Chapter 10

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