CHAPTER 10
International Security Requirements
Section 1. General and Background Information
10-100. General.
This Chapter provides policy and procedures governing the control
of classified information in international programs. It also
provides procedures for those aspects of the ITAR that require
compliance with this Manual. (The terms used in this Chapter may
differ from those in the ITAR). This Section contains information
concerning the Federal laws and regulations, the National
Disclosure Policy, and the international agreements that govern the
disclosure of classified and other sensitive information to foreign
interests.
10-101. Policy.
The private use of classified information is not permitted except
in furtherance of a lawful and authorized Government purpose.
Government Agencies have appointed individuals to the positions of
Principal and Designated Disclosure Authorities to oversee foreign
disclosure decisions. These officials authorize the release of
their agency's classified information that is involved in the
export of articles and services. They determine that the release is
essential to the accomplishment of the specified Government
purpose; the information is releasable to the foreign government
involved; and the information can and will be adequately protected
by the recipient foreign government.
10-102. Applicable Federal Laws.
The transfer of articles and services, and related technical data,
to a foreign person, within or outside the U.S., or the movement of
such material or information to any destination outside the legal
jurisdiction of the U.S., constitutes an export. Depending on the
nature of the articles or data, most exports are governed by the
Arms Export Control Act, the Export Administration Act, and the
Atomic Energy Act.
a. The Arms Export Control Act (AECA) (22 U.S.C. 2751). This Act
governs the export of defense articles and services, and related
technical data, that have been determined to constitute "arms,
munitions, and implements of war," and have been so designated by
incorporation in the U.S. Munitions List. The AECA is implemented
by the Department of State (Office of Defense Trade Controls) in
the ITAR (22 CFR 120 et seq.). Exports of classified defense
articles and data on the U.S. Munitions List are also subject to
the provisions of the National Disclosure Policy. The AECA requires
agreement by foreign governments to protect U.S. defense articles
and technical data provided to them.
b. The Export Administration Act (EAA) (50 U.S.C. app. 2401
Note). This Act governs the export of articles and technical data
that are principally commercial in nature and deemed not
appropriate for inclusion on the U.S. Munitions List. The EAA is
implemented by the Department of Commerce (Bureau of Export
Administration) in the Export Administration Regulation (15 CFR 368
et seq.). This Regulation establishes a list of commodities and
related technical data known as the Commerce Control List. Some of
these controlled commodities are referred to as "dual-use." That
is, they have an actual or potential military as well as civilian,
commercial application. Therefore, export of certain dual-use
commodities requires DoD concurrence. Exports under the EAA do not
include classified information. (NOTE: The EAA expired in 1990, but
was revived in 1993 (P.L. 103-10); however, the administrative
controls have been in continuous effect under E.O. 12730 of
Sepember 30, 1990, and now E.O. 12868 of September 30, 1993).
c. The Atomic Energy Act (AEA) of 1954, as amended (42 U.S.C.
2011). This Act provides a program of international cooperation to
promote common defense and security, and makes available to
cooperating nations the benefits of peaceful applications of atomic
energy, as expanding technology and considerations of the common
defense and security permit. RD and FRD may be shared with another
nation only under the terms of an agreement for cooperation.
d. The Defense Authorization Act of 1984 (10 U.S.C. 130). This
Act authorizes the Secretary of Defense to withhold from public
disclosure unclassified technical data that has military or space
application, is owned or controlled by the DoD, and is subject to
license under the AECA or EAA. Canada has a similar law. A
qualified contractor in the United States and Canada that is
registered at the Joint Certification Office, Defense Logistics
Agency, may have access to this technical data in support of a U.S.
or Canadian Government requirement. A foreign contractor may have
access to the U.S. technical data upon issuance of an export
license or other written U.S. Government authorization, and their
agreement to comply with requirements specified in the export
authorization. The information that is subject to these additional
controls is identified by an export control warning and
distribution statements that describe who may have access and the
reasons for control.
10-103. National Disclosure Policy (NDP).
Decisions on the disclosure of classified military information to
foreign interests, including classified information related to
defense articles and services controlled by the ITAR, are governed
by the NDP. U.S. Government policy is to avoid creating false
impressions of its readiness to make available classified military
information to foreign interests. The policy prescribes that
commitments shall not be expressed or implied and there may be no
disclosure of any information until a decision is made concerning
the disclosure of any classified information. Decisions on the
disclosure of classified military information are contingent on a
decision by a principal or designated disclosure authority that the
following criteria are met:
a. The disclosure supports U.S. foreign policy.
b. The release of classified military information will not have
a negative impact on U.S. military security.
c. The foreign recipient has the capability and intent to protect
the classified information.
d. There is a clearly defined benefit to the U.S. Government that
outweighs the risks involved.
e. The release is limited to that classified information
necessary to satisfy the U.S. Government objectives in authorizing
the disclosure.
10-104. Bilateral Security Agreements.
Bilateral security agreements are negotiated with various foreign
governments. Confidentiality requested by some foreign governments
prevents a listing of the countries that have executed these
agreements.
a. The General Security Agreement, negotiated through diplomatic
channels, requires that each government provide to the classified
information provided by the other substantially the same degree of
protection as the releasing government. The Agreement contains
provisions concerning limits on the use of each government's
information, including restrictions on third party transfers and
proprietary rights. It does not commit governments to share
classified information, nor does it constitute authority to release
classified material to that government. It satisfies, in part, the
eligibility requirements of the AECA concerning the agreement of
the recipient foreign government to protect U.S. classified defense
articles and technical data. (NOTE: The General Security Agreement
also is known as a General Security of Information Agreement and
General Security of Military Information Agreement. The title and
scope are different, depending on the year the particular agreement
was signed.)
b. Industrial security agreements have been negotiated with
certain foreign governments which identify the procedures to be
used when foreign government information is provided to industry.
The Office of the Under Secretary of Defense (Policy) negotiates
Industrial Security Agreements as an Annex to the General Security
Agreement and the Director, Defense Investigative Service, has been
delegated authority to implement the provisions of the Industrial
Security Agreements. The Director of Security, NRC, negotiates and
implements these agreements for the NRC.
Section 2. Disclosure of U.S. Information to Foreign Interests
10-200. General.
Contractors shall avoid creating false impressions of the U.S.
Government's readiness to authorize release of classified
information to a foreign entity. If the information is derived from
classified source material, is related to a classified GCA
contract, and it has not been approved for public disclosure,
advance disclosure authorization will be required. Disclosure
authorization may be in the form of an export license, a letter
authorization from the U.S. Government licensing authority, or an
exemption to the export authorization requirements.
10-201. Authorization for Disclosure.
Disclosure guidance will be provided by the GCA. Disclosure
guidance provided for a previous contract or program shall not be
used, unless the contractor is so instructed, in writing, by the
GCA or the licensing authority. Classified information normally
will be authorized for disclosure and export as listed below:
a. Government-to-Government International Agreements. Classified
information shall not be disclosed until the agreement is signed by
the participating governments and disclosure guidance and security
arrangements are established. The export of technical data pursuant
to such agreements may be exempt from ITAR licensing requirements.
b. Symposia, Seminars, Exhibitions, and Conferences.
Appropriately cleared foreign nationals may participate in
classified gatherings if authorized by the Head of the U.S.
Government Agency that authorizes the conduct of the conference.
All export controlled information to be disclosed shall be approved
for disclosure pursuant to an export authorization or exemption
covering the specific information and countries involved, or by
written authorization from the designated disclosure authority of
the originating Government Agency.
c. Foreign Visits. Disclosure of classified information shall be
limited to that specific information authorized in connection with
an approved visit request or export authorization.
d. Sales, Loans, Leases, or Grants of Classified Items.
Disclosure of classified information or release of classified
articles or services in connection with Government sales, loans,
eases, or grants shall be in accordance with security arrangements
specified by the GCA. Tests or demonstrations of U.S. classified
articles prior to a purchase of inventory quantities of the item
shall be under U.S. control unless an exception to policy is
approved by the head of the GCA.
e. Foreign Participation in Contractor Training Activities.
Disclosure of classified information to foreign nationals
participating in training at contractor facilities shall be limited
to information that is necessary for the operation and maintenance
of, or training on, an item of equipment that has been sold to the
trainee's government.
f. Direct Commercial Sales. The disclosure of classified
information may be authorized pursuant to a direct commercial sale
only if the proposed disclosure is in support of a U.S. or foreign
government procurement requirement, a Government contract, or an
international agreement. A direct commercial sale includes sales
under a government agency sales financing program. If a proposed
disclosure is in support of a foreign government requirement, the
contractor should consult with U.S. in-country officials (normally
the U.S. Security Assistance/Armaments Cooperation Office or
Commercial Counselor).
g. Temporary Exports. Classified articles (including articles
that require the use of classified information for operation)
exported for demonstration purposes shall remain under U.S.
control. The request for export authorization shall include a
description of the arrangements that have been made in-country for
U.S. control of the demonstrations and secure storage under U.S.
Government control.
h. Foreign Contractor Participation in U.S Classified Contracts.
Requests initiated by foreign contractors for classified
information shall be submitted through the foreign country's
embassy in Washington, DC, to the GCA foreign disclosure office.
Approval of the request by GCA does not alleviate the requirement
for a U.S. contractor to obtain an export authorization.
10-202. Direct Commercial Arrangements.
An export authorization is required before a contractor makes a
proposal to a foreign person that involves the eventual disclosure
of U.S. classified information. The contractor should obtain the
concurrence of the GCA before submitting an export authorization
request. To expedite disclosure and export decisions, the request
for export authorization should include the following:
a. The U.S. or foreign government requirement that justifies the
proposed export.
b. The type and classification level of any classified
information and other export controlled technical information that
ultimately would have to be exported, and the name, address, and
telephone number of the Government entity that originated the
classified information.
c. Identification of any prior licenses for the same articles or
data.
d. A discussion of how U.S. operational and technology interests
can be protected.
e. An evaluation of foreign availability of similar articles or
technology.
f. The name, address, and telephone number of a U.S. and/or
foreign government official who is knowledgeable concerning the
government requirement.
g. The name, address, and telephone number of the CSA for U.S.
contractors.
h.Any proposed security requirements that may require U.S. and/or
foreign government approval.
i. Proposed transfer arrangements.
j. A Technology Control Plan (TCP), if applicable.
10-203. Retransfer and Security Assurances.
a. Requests for export authorizations that will involve the
transfer of significant military equipment or classified material
shall be accompanied by a Department of State Form DSP-83,
Non-Transfer and Use Certificate. If classified material is
involved, the form shall be signed by an official of the
responsible foreign government who has the authority to certify
that the transfer is for government purposes and that the
classified material will be protected in compliance with a
government-to-government security agreement.
b. If the transfer of classified material is not covered by a
government-to-government agreement containing security
requirements, an agreement will be necessary prior to the transfer
of the material.
c. If a foreign government official refuses to sign the Form
DSP-83, citing an existing agreement as the basis for refusal, that
official should be requested to contact the Department of State,
Office of Defense Controls, in writing, through its embassy in
Washington, D.C. to address the requirement. The correspondence
shall cite the existing agreement and certify that the material to
be transferred is for government purposes and will be protected in
compliance with the cited agreement.
10-204. Contract Security Requirements.
a. When a U.S. contractor is authorized to award a subcontract or
enter into a Manufacturing License Agreement, Technical Assistance
Agreement, or other direct commercial arrangement with a foreign
contractor that will involve classified information, security
requirements clauses will be incorporated in the subcontract
document or agreement and security classification guidance via a
Contract Security Classification Specification will be provided
(see page 10-2-4). Two copies of the signed contract with the
clauses and the classification guidance shall be provided to the
CSA. If the export authorization specifies that additional security
arrangements are necessary for performance on the contract,
contractor developed arrangements shall be incorporated in
appropriate clauses in the contract or in a separate security
document.
b. The contractor shall prepare and maintain a written record
that identifies the originator or source of classified information
that will be used in providing defense articles or services to
foreign customers. The contractor shall maintain this listing with
the contractor's record copy of the pertinent export authorization.
Security Clauses for International Contracts
Security clauses, substantially as shown below, shall be included
in all contracts and subcontracts involving classified information
that are awarded to foreign contractors.
1. All classified information and material furnished or
generated pursuant to this contract shall be protected as follows:
a. The recipient will not release the information or
material to a third-country government, person, or firm
without the prior approval of the releasing government.
b. The recipient will afford the information and
material a degree of protection equivalent to that afforded it
by the releasing government; and
c. The recipient will not use the information and
material for other than the purpose for which it was furnished
without the prior written consent of the releasing government.
2. Classified information and material furnished or
generated pursuant to this contract shall be transferred through
government channels or other channels specified in writing by the
Governments of the United States and (insert applicable country)
and only to persons who have an appropriate security clearance and
an official need for access to the information in order to perform
on the contract.
3. Classified information and material furnished under this
contract will be remarked by the recipient with its government's
equivalent security classification markings.
4. Classified information and material generated under this
contract must be assigned a security classification as specified by
the contract security classification specifications provided with
this contract.
5. All cases in which it is known or there is reason to
believe that classifed information or material furnished or
generated pursuant to this contract has been lost or disclosed to
unauthorized persons shall be reported promptly and fully by the
contractor to its government's security authorities.
6. Classified information and material furnished or
generated pursuant to this contract shall not be further provided
to another potential contractor or subcontractor unless:
a. A potential contractor or subcontractor which is
located in the United States or (insert applicable country)
has been approved for access to classified information and
material by U.S. or (insert applicable country) security
authorities; or,
b. If located in a third country, prior written consent
is obtained from the United States Government.
7. Upon completion of the contract, all classified
material furnished or generated pursuant to the contract will be
returned to the U.S. contractor or be destroyed.
8. The recipient contractor shall insert terms that
substantially conform to the language of these clauses, including
this clause, in all subcontracts under this contract that involve
access to classified information furnished or generated under this
contract.
Section 3. Foreign Government Information
10-300. General.
Foreign government information shall retain its original
classification markings or shall be assigned a U.S. classification
that provides a degree of protection at least equivalent to that
required by the entity that furnished the information. This Section
provides additional requirements for protecting and controlling
access to foreign government information provided to U.S.
contractors.
10-301. Policy.
The contractor shall notify the CSA when awarded contracts by a
foreign interest that will involve access to classified
information. The CSA shall administer oversight and ensure
implementation of the security requirements of the contract on
behalf of the foreign government, including the establishment of
channels for the transfer of classified material.
10-302. Marking Foreign Government Classified Material.
Foreign government designations for classified information
generally parallel U. S. security classification designations.
However, some foreign governments have a fourth level of
classification, RESTRICTED, for which there is no equivalent U.S.
classification. The information is to be protected and marked as
CONFIDENTIAL information. When other foreign government material is
received, the equivalent U.S. classification and the country of
origin shall be marked on the front and back in English. Foreign
government classification designations and the U.S. equivalents are
shown in Appendix B.
10-303. Marking U.S. Documents That Contain Foreign Government
Information.
U.S. documents that contain foreign government information shall be
marked on the front, "THIS DOCUMENT CONTAINS FOREIGN GOVERNMENT
(indicate level) INFORMATION." In addition, the portions shall be
marked to identify the classification level and the country of
origin, e.g., (UK-C); (GE-C). If a foreign government indicates
that it does not want to be identified, applicable paragraphs shall
be marked FGI together with the appropriate classification, e.g.,
(FGI-S). The "Classified by" line shall identify U.S. as well as
foreign classification sources. If the foreign government does not
want to be identified, a separate record shall be maintained. The
"Declassify on" line shall contain the notation, "ORIGINATING
AGENCY'S DETERMINATION REQUIRED" or "OADR." A U.S. document, marked
as described herein, shall not be downgraded below the highest
level of foreign government information contained in the document
or be declassified without the written approval of the foreign
government that originated the information. Recommendations
concerning downgrading or declassification shall be submitted to
the CSA.
10-304. Marking Documents Prepared For Foreign Governments.
Documents prepared for foreign governments that contain U.S. and
foreign government information shall be marked as prescribed by the
foreign government. In addition, they shall be marked on the front,
"THIS DOCUMENT CONTAINS UNITED STATES CLASSIFIED INFORMATION."
Portions shall be marked to identify the U.S. classified
information. The record specified in paragraph 10-204b shall be
maintained.
10-305. PCL, FCL, and Briefing Requirements.
PCLs and FCLs issued by the U.S. Government are valid for access to
classified foreign government information of a corresponding level.
Contractor employees will be briefed and acknowledge in writing
their responsibilities for handling foreign government information
prior to being granted access.
10-306. Storage, Control, and Accountability.
Foreign government material shall be stored and access controlled
generally in the same manner as U.S. classified material of an
equivalent classification. The procedures shall ensure that the
material can be located at all times and access is limited to only
those persons who require access for the specific purpose for which
the information was provided by the originating government. Foreign
government material shall be stored in a manner that will avoid
commingling with other material which may be accomplished by
establishing separate files in a storage container. Annual
inventories are required for TOP SECRET and SECRET material.
10-307. Disclosure and Use Limitations.
Foreign government information shall not be disclosed to nationals
of a third country, including intending citizens, or to any other
third party, or be used for other than the purpose for which it was
provided, without the prior written consent of the originating
foreign government. Requests for other uses or further disclosure
shall be submitted to the GCA for U.S. contracts, and through the
CSA for direct commercial contracts. Approval of the request does
not alleviate the requirement for the contractor to obtain an
export authorization.
10-308. Exports of Foreign Government Information.
An export authorization is required for the export or re-export of
export-controlled foreign government information except for
technical data being returned to the original source of import. All
requests for export authorization for foreign government
information shall clearly identify and distinguish between the
foreign government information and any U.S. information involved in
the same request. Foreign government information shall not be
exported to a third party without the prior consent of the
originating government. A copy of such consent shall be provided in
writing to the Office of Defense Trade Controls, Department of
State, with an information copy to the CSA.
10-309. Transfer.
Foreign government information shall be transferred within the
U.S., its possessions, or territories, using the same channels as
specified by this Manual for U.S. classified information of an
equivalent classification except that uncleared commercial delivery
services shall not be used. The transfer of foreign government
information to areas outside the U.S. shall be through
government-to-government channels
10-310. Contract Security Requirements.
The foreign entity that awards a classified contract is responsible
for providing appropriate security classification guidance and any
security requirements clauses. The failure of a foreign entity to
provide classification guidance shall be reported to the CSA.
10-311. Public Disclosure.
The public disclosure of foreign government information requires
the prior written approval of the contracting foreign government.
10-312. Subcontracting.
a. A U.S. contractor may award a subcontract that involves access
to foreign government information to another contractor within the
U.S., its possessions or territories, except as described in
subparagraph b, below, upon verifying with the CSA that the
prospective subcontractor has the appropriate FCL and storage
capability. The contractor awarding a subcontract shall provide
appropriate security classification guidance and incorporate the
pertinent security requirements clauses in the subcontract.
b. Subcontracts involving foreign government information shall
not be awarded to a contractor in a third country or to a U.S.
company with a limited FCL based on third-country ownership,
control, or influence without the express written consent of the
originating foreign government. The CSA will coordinate with the
appropriate foreign government authorities to resolve the matter.
10-313. Reproduction.
The reproduction of foreign government TOP SECRET information
requires the written approval of the originating government.
Reproduced copies of all foreign government information shall be
controlled, protected, and accounted for in the same manner as the
original version.
10-314. Disposition.
Foreign government information shall be returned to the GCA or
foreign government that provided the information, upon completion
of the contract, unless the contract specifically authorizes
destruction or retention of the information. TOP SECRET and SECRET
destruction must be witnessed; destruction certificates are
required for foreign government material and shall be retained for
3 years.
10-315. Loss, Compromise, or Suspected Compromise.
The loss, compromise, or suspected compromise of foreign government
material shall be reported promptly to the CSA.
10-316. Reporting of Improper Receipt of Foreign Government
Material.
The contractor shall report to the CSA the receipt of classified
material from foreign interests that is not received through
government channels.
10-317. Processing Foreign Government Classified Information on
AISs.
Foreign government information shall be processed on an AIS
accredited to the appropriate classification level.
Section 4. International Transfers
10-400. General.
This Section contains the procedures for international transfers of
classified material. The requirements in this Section do not apply
to the transmission of classified material to U.S. Government
activities outside the United States. Copies of the forms, plans
and certificates discussed in this Section may be obtained from the
CSO.
10-401. Policy.
All international transfers of classified material shall take place
through government - to - government channels. Control and
accountability of classified material must be maintained until the
material is officially transferred to the intended recipient
government through its designated government representative (DGR).
a. To ensure Government accountability, written transmission
instructions shall be prepared for all international transfers of
classified material. If the transfer involves the use of a
commercial carrier or freight forwarder, the instructions shall be
fully described in a Transportation Plan (TP). The instructions
shall be approved by the CSA and the recipient government security
authorities. Preparation of the instructions shall be the
responsibility of: (1) The contractor for commercial contracts; and
(2) The executing government agency for Government contracts.
b. In urgent situations, the CSA may authorize appropriately
cleared contractor employees to handcarry classified material.
c. The CSA shall be contacted at the earliest possible stage in
deliberations that will lead to the international transfer of
classified material. The CSA shall advise the contractor on the
transfer arrangements, identify the recipient government's DGR,
appoint a U.S. government employee as the U.S. DGR, and ensure that
the transportation plan prepared by the contractor or government is
adequate.
10-402. Transfers of Freight.
a. Government Agency Sales. Classified material to be furnished
to a foreign government under such transactions normally will be
shipped via government agency-arranged transportation, such as the
DTS, and be transferred to the foreign government's DGR within the
recipient government's territory. In any Government Agency sales
case, the Government Agency that executes the sale is responsible,
in coordination with the recipient foreign government, for
preparing a TP. When the point of origin is a U.S. contractor
facility, the GCA shall provide the contractor and the applicable
CSA a copy of the TP and the applicable Letter of Offer and
Acceptance (LOA). If a freight forwarder is to be used in
processing the shipment, the freight forwarder and its CSA also
shall be provided a copy of the TP by the GCA.
b. Commercial Contracts. The contractor shall prepare a TP in
coordination with the receiving government security officials. This
requirement applies whether the material is to be moved by land,
sea, or air, and applies to U.S. and foreign classified contracts.
After the CSA approves the TP, it shall be forwarded to the
recipient foreign government security authorities for final
coordination and approval.
c. Transportation Plan (TP). A requirement to prepare a TP shall
be included in each contract that involves the international
transfer of classified material as freight. The TP shall describe
arrangements for the secure shipment of the material from the point
of origin to the ultimate destination. The U.S. and recipient
government DGRs shall be identified in the TP. The TP shall provide
for security arrangements in the event the transfer cannot be made
promptly. When there are to be repetitive shipments, a Notice of
Classified Consignment will be used. The shipment must be
accompanied by an appropriately cleared escort.
d. International Carriers. The international transfer of
classified material shall be made using only ships, aircraft, or
other carriers that:
(1) Are owned or chartered by the U.S Government or under
U.S. registry
(2) Are owned or chartered by or under the registry of the
recipient government
(3) Are carriers other than those described that are
expressly authorized to perform this function in writing by the
Designated Security Authority of the GCA and the security
authorities of the foreign government involved. This authority
shall not be delegated and this exception may be authorized only
when a carrier described in (1) or (2), above, is not available
and/or an urgent operational requirement dictates use of the
exception.
10-404. Return of Material for Repair, Modification, or
Maintenance.
A foreign government or contractor may return classified material
to a U.S. contractor for repair, modification, or maintenance. The
approved methods of return shall be specified in either the GCA
sales contract, the security requirements section of a direct
commercial sales contract, or, in the case of material transferred
as freight, in the original TP. The contractor, upon receipt of
notification that classified material is to be received, will
notify the applicable CSA. The CSA shall contact the applicable
foreign government security officials and arrange for secure
transportation within the United States.
10-405. Use of Freight Forwarders.
a. A commercial freight forwarder may be used to arrange for the
international transfer of classified material as freight. The
freight forwarder must be under contract to a Government Agency,
U.S. contractor, or the recipient foreign government. The contract
shall describe the specific functions to be performed by the
freight forwarder. The responsibility for security and control of
the classified material that is processed by freight forwarders
remains with the U.S. Government until the freight is transferred
to a DGR of the recipient government.
b. Only freight forwarders that have a valid FCL and storage
capability at the appropriate level are eligible to take custody,
or possession of classified material for delivery as freight to
foreign recipients. Freight forwarders that only process
unclassified paperwork and make arrangements for the delivery of
classified material to foreign recipients do not require an FCL.
10-406. Handcarrying Classified Material.
To meet an urgent need, the CSA may authorize contractor employees
to handcarry classified material outside the United States. SECRET
is the highest level of classified material to be carried and it
shall be of such size and weight that the courier can retain it in
his or her possession at all times. The CSA shall ensure that
necessary arrangements are made with U.S. airport security and
customs officials and that security authorities of the receiving
government approve the plan. If the transfer is pursuant to a
contract or a bilateral or multinational government program, the
request shall be approved in writing by the GCA. The CSA shall be
notified by the contractor of a requirement under this Section at
least 5 work days in advance of the transfer. Furthermore:
a. The courier shall be a full-time, appropriately cleared
employee of the dispatching contractor.
b. The courier shall be provided with a Courier Certificate that
shall be consecutively numbered and be valid for one journey only.
The journey may include more than one stop, if approved by the CSA
and secure Government storage has been arranged at each stop. The
Courier Certificate shall be returned to the dispatching security
officer immediately upon completion of the journey.
c. Before commencement of each journey, the courier shall read
and initial the Notes to the Courier attached to the Courier
Certificate and sign the Courier Declaration . The Declaration
shall be maintained by the FSO until completion of the next
security inspection by the CSA.
d. The material shall be inventoried, and shall be wrapped and
sealed in the presence of the U.S. DGR. The address of the
receiving security office and the return address of the dispatching
company security office shall be shown on the inner envelope or
wrapping. The address of the receiving government's DGR shall be
shown on the outer envelope or wrapping along with the return
address of the dispatching office.
e. The dispatching company security office shall prepare three
copies of a receipt based on the inventory, and list the classified
material involved. One copy of the receipt shall be retained by the
dispatching company security office and the other two copies shall
be packed with the classified material. The security office shall
obtain a receipt for the sealed package from the courier.
f. The dispatching company security office shall provide the
receiving security office with 24 work hours advance notification
of the anticipated date and time of the courier's arrival, and the
identity of the courier. The receiving security office shall notify
the dispatching company security office if the courier does not
arrive within 8 hours of the expected time of arrival. The
dispatching security office shall notify its DGR of any delay,
unless officially notified otherwise of a change in the courier's
itinerary.
g. The receiving DGR shall verify the contents of the consignment
and shall sign the receipts enclosed in the consignment. One copy
shall be returned to the courier. Upon return, the courier shall
provide the executed receipt to the dispatching security office.
h. Throughout the journey, the consignment shall remain under the
direct personal control of the courier. It shall not be left
unattended at any time during the journey, in the transport being
used, in hotel rooms, in cloakrooms, or other such location, and it
may not be deposited in hotel safes, luggage lockers, or in luggage
offices. In addition, envelopes and packages containing the
classified material shall not be opened en route, unless required
by customs or other government officials.
i. When inspection by government officials is unavoidable, the
courier shall request that the officials provide written
verification that they have opened the package. The courier shall
notify the FSO as soon as possible. The FSO shall notify the U.S.
DGR. If the inspecting officials are not of the same country as the
dispatching security office, the designated security authority in
the country whose officials inspected the consignment also shall be
notified by the CSA. Under no circumstances shall the classified
consignment be handed over to customs or other officials for their
custody.
j. When carrying classified material, the courier shall not
travel by surface routes through third countries, except as
authorized by the CSA. The courier shall travel only on carriers
described in 10-403d, and travel direct routes between the U.S. and
the destination.
10-407. Classified Material Receipts.
There shall be a continuous chain of receipts to record
international transfers of all classified material from the
contractor through the U.S. DGR and the recipient DGR to the
ultimate foreign recipient. The contractor shall retain an active
suspense record until return of applicable receipts for the
material. A copy of the external receipt that records the passing
of custody of the package containing the classified material shall
be retained by the contractor and each intermediate consignee in a
suspense file until the receipt that is enclosed in the package is
signed and returned. Follow-up action shall be initiated through
the CSA if the signed receipt is not returned within 45 days. The
contractor shall retain the receipt for 2 years.
10-408. Contractor Preparations for International Transfers
Pursuant to Commercial and User Agency Sales.
The contractor shall be responsible for the following preparations
to facilitate international transfers:
a. Ensure that each party that will be involved in the transfer
is identified in the applicable contract or agreement, and in the
license application or letter request.
b. Notify the appropriate U.S. DGR when the material is ready.
c. Provide documentation or written certification by an empowered
official (as defined in the ITAR) to the U.S. DGR to verify that
the classified shipment is within the limitations of the pertinent
export authorization or an authorized exemption to the export
authorization requirements, or is within the limitations of the
pertinent GCA contract.
d. Have the classified shipment ready for visual review and
verification by the DGR. As a minimum this will include:
(1) Preparing the packaging materials, address labels, and
receipts for review.
(2) Marking the contents with the appropriate U.S.
classification or the equivalent foreign government classification,
downgrading, and declassification markings, as applicable.
(3) Ensuring that shipping documents (including, as
appropriate, the Shipper's Export Declaration) include the name and
telephone number of the CSA that validates the license or letter
authorization, and the FSO or his or her designee for the
particular transfer.
(4) Have sent advance notification of the shipment to the
CSA, the recipient, and to the freight forwarder, if applicable.
The notification will require that the recipient confirm receipt of
the shipment or provide notice to the contractor if the shipment is
not received in accordance with the prescribed shipping schedule.
10-409. Transfers of Technical Data Pursuant to an ITAR Exemption.
a. The contractor shall provide to the DGR valid documentation
(i.e., license, Letter of Offer and Acceptance, or agreement) to
verify the export authorization for classified technical data to be
transferred pursuant to an ITAR exemption. The documentation shall
include a copy of the Form DSP-83 associated with the original
export authorization.
b. Classified technical data to be exported pursuant to ITAR
exemption 125.4(b)(1) shall be supported by a written authorization
signed by a principal disclosure authority or designated disclosure
authority of the Government Agency. A copy of the authorization
shall be provided by the contractor through the CSA to the Office
of Defense Trade Controls.
c. Exports shall not be permitted under a Manufacturing License
or Technical Assistance Agreement for which the authorization has
expired.
Section 5. International Visits and Control of Foreign Nationals
10-500. General.
This Section describes the procedures that the United States and
foreign governments have established to control international
visits to their organizations and cleared contractor facilities. It
also describes procedures for controlling access to sensitive areas
and information by foreign national employees.
10-501. Policy.
a. All requests for international visits shall be processed in
compliance with the requirements of this Section.
b. The contractor shall establish procedures to monitor
international visits by their employees and visits or assignments
to their facilities of foreign nationals to ensure that the
disclosure of, and access to, export-controlled articles and
related information are limited to those that are approved by an
export authorization.
c. Visit authorizations shall not be used to employ or otherwise
acquire the services of foreign nationals that require access to
export-controlled information; an export authorization is required
for such situations.
10-502. Types and Purpose of International Visits.
Visit requests are necessary to make administrative arrangements,
obtain security assurances, and disclosure decisions. There are
three types of international visits.
a. One-time Visits. A visit for a single, short-term occasion
(normally less than 30 days) for a specified purpose.
b. Recurring Visits. Intermittent, recurring visits over a
specified period of time, normally up to 1 year in duration, in
support of a Government-approved arrangement, such as an agreement,
contract, or license. By agreement of the governments, the term of
the authorization may be for the duration of the arrangement,
subject to annual review, and validation.
c. Extended Visits. A single visit for an extended period of
time, normally up to 1 year, in support of an agreement, contract,
or license. (NOTE: Some governments have only two categories of
visits (one-time and recurring) and refer to an extended visit as
a one-time, long-term visit.)
10-503. Emergency Visits.
Some foreign governments will accept a visit request submitted
within 7 calendar days of the proposed visit for an "emergency
visit." To qualify as an emergency visit, the visit must relate to
a specific Government-approved contract, international agreement or
announced request for proposal, and failure to make the visit
reasonably could be expected to seriously jeopardize performance on
the contract or program, or result in the loss of a contract
opportunity. Emergency visits are only approved as a single,
one-time visit. The requester should coordinate the emergency visit
in advance with the person to be visited and ensure that the
complete name, grade or position, address, and telephone number of
the person and a knowledgeable foreign government point of contact
are provided in the visit request, along with the identification of
the contract, agreement, or program and the justification for
submission of the emergency visit request.
10-504. Requests for Recurring Visits.
Recurring visit authorizations should be requested at the beginning
of each program. After approval of the request, individual visits
may be arranged directly with the security office of the location
to be visited subject to three working days advance notice.
10-505. Amendments.
Visit requests that have been approved or that are being processed
may be amended only to change, add, or delete names and change
dates. Amendments that request earlier dates than originally
specified shall not be accepted. Emergency visit authorizations
shall not be amended.
10-506. Visits Abroad by U.S. Contractors.
Many foreign governments require the submission of a visit request
for all visits to a government facility or a cleared contractor
facility, even though classified information may not be involved.
They also require that the requests be received a specified number
of days in advance of the visit. These lead times for NATO
countries are attached. An export authorization must be obtained if
export controlled technical data is to be disclosed or if
information to be divulged is related to a classified U.S.
Government program, unless the disclosure of the information is
covered by an ITAR exemption. Visit request procedures are outlined
as follows:
a. Request Format. The visit request format is contained on pages
10-5-4 and 10-5-5 and shall be forwarded to the CSA. The host for
the visit should coordinate the visit in advance with appropriate
government authorities who are required to approve the visit. It is
the visitor's responsibility to ensure that such coordination has
occurred.
b. Government Agency Programs. When contractor employees are to
visit foreign government facilities or foreign contractors on U.S.
Government orders in support of a Government contract or agreement,
a visit request also shall be submitted by the contractor.
10-507. Visits by Foreign Nationals to U.S. Contractor Facilities.
Requests for visits by foreign nationals to U.S. contractor
facilities that will involve the disclosure of (a) U.S. classified
information, (b) Unclassified information related to a U.S.
Government classified program, or (c) Plant visits covered by
Section 125.5 of the ITAR, shall be processed through the
sponsoring foreign government (normally the visitor's embassy) to
the U.S. Government Agency for approval. (NOTE: Requests for visits
by foreign nationals that involve only commercial programs and
related unclassified information may be submitted directly to the
contractor. It is the contractor's responsibility to ensure that an
export authorization is obtained, if applicable.) As described
below, the U.S. Government Agency may approve or deny the request,
or decline to render a decision.
a. Government-Approved Visits. U.S. Government-approved visits
constitute an exemption to the export licensing provisions of the
ITAR. U.S. Government approved visits shall not be used to avoid
the export licensing requirements for commercial initiatives. When
the cognizant U.S. Government Agency approves a visit, the
notification of approval shall contain instructions on the level
and scope of classified and unclassified information authorized for
disclosure, as well as any limitations. Final acceptance of the
visit shall be subject to the concurrence of the contractor who
shall notify the U.S. Government Agency when a visit is not
desired.
b. Visit Request Denials. If the U.S. Government Agency does not
approve the disclosure of the information related to the proposed
visit, it will deny the visit request. The requesting government
and the contractor to be visited shall be advised of the reason for
the denial. The contractor may accept the visitor(s). However, only
information that is in the public domain may be disclosed.
c. Non-Sponsorship. The U.S. Government Agency will decline to
render a decision on a visit request that is not in support of a
U.S. Government program. A declination notice, indicating that the
visit is not Government approved (i.e., the visit is
non-sponsored), shall be furnished to the requesting foreign
government with an information copy to the U.S. contractor to be
visited. A declination notice does not preclude the visit, provided
the contractor has, or obtains, an export authorization for the
information involved and, if classified information is involved,
has been notified that the requesting foreign government has
provided the required security assurance of the proposed visitor to
the U.S. Government Agency in the original visit request. It shall
be the responsibility of the contractor to consult applicable
export regulations to determine licensing requirements regarding
the disclosure of export controlled information during such visits
by foreign nationals.
d. Access by Foreign Visitors to Classified Information. The
contractor shall establish procedures to ensure that foreign
visitors are not afforded access to classified information and
other export-controlled technical data except as authorized by an
export license, approved visit request, or other exemption to the
licensing requirements. The contractor shall not inform the foreign
visitor of the scope of access authorized or of the limitations
imposed by the Government. Foreign visitors shall not be given
custody of classified material except when they are acting as an
official courier of their government and the CSA authorizes the
transfer.
e. Visitor Records. Contractor visitor records shall clearly
identify foreign visitors.
f. Visits to Subsidiaries. A visit request authorization for a
visit to a parent facility also may be used for visits to other
divisions or subsidiaries of the same company provided disclosures
are for the same purpose, the information to be disclosed does not
exceed the parameters of the approved visit request, and the U.S.
Government Agency concurs.
10-508. Control of Access by On-Site Foreign Nationals
a. Extended visits and assignments of foreign nationals to
contractor facilities shall be authorized only when it is essential
that the foreign national be at the facility pursuant to a contract
or Government agreement (e.g., joint venture, liaison
representative to a joint or multinational program, or direct
commercial sale).
b. If the foreign national will require access to
export-controlled information related to, or derived from, a U.S.
Government classified contract, the contractor shall obtain the
written consent of the GCA prior to making a commitment to accept
the proposed visit or assignment. A copy of the written consent
shall be included with the request for export authorization, when
such authorization is required.
c. The applicable CSA shall be notified in advance of all
extended visits and assignments of foreign nationals to cleared
contractor facilities. The notification shall include a copy of the
approved visit authorization or the U.S. Government export
authorization, and the Technology Control Plan (TCP).
d. U.S. and foreign government classified material in a U.S.
contractor facility is to remain under U.S. contractor custody and
control and is subject to inspection by the FSO and the CSA. This
does not preclude a foreign visitor from being furnished a security
container for the temporary storage of classified material,
consistent with the purpose of the visit or assignment, provided
the CSA approves, and responsibility for the container and its
contents remains with the U.S. contractor. Exceptions to this
policy may be approved on a case-by-case basis by the CSA for the
storage of foreign government classified information furnished to
the visitor by the visitor's government through government
channels. Exceptions shall be approved in advance, in writing, by
the CSA, and agreed to by the visitor's government. The agreed
procedures shall be included in the contractor's TCP, shall require
the foreign nationals to provide receipts for the material, and
shall include an arrangement for the CSA to ensure compliance,
including provisions for the CSA to inspect and inventory the
material.
10-509. TCP.
A TCP is required to control access by foreign nationals assigned
to, or employed by, cleared contractor facilities unless the CSA
determines that procedures already in place at the contractor's
facility are adequate. The TCP shall contain procedures to control
access for all export-controlled information. A sample of a TCP may
be obtained from the CSA.
10-510. Security and Export Control Violations Involving Foreign
Nationals.
Any violation of administrative security procedures or export
control regulations by foreign visitors or foreign national
employees shall be reported to the CSA.
Standard Request For Visit Format
I. This matrix contains the instructions for the completion of a
Request for Visit (RFV). The visit request must be submitted
through the Facility Security Officer to the applicable Clearance
Agency. The RFV format in Section II below, will be used for all
requests for international visits as follows:
a. A separate request must be submitted for each program,
project, or contract.
b. A separate request must be submitted for each country to
be visited.
c. Subject to Government Agency restrictions, multiple
locations may be listed for each country provided each location is
involved in the same program, project, or contract.
d. The RFV may be locally produced on a form or form letter
provided the specified format is followed. Information given to
answer each data element must be typed or printed in block letters
so that it is legible.
e. Most countries have established a specified number of
working days that a visit request must be received for processing
prior to the visit. The chart in Section III below, lists this
information for the NATO member nations.
II. The RFV format will be completed in compliance with the format
and instructions listed below. The Subject line of the request
should state: Request for Visit Authorization - (insert name of
country). The date of the request must be included in the heading.
A reference should be made to any correspondence that supports the
proposed visit, particularly if the reference includes an
invitation.
1. REQUESTING FACILITY. Provide the full name and postal address
(include city, state, country, and postal zone) and the name,
organization, and telephone and telefax numbers of a person who is
knowledgeable of the purpose of the visit.
2. GOVERNMENT AGENCY OR INDUSTRIAL FACILITY TO BE VISITED.
Provide the full name and postal address (include city, state,
country, and postal zone) and telefax and telephone number of the
person with whom arrangements have been made for the visit at the
facility.
(NOTE: An Annex should be used if more than two locations are to be
visited. In such case, the statement. See also Annex __ should be
included.)
3. DATES OF VISIT. Provide the actual date or period
(date-to-date) of the visit by day-month-year.
4. TYPE OF VISIT. Specify whether the visit is a government
initiative or commercial initiative and whether the visit is being
initiated by the requesting facility or the facility to be visited.
Government initiative will be specified only if the visit is in
support of an authorized government program, which must be fully
described in item 7.
5. SUBJECT TO BE DISCUSSED/JUSTIFICATION. Give a concise
description of the issues or subjects to be discussed and the
reason for the visit. Do not use unexplained abbreviations. In the
case of a request for recurring visits, this item should state
Recurring Visits as the first words in the data element (e.g.,
Recurring Visits to discuss . . .).
6. ANTICIPATED LEVEL OF CLASSIFIED INFORMATION TO BE INVOLVED.
Indicate SECRET, CONFIDENTIAL, RESTRICTED, or UNCLASSIFIED as
applicable, and country of origin of the information.
7. PERTINENCE OF VISIT. Specify the full name of the government
program, agreement, or sales contract (e.g., FMS case), or request
for proposal or tender offer, using commonly used or explained
abbreviations only.
8. PARTICULARS OF VISITOR.
NAME: Family name, followed by forename in full and middle
initial(s).
DOB: Date of birth (day-month-year).
POB: Place of birth (city, state, and country).
SC: Security clearance status (e.g., TS, S, C). Indicate NATO
clearance if the visit is related to NATO business.
ID-PP: Enter the passport number.
NATIONALITY: Enter citizenship.
POSITION: Provide the position the visitor holds in the
organization (e.g., director, product manager, etc.)
COMPANY? Provide the name of the government agency or industrial
facility that the
AGENCY visitor represents if different from item 1.
NOTE: If more than 2 visitors are involved in the visit, a
continuation sheet should be used. In that case item 8 should state
"SEE ANNEX_, NUMBER OF VISITORS:. . . (state the number of
visitors).
9. SECURITY OFFICER OF THE REQUESTING CONTRACTOR. Provide the
name and telephone number of the requesting Facility Security
Officer.
10. CERTIFICATION OF SECURITY CLEARANCE. Do not fill in (to be
completed by the Government Clearance Agency).
NOTE: Item 10 also may be filled in by the appropriate official of
the U.S. Embassy in the country to be visited or the applicable
Office of Industrial Security International (OISI).
11. REMARKS.
(a) This item can be used for certain administrative
requirements (e.g., proposed itinerary, request for hotel
reservations, and/or transportation).
(b) In the case of an Emergency Visit, the name, telephone,
and telefax numbers of the knowledgeable person with whom advance
arrangements have been made should be stated.
III. Lead-times (i.e., the number of days in advance that the
request must be received by the host government) for NATO nations
are as follows:
One-time and Recurring Visits Amendments
Belgium 14 9
Canada 20 10
Denmark 7 5
France 25 5
Germany 25 10
Greece 20 10
Italy 14 7
Luxembourg 10 9
Netherlands 20 5
Norway 15 10
Portugal 20 7
Spain 25 8
Turkey 15 10
United Kingdom 21 5
Section 6. Contractor Operations Abroad
10-600. General.
This Section sets forth requirements governing contractor
operations abroad, including PCLs for U.S. contractor employees
assigned outside the U.S. and their access to classified
information.
10-601. Access by Contractor Employees Assigned Outside the United
States.
a. Contractor employees assigned outside the United States, its
possessions or territories may have access to classified
information in connection with performance on a specified United
States, NATO, or foreign government classified contract.
b. The assignment of an employee who is a foreign national,
including intending citizens, outside the U.S. on programs that
will involve access to classified information is prohibited and
negates the basis on which an LAA may have been provided to such
employee.
c. A consultant shall not be assigned outside the United States
with responsibilities that require access to classified
information.
10-602. Storage, Custody, and Control of Classified Information
Abroad by Employees of a U.S. Contractor.
a. The storage, custody, and control of classified information
required by a U.S. contractor employee abroad is the responsibility
of the U.S. Government. Therefore, the storage of classified
information by contractor employees at any location abroad that is
not under U.S. Government control is prohibited. The storage may be
at a U.S. military facility, a U.S. Embassy or Consulate, or other
location occupied by a U.S. Government organization.
b. A contractor employee may be furnished a security container to
temporarily store classified material at a U.S. Government Agency
overseas location. The decision to permit a contractor to
temporarily store classified information must be approved in
writing by the senior security official for the U.S. Government
host organization.
c. A contractor employee may be permitted to temporarily remove
classified information from an overseas U.S. Government controlled
facility, when necessary for the performance of a GCA contract or
pursuant to an approved export authorization. The responsible U.S.
Government security official at the U.S. Government facility shall
verify that the contractor has an export authorization or other
written U.S. Government approval to have the material; verify the
need for the material to be removed from the facility; and brief
the employee on handling procedures. In such cases, the contractor
employee shall sign a receipt for the classified material.
Arrangements shall also be made with the U.S. Government custodian
for the return and storage of the classified material during
non-duty hours. Violations of this policy shall be reported to the
applicable CSA by the security office at the U.S. Government
facility.
d. A contractor employee shall not store classified information
at overseas divisions or subsidiaries of U.S. companies
incorporated or located in a foreign country. (NOTE: The divisions
or subsidiaries may possess classified information that has been
transferred to the applicable foreign government through
government-to-government channels pursuant to an approved export
authorization or other written U.S. Government authorization.
Access to this classified information at such locations by a U.S.
contractor employee assigned abroad by the parent facility on a
visit authorization in support of a foreign government contract or
subcontract, is governed by the laws and regulations of the country
in which the division or subsidiary is registered or incorporated.
The division or subsidiary that has obtained the information from
the foreign government shall provide the access.)
e. U.S. contractor employees assigned to foreign government or
foreign contractor facilities under a direct commercial sales
arrangement will be subject to the host-nation's industrial
security policies.
10-603. Transmission of Classified Material to Employees Abroad.
The transmission of classified material to a cleared contractor
employee located outside the United States shall be through U.S.
Government channels. If the material is to be used for other than
U.S. Government purposes, an export authorization is required and
a copy of the authorization, validated by the designated Government
representative, shall accompany the material. The material shall be
addressed to a U.S. military organization or other U.S. Government
organization (e.g., an Embassy). The U.S. government organization
abroad shall be responsible for custody and control of the
material.
10-604. Security Briefings.
An employee being assigned outside the United States shall be
briefed on the security requirements of their assignment, including
the handling, disclosure, and storage of classified information
overseas.
10-605. Report of Assignments.
a. The contractor shall promptly report to the CSA the assignment
of a cleared employee to a location outside the United States,
Puerto Rico, Guam, or the Virgin Islands for a period exceeding 90
consecutive days. The report shall contain the following
information:
(1) Name, address, telephone number, and CSA overseas code
(if applicable) of the location to which the employee will be
assigned; whether the location is under U.S. Government or foreign
government control; and name, title, and telephone number of the
U.S. Government or foreign government security official at the
location.
(2) Justification for access to any U.S. or foreign
government classified information, including identification of the
contract, license, or agreement under which access is necessary.
b. Subsequent to the assignment of a cleared employee outside the
United States, the contractor shall provide to the CSA:
(1) Justification, based on a specified contract, license,
agreement, or other Government-approved arrangement, for the
employee's continuing need for a PCL every 3 years following the
initial assignment.
(2) Notification of any change in the location and mailing
address of the affected employee.
(3) Notification of the termination of the employee's
assignment outside the United States.
Section 7. NATO Information Security Requirements
10-700. General.
This Section provides the security requirements needed to comply
with the procedures established by the U.S. Security Authority for
NATO(USSAN) for safeguarding NATO information provided to U.S.
industry.
10-701. Classification Levels.
NATO has four levels of security classification; COSMIC TOP SECRET
(CTS), NATO SECRET (NS), NATO CONFIDENTIAL (NC), and NATO
RESTRICTED (NR). Another marking, ATOMAL, is applied to U.S.
RESTRICTED DATA or FORMERLY RESTRICTED DATA and United Kingdom
Atomic information that has been released to NATO. ATOMAL
information is marked COSMIC TOP SECRET ATOMAL (CTSA), NATO SECRET
ATOMAL (NSA), or NATO CONFIDENTIAL ATOMAL (NCA).
10-702. NATO Contracts.
NATO contracts involving NATO-unique systems, programs, or
operations are awarded by a NATO Production and Logistics
Organization (NPLO), a designated NATO Management Agency, the NATO
Research Staff, or a NATO Command. In the case of NATO
infrastructure projects (e.g., airfields, communications), the NATO
contract is awarded by a contracting agency or prime contractor of
the NATO nation that is responsible for the infrastructure project.
10-703. NATO Facility Security Clearance Certificate.
A NATO Facility Security Clearance Certificate (FSCC) is required
for a contractor to negotiate or perform on a NATO classified
contract A U.S. facility qualifies for a NATO FSCC if it has an
equivalent U.S. FCL and its personnel have been briefed on NATO
procedures. The CSA shall provide the NATO FSCC to the requesting
activity. A NATO FSCC is not required for GCA contracts that
involve access to NATO classified information.
10-704. PCL Requirements.
Access to NATO classified information requires a final PCL at the
equivalent level. A PCL is not required for access to NATO
RESTRICTED information.
10-705. NATO Briefings.
Prior to having access to NATO classified information including
Restricted, employees shall be given a NATO security briefing that
covers the requirements of this Section and the consequences of
negligent handling of NATO classified information. The FSO shall be
initially briefed by a representative of the CSA. Annual refresher
briefings shall also be conducted. When access to NATO classified
information is no longer required, the employee shall be debriefed.
The employee shall sign a certificate stating that they have been
briefed or debriefed, as applicable, and acknowledge their
responsibility for safeguarding NATO information. Such certificates
shall be maintained for 2 years for NATO SECRET, CONFIDENTIAL and
RESTRICTED, and 3 years for COSMIC TOP SECRET and all ATOMAL
information.
10-706. Access to NATO Classified Information by Foreign Nationals.
Foreign nationals of non-NATO nations may have access to NATO
classified information only with the consent of the NATO Office of
Security and the contracting activity. Requests shall be submitted
to the Central U.S. Registry (CUSR). Access to NATO classified
information may be permitted for citizens of NATO member nations
provided a NATO security clearance certificate is provided by their
government and they have been briefed.
10-707. Subcontracting for NATO Contracts.
The contractor shall obtain prior written approval from the NATO
contracting activity and a NATO FSCC must be issued prior to
awarding the subcontract. The request for approval will be
forwarded through the CSA.
10-708. Preparing and Marking NATO Documents.
All classified documents created by a U.S. contractor shall be
portion marked. Any portion extracted from a NATO document that is
not portion marked, must be assigned the classification that is
assigned to the NATO document.
a. All U.S. originated NATO classified documents shall bear an
assigned reference number and date on the first page. The reference
numbers shall be assigned as follows:
(1) The first element shall be the abbreviation for the name
of the contractor facility.
(2) The second element shall be the abbreviation for the
overall classification followed by a hyphen and the four digit
sequence number for the document within that classification that
has been generated for the applicable calendar year.
(3) The third element is the year; e.g., MM/NS-0013/93.
b. COSMIC TOP SECRET, NATO SECRET, and ATOMAL documents shall
bear the reference number on each page and a copy number on the
cover or first page. Copies of NATO documents shall be serially
numbered. Pages shall be numbered. The first page or index or table
of contents shall include a list, including page numbers, of all
Annexes and Appendices. The total number of pages shall be stated
on the first page. All Annexes or Appendices will include the date
of the original document and the purpose of the new text (addition
or substitution) on the first page.
c. One of the following markings shall be applied to NATO
documents that contain ATOMAL information:
(1) "This document contains U.S. ATOMIC Information
(RESTRICTED DATA or FORMERLY RESTRICTED DATA) made available
pursuant to the NATO Agreement for Cooperation Regarding ATOMIC
Information, dated 18 June 1964, and will be safeguarded
accordingly."
(2) "This document contains UK ATOMIC Information. This
information is released to the North Atlantic Treaty Organization
including its military and civilian agencies and member states on
condition that it will not be released by the recipient
organization to any other organization or government or national of
another country or member of any other organization without prior
permission from H.M. Government in the United Kingdom."
d. Working papers shall be retained only until a final product is
produced.
10-709. Classification Guidance.
Classification guidance shall be in the form of a NATO security
aspects letter and a security requirements checklist for NATO
contracts, or a Contract Security Classification Specification. If
adequate classification guidance is not received, the contractor
shall contact the CSA for assistance. NATO classified documents and
NATO information in other documents shall not be declassified or
downgraded without the prior written consent of the originating
activity. Recommendations concerning the declassification or
downgrading of NATO classified information shall be forwarded to
the CUSR.
10-710. Further Distribution.
The contractor shall not release or disclose NATO classified
information to a third party or outside the contractor's facility
for any purpose without the prior written approval of the
contracting agency.
10-711. Storage of NATO Documents.
NATO classified documents shall be stored as prescribed for U.S.
documents of an equivalent classification level, except as
described below.
a. NATO classified documents shall not be commingled with other
documents. NATO RESTRICTED documents may be stored in locked filing
cabinets, bookcases, desks, or other similar locked containers that
will deter unauthorized access.
b. Combinations for containers used to store NATO classified
information shall be changed annually. The combination also shall
be changed when an individual with access to the container departs
or no longer requires access to the container, and if the
combination is suspected of being compromised.
c. When the combination is recorded it shall be marked with the
highest classification level of documents stored in the container
as well as to indicate the level and type of NATO documents in the
container. The combination record must be logged and controlled in
the same manner as NATO classified documents.
10-712. International Transmission.
NATO has a registry system for the receipt and distribution of NATO
documents within each NATO member nation. The central distribution
point for the U.S. is the CUSR located in the Pentagon. The CUSR
establishes subregistries at U.S. Government organizations for
further distribution and control of NATO documents. Subregistries
may establish control points and sub-control points at contractor
facilities. COSMIC TOP SECRET, NATO SECRET, and all ATOMAL
documents shall be transferred through the registry system. NATO
CONFIDENTIAL and RESTRICTED documents provided as part of NATO
infrastructure contracts shall be transmitted via
government-to-government channels in compliance with Section 4 of
this Chapter.
10-713. Handcarrying.
NATO SECRET, NATO CONFIDENTIAL, and NATO RESTRICTED documents may
be handcarried across international borders if authorized by the
GCA. The courier shall be issued a NATO Courier Certificate by the
CSA. When handcarrying is authorized, the documents shall be
delivered to a U.S. organization at NATO, which shall transfer them
to the intended NATO recipient.
10-714. Reproduction.
Reproductions of COSMIC TOP SECRET and COSMIC TOP SECRET ATOMAL
information shall be performed by the responsible Registry. The
reproduction of NATO SECRET, CONFIDENTIAL, and RESTRICTED documents
may be authorized to meet contractual requirements unless
reproduction is prohibited by the contracting entity. Copies of
COSMIC TOP SECRET, NATO SECRET, and ATOMAL documents shall be
serially numbered and controlled and accounted for in the same
manner as the original.
10-715. Disposition.
Generally, all NATO classified documents shall be returned to the
contracting activity that provided them, upon completion of the
contract. Documents provided in connection with an invitation to
bid also shall be immediately returned if the bid is not accepted
or submitted. NATO classified documents may be destroyed when
permitted by either the contract or invitation to bid COSMIC TOP
SECRET and COSMIC TOP SECRET ATOMAL documents shall be destroyed by
the Registry that provided the documents. Destruction of COSMIC TOP
SECRET, NATO SECRET and all ATOMAL documents shall be witnessed.
10-716. Accountability Records.
Logs, receipts, and destruction certificates are required for NATO
classified information, as described below. Records for NATO
documents shall be maintained separately from records of non-NATO
documents. COSMIC TOP SECRET and all ATOMAL documents shall be
recorded on logs maintained separately from other NATO logs and be
assigned unique serial control numbers. Additionally, disclosure
records, bearing the name and signature of each person that has
access, are required for all COSMIC TOP SECRET, COSMIC TOP SECRET
ATOMAL, and all other ATOMAL or NATO classified documents to which
special access limitations have been applied.
a. Minimum identifying data on logs, receipts, and destruction
certificates shall include the NATO reference number, short title,
date of the document, classification, and serial copy numbers. Logs
shall reflect the short title, unclassified subject, and
distribution of the documents.
b. Receipts are required for all NATO classified documents except
NATO CONFIDENTIAL and RESTRICTED.
c. Inventories shall be conducted annually of all COSMIC TOP
SECRET, NATO SECRET, and all ATOMAL documents.
d. Destruction certificates are required for all NATO classified
documents except RESTRICTED. The destruction of COSMIC TOP SECRET,
NATO SECRET and all ATOMAL documents must be witnessed.
e. Records shall be retained for 10 years for COSMIC TOP SECRET
and COSMIC TOP SECRET ATOMAL documents and 3 years for NATO SECRET,
NATO SECRET ATOMAL, NATO CONFIDENTIAL, and NATO CONFIDENTIAL ATOMAL
documents.
10-717. Security Violations and Loss, Compromise, or Possible
Compromise.
The contractor shall immediately report the loss, compromise,
suspected loss or compromise, and security violations involving
NATO classified information to the CSA.
10-718. Extracting from NATO Documents.
Permission to extract from a COSMIC TOP SECRET or ATOMAL document
shall be obtained from the CUSR.
a. If extracts of NATO information are included in a U.S.
document prepared for a non-NATO contract, the document shall be
marked with U.S. classification markings. The caveat, "THIS
DOCUMENT CONTAINS NATO (level of classification) INFORMATION" also
shall be marked on the front cover or first page,of the document.
Additionally, each paragraph or portion containing the NATO
information shall be marked with the appropriate NATO
classification, abbreviated in parentheses (e.g., NS) preceding the
portion or paragraph. The "Declassify on" line of the document
shall show "Originating Agency Determination Required" or "OADR"
unless the original NATO document shows a specific date for
declassification.
b. NATO RESTRICTED information may be included in U.S.
unclassified documents. The U.S. document must be marked, "THIS
DOCUMENT CONTAINS NATO RESTRICTED INFORMATION." It shall be
protected as NATO RESTRICTED information.
c. The declassification or downgrading of NATO information in a
U.S. document requires the approval of the originating NATO
activity. Requests shall be submitted to the CUSR for NATO
contracts, through the GCA for U.S. contracts, and through the CSA
for non-NATO contracts awarded by a NATO member nation.
10-719. Release of U.S. Information to NATO.
a. The release of U.S. classified or export-controlled
information to NATO requires an export authorization or other
written disclosure authorization. When a document containing U.S.
classified information is being prepared for NATO, the appropriate
NATO classification markings shall be applied to the document.
Documents containing U.S. classified information, and U.S.
classified documents that are authorized for release to NATO, shall
be marked on the cover or first page "THIS DOCUMENT CONTAINS U.S.
CLASSIFIED INFORMATION. THE INFORMATION IN THIS DOCUMENT HAS BEEN
AUTHORIZED FOR RELEASE TO (cite the NATO organization) BY (cite the
applicable license or other written authority.)" The CSA shall
provide transmission instructions to the contractor. The material
shall be addressed to a U.S. organization at NATO, which shall then
place the material into NATO security channels. The material shall
be accompanied by a letter to the U.S. organization that provides
transfer instructions and assurances that the material has been
authorized for release to NATO. The inner wrapper shall be
addressed to the intended NATO recipient. Material to be sent to
NATO via mail shall be routed through the U.S. Postal Service and
U.S. military postal channels to the U.S. organization that will
make the transfer.
b. A record shall be maintained that identifies the originator
and source of classified information that are used in the
preparation of documents for release to NATO. The record shall be
provided with any request for release authorization.
10-720. Visits.
NATO visits are visits by personnel representing a NATO entity and
relating to NATO contracts and programs. NATO visits shall be
handled in accordance with the requirements in Section 5 of this
Chapter. A NATO Certificate of Security Clearance will be included
with the visit request.
a. NPLO and NATO Industrial Advisory Group (NIAG) Recurring
Visits. NATO has established special procedures for recurring
visits involving contractors, government departments and agencies,
and NATO commands and agencies that are participating in a NPLO or
NIAG contract or program. The NATO Management Office or Agency
responsible for the NPLO program will prepare a list of the
Government and contractor facilities participating in the program.
For NIAG programs, the list will be prepared by the responsible
NATO staff element. The list will be forwarded to the appropriate
clearance agency of the participating nations, which will forward
it to the participating contractor.
b. Visitor Record. Contractor visitor records shall clearly
identify NATO visitors including those by U.S. personnel assigned
to NATO. The records shall be maintained for 3 years.