing drawings are not
available to perdit competitive procurement. Within the
?
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Directorate of Science and Technology (DDS&T), the system
consists of a senior contracting officer, who is the
procurement staff advisor to the Deputy Director, and
contracting teams situated within operating components having
sufficient contracting volume to warrant such placement.
Contracting teams have also been established within the
Directorate of Operations and the Directorate of Intelligence
to provide procurement support for the unique activities of
those offices.
d. PROCUREMENT MANAGEMENT STAPP
The Procurement Management Staff (OL/PMS) is
responsible for:
(1) Assisting the Procurement Executive in
establishing policies and procedures concerning the acquisition
process. OL/PMS promulgates policy supplemental to that
contained in this handbook and new policy in the form of
Procurement Notes (PNs). PNS are signed by the Director of
Logistics and are binding on all contracting officers
throughout the Agency.
(2) Monitoring the Agency's procurement system and
the various procurement elements and serving as intermediary
between the procurement elements and the Director of Logistics
whenever a matter arises that requires the involvement of the
Director of Logistics. The Chief, PMS exercises contracting
authority on special programs as directed by the Director of
Logistics.
(3) Maintaining the automated Contract Information
System (CONIF). This is an automated contract information and
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operational system that contains all significant elements of
data to support the contracting officer in administering
contracts and to provide essential information to Supply
Division's Inventory Control System and the Office of Finance's
General Accounting System. It also permits management
visibility of the Agency procurement system. CONIF reports in
the form of computer printouts may be requested through 0#2-1,tEril
C onrr4S" Pernt4M0.1 /3e4nc4/ Pt2_5;
(4) Maintaining current contract general provisions,
clauses, and forms.
(5) Serving as a point of contact for contractors
attempting to establish a business relationship with the Agency.
(6) Acting as the focal point for Freedom of
Information Act (FOIA) requests pertaining to Agency
procurement contracts, whether classified or unclassified. Al].
FOIA requests received by contracting officers must be referred
to OL/PMS.
e. COVERT PROCUREMENT BRANCH, SUPPLY DIVISION
Procurement of commercial items in such a manner that
association with the U.S. Government is hidden is vested in the
Covert Procurement Branch, Supply Division. Because the
Government's role is covert, many of the procedures provided in
this handbook cannot be followed to the letter, but,
nonetheless, the principles apply. Paragraph 58 provides
specific guidelines for this covert procurement.
(1
AGENCri;c9N.TRAcfv;frtEVIEW,.,BOARD,
ft
ets forth the basic charter of the
The Director of Logistics
and the Procurement Executive rely on the ACRB for advice and
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Agency Contract Review Board (ACRB).
CONFIDENTIAL
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recommendations on selected procurement actions and for review
of Agency procurement policies, procedures, and practices.
The chairman of the board is appointed by the Director of
Logistics. The board consists of senior representatives from
each directorate and advisors from the Office of General
Counsel, the Industrial Contract Security Staff, OL, and the
Commercial Systems Audit Division, Office of Finance.
(2) The ACRB is responsible for:
(a) Reviewing proposed noncompetitive procurements --
AmemV71..t4R4rtztlalpfpG0 or more _prior to solicitation_of---7
.pApposs.ls;77,0
"a. rAft. ? .?
???.. ? %/P.P.
(b) Rextewing7Approved7procureMent-requests presented
tiANE9.44;AatingOlfiderd7thatYcOndetn.contractualpolicy-or-i7
Pcaqt4M4kAR#4140.,
(c) AAY41,109g0Pr,9Yel:PracUrepent requests,
0.,
prop?004:04nta'41t,or,amendments in the scope of a_contr,st
that.-exceed 0014000 n valuation, plus other lesser-value
4iiialkti
actions at the discretion of the contracting officer.
(d) Reviewing overrun'funding.amendments when
_
ividual,or,collective overruns exceed $125,000 and are more.,
ijff; -k- s. rl rts 01*
than1,25:percent ? of Ithe - or iginal 'lost- est imatesj Reviewing anyt,7
ov4er;unnfunding amendments whervindividual or collective
ovetruns:exceed.4500,000, regardless of percentage
(e) Reviewing proposed cost-sharing contracts as we4
as ahpcoppsed_contrict that a contracting officer believes-p
??? .
should be cost-sharing but in which the offeror refuses to
participate.
(f) Reviewing any proposals to issue
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Government-rfucnishe&property, o,a.contractor in excess of.
$500,
(3)
(3) See PN 140 for guidance concerning the procedures
to be followed and the documentation required in presenting
cases to the ACRES, as well as procedures for obtaining a waiver
of the requirement to have cases reviewed by the Board.
g. FOCI REVIEW PANEL
The FOCI Review Panel is responsible for determining
whether prospective contractors are under foreign ownership,
control, or influence (FOCI) and for recommending to the
Director of Logistics whether or not they should be eligible
for contracting with the Agency. The panel is chaired by the
Chief, PMS/OL, and includes as members the Associate General
Counsel, L&PLD/OGC, and the chief of the cognizant security
component for the particular organization under reviel:T. The
Panel may call upon experts from within the Agency or from
other Government agencies or contractors when additional
expertise, investigative action, or counterintelligence
analysis is required. See paragraph 46 for procedures for
determining whether a contractor is subject to FOCI.
h. PROCUREMENT POLICY PANEL
The Procurement Policy Panel (PPP) consists of senior
ranking contracting officers who have the responsibility of
implementing Agency procurement policy and practices. The
Panel is chaired by the Chairman of the Agency Contract Review
Board. Items of either a policy or procedural nature are
referred to the Panel by the Director of Logistics, the Agency
?
Contract Review Board, or the Procurement Executive. Its
?
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findings and proposals are in the form of recommendations to
the Director of Logistics. The Panel does not meet on a
regularly scheduled basis but meets on call of the Chairman as
the need arises.
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CONTRACT ADMINISTRATION
TEAM APPROACH.
CONTRACTING OFFICER - RESPONSIBILITY FOR ADMINISTRATION OF THE CONTRACT
. ONLY ONE WITH AUTHORITY TO EXECUTE AMENDMENTS.
RESPONSIBLE FOR TECHNICAL COMPLIANCE WITH CONTRACT
" RESPONSIBLE FOR COMPLIANCE WITH SECURITY PROVISIONS
RESPONSIBLE FOR AUDITING COSTS INCURRED BY
CONTRACTOR IN PERFORMANCE OF CONTRACT
COTR
SECURITY
AUDIT
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APPLICABILITY
ESSENTIAL ELEMENTS
LIMITATIONS
APPROVALS
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A ?111......0", ....?....,
(Greatest Risk on Contractor)
(Greatest Risk on Government)
k., i tICAt lAJA t txnu I UAL. Lit, v turz
(Special Uses)
FIRM FIXED-PRICE
FIXED-PRICE WITH
ESCALATION
FIXED-PRICE
INCENTIVE
FIXED-PRICE WITH
REDETERMINATION
COST AND
COST-SHARING
COST-PLUS-
INCENTIVE FEE
COST-PLUS-
AWARD FEE
COST-PLUS-
FIXED-FEE
TIME AND MATERIAL
(LABOR-HOUR)
LETTER CONTRACT INDEFINITE DELIVERY
Fair, reasonable price can be
established at inception: e.g.,
-Reasonably definite de-
sign or performance spec-
ifications
-Realistic estimates
?Adequate competition
?Valid cost or pricing data
giving reasonable price
comparisons
Level of effort research
contract
Initial fixed-price places
100% responsibility and risk
on Contractor
Government and Contractor
must agree on fixed price at
inception
If FFP level of effort, agree-
went must be reached on
identification of effort and
number of man-hours
None
. _
ADVERTISED OR NEGOTIATED
Preferred over all type
Minimum administration
?Market or labor condi-
tions unstable over ex-
tended production period
-
ASPR Clause
?Established price: ASPR
7-106
?Labor/Material: ASPR
7-107
?ceiling on upward adjust'
ment; downward adjust-
ment appropriate where
elements escalated may
-
fall below base levels pro-appropriate
vided in contract
Contingencies are industry-
wide and beyond Contractor
control
?
None
PROCUREMENTS
Reduces fixed-price risk for
Contractor
. ,
Where cost uncertainties ex-
ist and there is the possibility
of cost reduction by giving
Contractor (i) a degree of
cost responsibility and (ii) a
Positive profit incentive
Firm Target Type; firm tar-
get and final profit adjust-
ment formula can be negoti-
ated initially
Successive Target Type: mi-
tial target can be negotiated,
but firm final targets can-
not; sufficient information
n
will be available early
enough in performance to
set final goals
Firm Target: target cost;
target profit; price ceiling;
profit adjustment formula
S essive Targets: initial
target cost and profit Price
ceiling; firm target profit
formula; and production
point for application to get .
either a firm target and final
profit formula or a fixed-
price contract.
ADEQUATE
cr-INTRArprin ArrnriNTINE.
Must determine (i) that this
is least-costly contract type
and (ii) that any other type
is impractical. Used for de-
velopment and production
Contracting Officer
NEGOTIATED PROCUREMENTS
May also use performance
incentives
Stated Time or Times:
quantity production-realistic
Price can be negotiated mi-
tially but not for later pe-
nods of performance
Retroactive after Comple-
tion: realistic fixed price
cannot be negotiated initial-
ly; amount so small or time
so short any other contract
type impracticable
Stated Time or Times fixed-
price initially Prospective
redetermination upward or
downward; specific time or
times for redetermination;
price ceiling if appropriate
Retroactive after Comple-
lion: ceiling price; agree-
ment to negotiate price after
performance--
cyc-rnm REQUIRED
Stated Time or Times; FFP
not possible; length of pric-
jag periods 12 nths or
more; Contractor's account-
lag system adequate; reason-
able assurance of prompt
redetermination
Retroactive after Comple-
tion: R&D of $100K or less
only; adequate accounting
system; fair & reasonable
billing price
Stated Time or Times:
None
Retroactive after Comple-
tion: written approval of
Procurement Officer
-
ONLY
Large amount of adminis-
tration required by Contrac-
tor and Government
UNCERTAINTIES
Cost: R&D with nonprofit
organizations or educational
institutions; facilities con-
tracts
Cost-Sharing: R&D Projects
jointly sponsored by Govern-
ment and Contractor where
he anticipates commercial
benefit in lieu of contract
fee
Cost: Government pays all
costs but no fee
Cost-Sharing: must present
ayt,4p,arp that there t. 11;041
probability Contractor will
e substantialceivplicable
re present
or future commercial bene-
fits
Cost-Sharing: Individually
by the Procurement Officer
.
IN PERFORMANCE ? IMPOSSIBLE
Development and test when
incentive formula can pro-
vide positive incentive for
effective ma nage m e n t.
Where feasible, use per-
formance incentives to-
gether with cost schedule
and incentives
Target cost; target fee; mini-
mum and maximum fee; fee
adjustment formula (applied
at end of performance)
ADEQUATE CONTRACTOR
?
Production & Services
R&D
A&E services
Formula should provide in-
centive effectiveness over
variation in costs throughout
the full range of reasonable
foreseeable variation from
target cost
Determination and Findings
(except for
NEGOTIATED PROCUREMENTS
Government
TO FIRMLY ESTIMATE
(i) Level of effort for perfor-
mance of services where
mission feasibility is estab-
lished, but measurement of
performance must be by
subjective evaluation; (ii)
work which would have
been placed under another
type of contract if perform-
- ance objectives could be ex-
pressed in advance by deli-
nite milestones or targets
susceptible of measuring ac-
tual performance
Negotiated estimate of cost;
a base fee; maximum fee;
the criteria against which
performance is evaluated;
resulting in an award fee
ACCOUNTING SYS1LM
Statutory Fee Limitations
' Final fee determination by
Government not subject to
disputes clause. ?
CPAF is not for procure-
merits where cost, delivery
and incentive factors are
measurable
by Contracting Officer
cost-sharing)
Same as CPFF and CPIF)
ONLY. "Costs'
auditing and administrative
Can use combination of
CPAF/IF or CPIF/AF as
appropriate to reflect degree
of subjectivity and obiec-
tivity of performance meas-
urement
COSTS
Term Form: research, pre-
liminary exploration, or
study when level of effort
initially unknown (or devel-
opment and test when
CPIF is impractical)
completion Form: R&D
h
when the task or job can be
clearly defined, a definite
goal or target expressed, and
a end product required
Negotiated estimate of cost's;
fee fixed initially except for
changes in the Work or Ser
vices .required
REQUIRED
10% of estimated costs
15% of estimated costs
6% of estimated cosb
Not for development of ma
jor weapons once explorl
tion indicates engineering
development is feasible
defined in ASPR XV
surveillance
Least Contractor responsi-
bility for cost of pet-
1
formance;
Least Preferred contract
type
Not possible initially to esti-
mate extent or duration of
work (L-H used where ma-
is terial not involved), e.g., en-
gineering or design services;
repair, maintenance, or
a
hl
I overhaul
.
,
Direet labor hours specified
at fixed hourly rates; direct
materials at 'cost' as defined
by ASPR and local in-
structions
-Determination that no other
type of contract is suitable
Contracting Office
?
NEGOTIATED PROCUREMENTS
Constant Government sur-
veillance necessary
Urgency requires immediate
binding agreement so work
can begin but time does not
permit negotiation of a de-
finitive contract
Maximum Government Ii-
ability; include as many de-
finitive contract provisions
as possible; other provisions
required by ASPR Section
VII, Part 8
No other contract type suit-
able; definitive contract at
earliest practicable date;
maximum liability limited
to not more than 50% total
estimated cost
At level higher than Con-
tracting Officer as stated in
local instructions
ONLY
Greatly restricted: see NASA
PR 3.408
Exact time of delivery un-
known
Definite quantity: quantity
7
known; delivery period can
be specified; supplies avail-
able or have a short lead
time
Requirments: precise needs
of designated activities dur-
ing a definite period not
known initially
Indefinite Quantity: impos-
sible to know exact quantity
needed by designated activi-
ties during a definite period
and Government cannot
commit itself beyond
minimum
Definite Quantity: provision
for delivery to designated
points or on order
Requirements: estimated to-
tal quantity; maximum and
minimum total quantity
when feasible; maximum
and minimum order when
Indefinite Quantity: stated
maximum and minimum to-
tal quantity; maximum and
minimum nr,iPr when ap-
Firm fixed-price, fixed-
Price with escalation, or
fixed-price with redetermi-
nation only
Use only when item or ser-
vice is commercial or modi-
fied-commercial in type and
when recurring need an-
ticipated
None
Advertised or Negotiated
Procurements. Delivery on
orders or 'calls' under con-
tract. Obligation of funds on
orders and, when applicable,
on stated minimum total
quantity
PROCUREMENT CONSULTANTS INCORPORATED
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DATE
MEMORANDUM FOR: Chief, Security Staff, OL
FROM
:SUBJECT : Request for Initial Security Inspection
of New Source
Contractor :
Address ?
Telephone : ( )
It is requested that your office make a security inspection and
briefing at the Subject firm with whom we propose to negotiate
a classified contract. Your inspection report is required not
later than
PERTINENT INFORMATION:
CONTRACT:
1. Number
2. Description of Scope of Work/Item(s):
3. Security Classification
a. Agency Association
b. Work
c.
d. Reports
e. Other
SUGGESTED CONTACTS:
1. Negotiator
2. Agency Tech?FITriator
3. Proposed Contractor?rontacts (Name
NAME:
Ext.
Ext.
Title and Bio)
TITLE:
DPOB:
SOCIAL SECURITY NUMBER
DOD CLEARANCE (if applicable)
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CERTIFICATE PERTAINING TO FOREIGN INTERESTS
-
TYPE OR PRINT
ALI. ANSWERS
Form APP.-0'10d
OMB No. 22?R0193
?PENALTY NOTICE
concealment, or by misleading, false or
of Defense information. In
a maximum of five (5) years imprisonment.
or Agency of the United States,
This includes any statement made
?
PENALTY ? Failure to answer all questivna, or any misrepresentation (by omission or
partial answers) may serve as a basis for denial of clearance for access to classified Department
addition, Title 18, United States Code 1001, makes it a criminal offense, punishable by
810,000 fine, or both, knowingly to make a false statement or representation to any Department
as to any matter within the jurisdiction of any Department or Agency of the United States.
herein which is knowingly incorrect, incomplete or misleading in any important particular.
PROVISIONS
by E.O. 108.65. While you are not
if you do not complete this form. The
of DoD 5220.22-14 for
to the Freedom of Information Act will
"No" column. If your answer is "Yes"
1. This report is authorized by the Secretary of Defense pursuant to authority granted him
required to respond, your eligibility for a facility security clearance cannot be determined
retention of ? facility security clearance is contingent upon your compliance with the requirements
submission of a revised form as appropriate. ?
2, When this report is submitted in confidence and is so marked, applicable exemptions
be invoked to withhold it from public disclosure. .
3. Complete all questions on this form. Answer each question in either the "Yes" or
furnish in full the complete information under "Remarks". .
QUESTION.
YES
NO
. .
I. Do foreign interests own or have beneficial ownership in 57. or more of your organization's securities?
2. Does your organization own an/ foreign interest in whole or in part?
3. Do any foreign interests have positions, such as directors, officers, or executive personnel in your
organization?
4. Does any foreign interest control or influence, or is any foreign interest in a position to control or .
influence the election, appointment, or tenure of any of your directors, officers, or executive personnel?
5. Does your organization have any contracts, agreements, understandings or arrangements with a foreign
interest(s)?
'
6. Is your organization indebted to foreign interests?
7. Does your organization derive any income from Communist countries or income in excess of 107, of gross
income from non?Communist foreign interests?
8. Is 5% or more of any class of your organization's securities held in "nominee shares," in "street names"
or in some other method which does not disclose the beneficial owner of equitable title?
?
so, Does your organization have interlocking directors with foreign interests?
10. Are there any citizens of foreign countries employed by or who may visit your facility (or facilities) in
a capacity which rosy per-mit them to have access to classified information (exclude cleared immigrant
aliens in answering this question)?
11. Does your organization' have any foreign involvement not otherwise covered in your answers to the
above questions,
DD FORM 441s
SEP 76
EDITION OF I MAR 60 IS OBSOLETE
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REMARKS (Attach additional ?heete. If n?c???ary, for a full cf?tall?d statement)
?
'
'
CERTIFICATION
I CERTIFY that the entries made by me above are true, complete, and correct to the best of my knowledge and belief and are
made in good faith.
WITNESS:
DATE CERTIFIED
By
?
CONTRACTOR
?
NOTE: In cm oi corporation, rritn TITLE
not required but certificate below must be
completed. Typ? or print name der alt
algnetwee.
ADDRESS
NOTE: Contractor, if a corporation, should cause th? following certificate to be executed under it. corporate seal, provided that th? ?arms
officer .hall not erecute both the agreement and th? certifier/fa.
-
CERTIFICATE
1, certify that I am the
of the corporation named as Contractor herein; that
who signed this certificate on behalf of the Contractor, was then
of said corporation; that said certificate was duly signed for and in behalf of said corporation by authority of its governing body,
and is within the scope of its corporate powers.
(Corporate Seal) SIGNATURE AND DATE
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Unclassified Confidential Secret Top Secret
Contractor Contract No.
Classifier's Employee No Date
Contract Data Classification Guide
Item (as applicable)
Association*
Government-Furnished Data and Hardware
A. Statement of Work
B. Technical Information (includes oral discussions)
C. Specifications
D. Drawings and Graphics
E. Computer Software
F. Communications Security (COMSEC) Material
G. Government-Furnished Equipment (includes hardware from
prior contract)
H. Other?identify on attached sheet
Contractor-Produced Data and Hardware
A. Reports (as identified in contract)
1. Monthly or Preliminary Technical
2. Quarterly or Interim
3. Final
4. Contract Status
B. Manuals
C. Drawings and Graphics
D. Computer Software
E. Test Data, Computer Printouts
F. Hardware
I. Component
2. Subsystem
3. Breadboard
4. Prototype or Engineering Model
5. System or Finished Product
G. Other?identify on attached sheet
Maximum
Classification
Statement of the Critical Security Elements of Procurement (excluding association):
* If this item is completed, this form must itself be classified when the contractor's name is added.
Classification when completed
Source, Term, and Reason
(as necessary)
Declassify or Review after
.Unclassified Confidential
Secret Top Secret
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SECRET CONFIDENTIAL UNCLASSIFIED
NAME OF CONTACT OFFICER
OFFICE
TELEPHONE
SIGNATURE OF APPROVING OFFICER
SIGNATURE OF TECHNICAL OFFICER
REMARKS
BUDGET CERTIFICATION: I CERTIFY THAT COST AUTHOR
I ZATION AND/OR FUNDS ARE AVAILABLE. CHARGE COSI
CENTER INDICATED IN BLOCK ASTERISKED (*) BELOW.
SIGNATURE OF AUTHORIZING OFFICER
DATE
REQUISITION FOR MATERIEL
AND/OR SERVICES
REQ'N. DATE
REQ'N. NO.
VOU. DATE
VOU. NO.
FOR PROC. OBLIGATE ALLOTMENT NO.
REQUIRED DATE AT DESTINATION
(NOT REQUIRED FOR.ROUTINE
REONS. ENTER DATE ONLY IF
REQUIREMENT IS FIRM)
DATE PROC. ITEMS
REQUIRED IN
DEPOT
DATE STOCK ITEMS
REQUIRED IN
TRANSPORTATION
TYPE I FPA
TYPE II FP/
OTHER:
*CHARGE COST CENTER NO.
ACCOUNTABILITY TO BE ASSUMED BY
ST AT 10 N
CONSIGNEE
REFERENCE
RECOMMENDED METHOD OF SHIPMENT
(TRUCK, RAIL, SHIP, PLANE, OR POSTAL)
RECOMMENDED CHANNEL FOR SHIPMENT
(COMMERCIAL, MILITARY, OTHER)
MARKING INSTRUCTIONS
PACKING INSTRUCTIONS
SOURCE
POSTED
STOCK CONTROL REMARKS
PROC.
WHSE.
INITIAL
DATE
ITEM NO.
STOCK NO.
EXP.
NOMENCLATURE
SC
PRICING AND EDITING DATA
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
ACTION
S-A-C
LOCATION
___..
Apprrtwari Frtr
?alaaca 9nn.g/n702 ? CI4JR111D961301172R30?
QUANTITY
UNIT
UNIT PRICE
EXTENSION
RELEASED
00009Q,0111,2___________
ACTION
S-A-C
LOCATION
88 USE PREVIOUS EDITIONS
12-60
SECRET
CONFIDENTIAL
UNCLASSIFIED (38)
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REQUEST FOR PROCUREMENT SERVICES
(I) DOCUMENT NUMBER
...
OFFICE/DIV/BR
PROJECT OR CONTACT OFFICER & EXTENSION
DATE OF REQUEST
NII.
(8) AMOUNT
110.
(2)TRANS CODE
(3)SOC
(4)EXPEN6FP(S)PROPA-
CODE
GATION
FACTOR
liw14''
(6) PROJECT NUMBER
low
17) PROJECT TITLE
b..
1 CERTIFY FUNDS ARE AVAILABLE
SIGNATURE OF BUDGET OFFICER/EXT/DATE
(9)ORN
00)PRIME ORN
(11) REQUEST NUMBER
M..
021 CONTRACTOR (if known)
PROPOSAL NO. & DATE
CONTRACT & TASK ORDER NO. (if known)
(13) TYPE OF SERVICE REQUIRED
APPLICABLE ONLY TO REPAIRS AND MODIFICATIONS .,
1
RESEARCH/DEV
TRANSFER OF FUNDS TO
OTHER GOVT. AGENCY
(specify if applicable)
TECHNICAL INSPECTION IS REQUIRED BY
ERECEIVING DEPOT T & I III TECHNICAL MONITOR
2
RENTAL
=ITEMS TO BE PICKED UP OR III SERVICES PERFORMED AT:
,
REPAIR
4
MAINTENANCE
ITEMS TO BE REDELIVERED TO,
5
MODIFICATION
OTHER (specify)
CLASSIFICATION AND STERILITY OF THE PROCUREMENT
STERILITY
ASSOCIATI,ON CLASS.
WORK CLASSIFICATION
HARDWARE CLASSIFICATION
. REPORTS CLASSIFICATION
SC 0
UNCLASSIFIED
UNCLASSIFIED
UNCLASSIFIED
UNCLASSIFIED
CONFIDENTIAL
CONFIDENTIAL
CONFIDENTIAL
SC I
CONFIDENTIAL
SC 2
SECRET
SECRET
SECRET
SECRET
OTHER
TOP SECRET
TOP SECRET
TOP SECRET
TOP SECRET
AUTHORITY
AND
DURATION
(see HHB 70-2)
All..
_
(See reverse for specific information
required on requests.)
A3PROVAL
DESIGNATION
SIGNATURE
DATE
PROCUREMENT USE
DATE RECEIVED
RECORDED BY
ASSIGNED TO
NEGOTIATOR
FORM
2420 USE
3-79 PREVIOUS
EDITIONS
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1. SUGGESTED SOURCES (Any sole source recommendation must include a substantive technical justification)
2. DELIVERABLE ITEMS
REPORTS REQUIRED
NO. OF COPIES 1 I MONTHLY ri INTERIM
HARDWARE (state type and number)
OTHER
QUARTERLY
FINAL
3. GFP REQUIRED
4. SPECIAL INSTRUCTIONS
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GOALS OF INDUSTRIAL SECURITY OFFICERS' SEMINARS
1. To acquaint contractor security officers with the Agency's
structure, operations, concerns and personnel.
2. To raise awareness of security issues:
a. Counter Intelligence
b. Personnel Security
c. Physical Security
d. Technical Security
e. Communications Security
f. Automated Information Systems Security
g. Espionage
h. Technology Transfer
3. To present and clarify Agency security requirements
4. To provide guidance regarding and explanation of Agency
security policy
5. To answer questions
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Peter W
P p 14Aiga f/gealiB t'bt)5/07/1 2F:YdIA-RDP96 B01 1 72Radat)6401611'29 89
Defense industrial organizations, associations,
colleges and universities can contract James either for a
single presentation (with questions and answers) or for a
full day (residency or consulting). His topics include: How
the Russians Spy on the United States and International
Espionage and Terrorism.
Main Presentation: $1500 plus expenses or $2000
inclusive/flat rate, whichever is less.
Full Day/Residency:$2000 plus expenses or $2500
inclusive/flat rate, whichever is less.
Call
personally
30
[phone] to contract James or reach him
on
March
tour:
University of the Pacific, Stockton, CA. Tom
Leon is contact [phone]. Topic:
Espionage and Russia.
3
April
Western Oreaon State Colleae, Monmouth, OR.
Kym Wilson is contact [phone] x295.
Topic: International Espionage and Terrorism.
5
April
Cress Colleae, Cypress, CA. James Sladeck is
contact [phone] x198. Topic is:
International Espionage and Terrorism.
6
April
Case-Western Reserve University, Cleveland,
OH. Rob Knauerhaus/Howard Gordon are contacts.
[phone]. Topic is: International
Espionage and Terrorism.
10
April
University of New HamEshire, Durham, NH.
Andrew Gamble is contact [phone].
DEBATE AGAINST PHILIP AGEE.
12
April
Ferris State Colleae, Big Rapids, MI. Mark
Schuelke is contact [phone]. Topic is:
How the Russians Spy on the United States
Spring and Fall 1989 dates are open for colleges
May-August 1989 are preferred for Defense Organizations
Defense industrial organizations near the above campuses
are encouraged to send marketing and security employees
to the above public presentations.
You might remember me as the Jamestown-born author who was an assistant project engineer and
worked in the field of aerospace technology in Florida. I graduated from Jamestown High School in 1958
and Case Institute of Technology in Cleveland in 1962 with a bachelor of science degree in physics.
With the knowledge of U.S. government intelligence officials, I asked my employer, Pratt & Whitney
Aircraft, a division of United Technologies Corp., to "fire" me in 1971. This allowed me to change careers,
become a public figure and better serve U.S. national security interests. I became an author, world traveler,
a successful international speaker on government and national security affairs, but more importantly, "bait"
for Communist-bloc intelligence agents who were known to target fired employees of U.S. defense
contractors and the intelligence community.
With the close of the "Reagan Era", I bring to a close this latter activity, which will be the subject of
a future book.
With this letter I publicly confirm all of the above. For more than two decades I have as a private citizen
and at the request of the U.S. governmenigartiApigedki INS," ? vigraojappipptilic, technical,
political and co FY etil?daRPWRIEkrrif:11%if806YatiA 6 foLdiii FaHr . y Mitrelg Rtretitgiole the United
States.
Soviets have OM Me
love you ? and more
By STEPHAN STERN
Sun Staff Writer
RIVERSIDE ? Soviet agents
routinely visit urea bars in hopes
of obtaining claasitled informa-
tion from military and govern-
ment personnel, a former CIA in-
formant said.
? Peter N. James, author of
"The Air Force Mafia" and "Sovi-
et Conquest from Space," said the
KGB ? the Soviet equivalent of
- the CIA ? has a repertoire of
tricks to infiltrate the U.S. securi-
ty,' apparatus ? sex, money and
blackmail chief among them.
"You can bet that the KGB
has government operatives
throughout this area," he said.
'!.By the way, these KGB opera-
tors don't talk with a thick Soviet
accent."
'? James, 47, who for 10 years
? fed the CIA tidbits on Soviet
rocketry advancements while
working for the aviation firm of
Pratt & Whitney, spoke last week
about KGB technitotes to a room-
ff at the University of
California, Riverside. The Asso-e
Mated Students Program Board
sponsored the visiS.
Eastern-bloe agents prowl the
Southern California area because
of the many military bases and
defense contractors located here,
James said.
tneluded are Norton Air
Force Base in San Bernardino,
March Air Force Base in River-
side, and the Rockwell, Northrop
and Lockheed defense plants in
Palmdale. Norton AFB Is home of'
the Air Force Ballistic Missile
Office, which handles research
and development of all U.S. land-
based intercontinental. ballistic
Missiles.
James said that Soviet spies
often employ women known as
"swallows" to coax secrets from
"red-blooded" men. Hidden
See SOVIETS/B2
Ex-spy: KG
NO
By Fred Lowery
Stall Writer
Possibilities are good the 1979 takeover of the
U.S. Embassy in Iran was orchestrated by the
Soviet KGB, and not Iranian ''student's," former
spy Peter James said yesterday.
The payoff was too good in terms of in-
telligence, James told the Palm Beach Round
Table, and the amount of information used
publicly by the Khomeini regime too sparse
during the year the American hostages were
held to believe the takeover was only a political
outburst.
Despite what were supposed to be strict
security measures to be taken in case the em-
bassy was overrun, James said, nine safes full of
classified documents were captured intact.
Included in these documents was a complete
rundown of the American intelligence structure
in Iran and the Middle East, including a corn-
By JAMEY L. SIMPSON
Round Up Staff Writer
Terrorism in the Uniteed States is
just around the corner, and the na-
tional security of this country is
easily jeopardized by inadequate
security measures, according to a
U.S. ex-intelligence operative,
Peter N. James, an aerospace engi-
neer with Pratt & Whitney Aircraft,
showed slides front his past espio-
nage work to an audience of more
than 300 at the Corbett Center Audi-
torium a New Mexico State Univer-
sity last night.
fames distinguished his capacity
with the CIA as working with the
agency and not for it. In order In
maintain his independence from the
CIA, James said he financed his trips
to international aerospace confer-
ences where he was able to make his
Soviet contacts.
James said he has been concerned
Spy
from page 1
else's responsibility (to look after
sensitive material)," James said of
the mentality toward U.S. security
measures.
James pointed out that tourists can
take pictures of U.S. submarines off
the coast of the United States or
Europe and are not penalized; that, in
fact, no one pays attention.
In the Soviet Union tourists would
be charged with espionage.
ALAN WARREWThe
Peter James, ex-CIA Informant, speaks to students at UCR.
behind embassy seizure
puter printout of the names and location of
literally hundreds of Defense Intelligence Agen-
cy operatives and sources.
While much of the mob may have been
students ? "a lot of them looked awfully old to
be students, though" ? James said he is con-
vinced the embassy raid itself was led by KGB
operatives.
The myth the raid was led by students, James
insisted, "was perpetuated by one of the KGB
misinformation groups, but you can bet there
was a KGB operative there to get those files."
And, he said, there is ample evidence the KGB
has used terrorist groups in other countries to
act as a cover to perform its missions as well.
'The KG.13. nas - gotten so sophinticaieci," he
said, "they are using terrorist groups for politi-
cal action."
The capture and bombing of three U.S. air-
liners by the -Palestine Liberation Organization
with this country's security proce-,
dures because the KGB, the Soviet
secret service, is doing an effective
job in obtaining sensitive informa-
tion through a massive effort.
He also thinks that through incom-
petence and apathy on the part of
Americans and their inability to fully
comprehend what is happening, a
massive amount of American secrets
are finding their way to the Eastern
Bloc. .
James made reference to the 1979
U.S. embassy take-over in Teheran
in which sensitive information of
Iranian agents working for the
United States fell into the hands of
the Soviets.
Execution of those operatives by
the KGB was the result of careless-
ness by U.S. employees at the em-
bassy. That information, he said, had
no business being there. -
"Who gives admit ,.. it's someone.
Please see Spy/page 3
--
James said that when he took a
photograph of a Soviet submarine off
the coast of Cuba, he could have been
subjected to 30 years in Cuban prison
had he been caught by Cuban au-
thorities.
James told the audience that if
Colorado Gov. Gary Hart had not
been exposed by the U.S. press con-
cerning his affair with Donna Rice,
he could have been the target of KGB
blackmail had he made it to the White
House.
in Jordan several years ago, he noted, becomes
less of a coincidence when it is considered that
one of those airliners was carrying a packet of
American classified documents.
"Those documents might have been destroyed
when the planes were blown up," he said, "but I
rather doubt it."
The fact that these incidents and others have
occurred, said James, a one-time Pratt and
Whitney Aircraft engineer recruited by the CIA
and Air Force intelligence in the 1960s, points
out a major failing in the competence of U.S.
internal security.
. While many of the loopholes have been
plugged through the years, others remain, thanks
in large ii:Jeastire it) the iT,?-altibil,ty oi ',hose 5I
charge of security, he said.
"The KGB is not 10 feet tall," he said; "but ?
our internal security is-4,eoropromised by the
incompetence of our own `people."
[phone]
PETER N. JAMES
1.11.1MINT SPECIALIST
25 )(EARS EXPERIENCE WITH COMMUNIST BLOC OPERATIVES
Soviets*
Spies to love you
?
Continued from/fl
agents then photograph the en-
counters and blackmail the un-,,
witting participants In a sex-for-,
,
secrets swap.
"The KGB uses them and the'i
Americans use them, too. Ws)
probably the most effective way
to get secrets," he said.
Soviet agents groomed to-t
speak and act like Americans also ?
visit bars frequented by soldiers,i
and airmen to "talk shop" and
learn their vulnerabilities. Those.,
with financial problems will be
offered money ? and if they ac-
cept --the trap is shut.
Another KGB technique is to
use moles planted in respected'
positions within the U.S. govern,'
meet or defense industries,'
James said. They may remain in-
active for years, building their,
trust and respect with co-workers/.
until Moscow activates them.
Even Americans away from.;
home on business or travel can
become likely targets for the So-
viet espionage net. Agents known::
as "spotters" ply foreign hotels
and restaurants looking for West-'
erners who appear friendly to the
East.
Friendships are established,
gifts of Russian champagne and
caviar run Iteely and letters are
exchanged. Then one day, subtle
questions begin to Wake their,
way into the letters.
Said James, "What they'll try'
to do is get you to go oyer the line
? to do what your security eke'
would not want you to do."
His experience with the CIA
and KGB began in 1965 while'
working as a rocket systems tine...,
lyst for Pratt & Whitney in West
Palm Beach, Fla. At that time,
the CIA wanted to broaden Its in-,
tellIgence network and recruited
James as an unpaid informant to.
pick the brains or Soviet space
.:
experts while attending overseas
technology conferences for Pratt
& Whitney.
He said he can legally talk
about his oe as an Informant be-
cause he never had to sign an
oath of secrecy.
The CIA would not confirm or'
deny James' story, but spokeswos
man Sharon Foster said it is not
unusual for the agency to collect.
intelligence from Americans who
volunteer information.
James currently earns a living.
on the college lecture circuit. HO
is researching material for a third*
book, this one on Central Amen'
ca.
Round Up/Eric O'Connell
Spy Speaker
Former CIA spy Peter N, James talks at a press conference yesterday about how Russians and Americans spy on each other.
James travels around the country speaking at colleges and to corporations about Soviet espionage.
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