Foreign Disclosure
Training for DoD
Student Guide
March 2018
Center for Development of Security Excellence
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Lesson 1: Course Introduction
Introduction
In our interconnected world, there is often a need for the United States to share classified
military information with foreign governments and international organizations. The foreign
disclosure of classified information occurs in many ways. In some cases, it occurs when the
U.S. Government sells defense articles and services and related technical data to a foreign
government or international organization. It also occurs when the U.S. Government
conducts combined military operations and exercises with allies and coalition partners, as
well as when foreign government representatives come to the United States for visits or
assignments in connection with DoD programs. Classified military information is a national
security asset that shall be protected and shall be shared with foreign governments and
international organizations only when there is a clearly defined benefit to the United States.
Welcome to the Foreign Disclosure for DoD course.
Course Overview
As foreign disclosure is a practice and not a career series, this course is intended for all DoD
professionals involved in foreign engagements, such as negotiating, overseeing, or
managing international activities, and those who perform disclosure determinations. These
include, but are not limited to, security personnel, acquisition personnel, intelligence
professionals, program managers, active duty military personnel, and foreign affairs
personnel.
As someone involved in foreign disclosure, what must you know? This course will provide
you with basic foreign disclosure information, the steps needed to adjudicate a foreign
disclosure decision, and an understanding of technology control and security requirements
for international activities.
Here are the course objectives. Take a moment to review them.
• Identify and define the categories of Classified Military Information (CMI)
• Identify the policies that govern foreign disclosure
• Identify disclosure criteria, limitations, and requirements
• Identify the various means of foreign disclosure of CMI
• Identify fundamental foreign disclosure process determinations
• Identify the information protection principles related to disclosure and release of CMI
• Apply the steps used to adjudicate a disclosure request
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Lesson 2: Overview of Foreign Disclosure
Introduction
Objectives
In this lesson, you will learn about the basic concepts and principles of foreign disclosure;
the laws, regulations and policies that govern it; and the personnel vested with disclosure
authority.
Here are the lesson objectives. Take a moment to review them.
• Identify and define the categories of Classified Military Information (CMI)
o Identify the content that falls under each CMI category
o Identify the owners, originators, and/or common users of each CMI category
o Identify the relationships between CMI categories
• Identify the policies that govern foreign disclosure
o Identify the purpose and scope of various national and DoD policies regarding
foreign disclosure
• Identify disclosure criteria, limitations, and requirements
o Identify foreign disclosure concepts and principles
o Identify provisions for the delegation of disclosure authority
o Identify roles, responsibilities, and authorities of foreign disclosure officials
Classified Military Information
Definition
Classified military information (CMI) is information which is originated by or for the DoD, or
its Agencies, or is under their jurisdiction or control, and which requires protection in the
interests of national security. CMI is designated TOP SECRET, SECRET, and
CONFIDENTIAL as described in Executive Order (EO) 13526. It may be disclosed in oral,
visual, or documentary form. CMI may be found in DoD acquisition programs, intelligence
programs, or in military operations.
Let’s take a closer look.
Categories of CMI
There are eight categories of CMI. The categories of information can occur in various
situations depending on the circumstance. CMI categories 2, 3, and 4 typically apply to DoD
acquisitions programs. CMI Categories 1, 5, 6, and 7 typically apply to DoD operations
programs. CMI Category 8 typically supports Operations and applies to DoD intelligence.
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Category 1 – Organization, Training, and Employment of Military Forces
Category 1 includes information related to the organization, training, and employment of
military forces. Information of a general nature pertaining to tactics, techniques,
procedures (TTPs), tactical doctrine, and intelligence and counterintelligence doctrine
and techniques falls into this category.
Note: This category excludes information necessary for the operation, training, and
maintenance on specific equipment covered under Categories 2 and 3.
Category 2 – Military Materiel and Munitions
Category 2 includes information on specific items of equipment already in production, or
in service, and the information necessary for their operation, maintenance, and training.
Items on the U.S. Munitions List, or USML, fall within this category.
Note: This category does not pertain to equipment that is in research and development.
Category 3 – Applied Research and Development Information and Materiel
Category 3 includes information related to fundamental theories, design, and
experimental investigation into possible military applications; it includes engineering
data, operational requirements, concepts, and military characteristics required to adopt
the item for production.
Note: Development ceases when the equipment has completed suitability testing and
has been adopted for use or production.
Category 4 – Production Information
Category 4 includes information related to designs, specifications, manufacturing
techniques, and such related information necessary to manufacture or upgrade
substantially materiel and munitions.
Note: Effective 6 September 1983, all delegated authority to disclose classified Category
4 Production Information was canceled. Disclosure programs initiated after this date will
be submitted to the National Disclosure Policy Committee (NDPC) for approval as
exceptions to Policy.
Category 5 – Combined Military Operations, Planning, and Readiness
Category 5 includes information necessary to plan, ensure readiness for, and provide
support to the achievement of mutual force development goals or participation in specific
combined tactical operations and exercises.
Note: It does not include strategic plans and guidance or North American defense
information.
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Category 6 - U.S. Order of Battle
Category 6 includes information pertaining to U.S. forces in a specific area.
Note: In general, disclosures of this information are limited to those countries in which
U.S. forces are stationed or are in adjacent geographical areas.
Category 7 – North American Defense
Category 7 includes information related to plans, operations, programs, and projects, to
include data and equipment, directly related to North American defense.
Category 8 – Military Intelligence
Finally, Category 8 includes military-related information that pertains to foreign nations.
Laws, Regulations, and Policies
National Security Decision
All foreign disclosures must have a basis in policy, and must be approved by the responsible
U.S. Government official who is designated, in writing, for this purpose. There are several
legal and policy guidance documents which establish the legal and policy basis for foreign
disclosure. Let’s first take a look at the key overarching documents.
National Security Decision Memorandum (NSDM) 119 is the basic policy that governs the
disclosure of U.S. CMI to foreign governments and international organizations and their
representatives.
National Policy and Procedures for the Disclosure of Classified Military Information to
Foreign Governments and International Organizations (National Disclosure Policy [NDP]-1)
contains the procedures to carry out NSDM 119.
Export-Related
Export-related laws, regulations, and policies include the Arms Export Control Act (AECA).
The AECA governs the export of defense articles and services and related technical data
and is the legal basis for most international activities.
The International Traffic in Arms Regulations (ITAR) implement Section 38 of the AECA with
regard to commercial exports of defense articles and services and related technical data.
Part 121 of ITAR contains the United States Munitions List (USML), which identifies the
defense articles that are subject to export control.
The Export Administration Act (EAA) of 1979, as amended, governs the export of
commercial, unclassified items, software, and technical data of concern to DoD that are not
covered by the AECA. It also includes “dual-use” items; that is, those items that have both a
commercial and a military or strategic use.
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The Export Administration Regulations (EAR) is the implementing regulation of the EAA. It
contains the Commerce Control List (CCL), which provides a list of controlled items and a
Country Chart which lists countries on which the U.S. places export restrictions.
DoD-Level
DoD policies include Department of Defense Directive (DoDD) 5230.11, Disclosure of
Classified Military Information to Foreign Governments and International Organizations,
which delegates disclosure authority to the heads of certain DoD Components and requires
the appointment of disclosure authorities. We’ll discuss these authorities later in this lesson.
DoDD 5230.11 requires the DoD Components to capture disclosures and denials of CMI on
their own record system, maintain those records for period of 7 years, and upon request,
provide information on those decisions to the National Military Information Disclosure Policy
Committee, or NDPC, or to the Military Intelligence Disclosure Policy Committee, or MIDPC,
as applicable.
DoDD 5530.3, International Agreements, establishes DoD policies and procedures for
international agreements between the DoD and foreign governments. It also delegates
authority to negotiate and conclude various types of international agreements to specific
DoD Components.
DoDD 5230.20, Visits and Assignments of Foreign Nationals, establishes DoD policies and
procedures for visits and assignments of foreign nationals to DoD Components and DoD
cleared contractor facilities.
Disclosure Authorities
A Principal Disclosure Authority (PDA) is a senior military or government official, appointed
in writing, by the head of an OSD organizational element or a DoD Component, as the
senior foreign disclosure authority for that OSD organizational element or Component, and
who is responsible for the establishment of an effective Foreign Disclosure Program.
A Designated Disclosure Authority (DDA) is a military or civilian government official who is
appointed, in writing, by the head of an OSD organizational element or a DoD Component,
or by their PDA, and delegated authority to control disclosure of CMI to foreign governments
and international organizations for that element or Component. The DDA is an official of
such grade and position that the person has access to the appointing PDA, or Head of the
OSD Organizational element or DOD Component.
Concepts and Principles
Disclosure
DoDD 5230.11 outlines foreign disclosure requirements for the Department of Defense. It
defines foreign disclosure as conveying classified information, in any manner, to an
authorized representative of a foreign government or international organization. As you
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learned earlier, disclosure includes oral, visual, and documentary transmission of CMI. This
transmission may come from both physical and electronic means.
Disclosure Authority
Earlier in this lesson, we were briefly introduced to disclosure authority.
The Principal Disclosure Authority (PDA) is a senior official, appointed in writing, by the head
of a DoD Component as the principal disclosure official for that Component.
The Designated Disclosure Authority (DDA) is an official, appointed in writing, at the
subordinate component level designated by the Head of a DoD Component or the
Component's Principal Disclosure Authority to control disclosure of classified military
information by his or her organization.
Delegation of Disclosure Authority
A Delegation of Disclosure Authority Letter (DDL) is used to delegate disclosure authority to
subordinate disclosure authorities. It is a document issued by the appropriate designated
disclosure authority (DDA) explaining classification levels, categories, scope, information
authorized and not authorized, under a DoD Component's disclosure jurisdiction, that may
be disclosed to a foreign government or international organization as well as procedures
and redelegation, if applicable.
DDL Format
The following DDL format should be used by the DoD Components. While all elements
identified should be provided in the general order shown, information should be
presented in the clearest and easiest-to-use manner. For example, the usefulness of the
DDL for complex systems will be enhanced if items 5 and 6 are broken out by major
subsystems and software and disclosures are discussed separately.
TITLE: DATE:
1. COUNTRIES: Identify the countries or international organizations covered under the
DDL.
2. CLASSIFICATION AND CATEGORIES PERMITTED: Identify highest classification of
information to be disclosed and specify the National Disclosure Policy categories for
disclosure.
3. DISCLOSURE METHODS: E.g., oral, visual, or documentary.
4. SCOPE: Specify who is authorized to release material or information, to whom
disclosure is authorized, and the purpose of the disclosure (e.g., in support of a foreign
military sales case, a cooperative development program, etc.).
5. AUTHORIZED FOR DISCLOSURE: Describe materiel and/or information that can be
disclosed.
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6. NOT AUTHORIZED FOR DISCLOSURE: Describe materiel and/or information that
cannot be disclosed. (In addition to providing specific descriptions of disclosable and
restricted materiel and information, items 5 and 6 will also specify any imposed
conditions or limitations (e.g., time phasing of release; allowable forms for software;
identification of items releasable only as finished, tested assemblies; etc.).
7. PROCEDURES: Specify review and release procedures, special security procedures, or
protective measures to be imposed.
8. REDELEGATION: Specify the extent redelegation of authority (if any) permitted to
subordinate activities.
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Review Activities
Review Activity 1
Question 1 of 8: Through the Foreign Military Sales process, the U.S. sells some fighter
aircraft, along with their associated classified components and technical data, to a friendly
foreign nation. What Category of CMI is the equipment and data?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Question 2 of 8: In support of a coalition operation, a coalition partner asks the U.S. for
classified order of battle information about the forces of another coalition partner. What
Category of CMI is this information?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
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Question 3 of 8: The U.S. discloses classified radar track data on unidentified flying objects
entering U.S. airspace. What Category of CMI is this data?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Question 4 of 8: To support the training of a foreign special operations unit, the U.S.
provides a classified tactics manual used to train U.S. military forces. What Category of CMI
is the manual?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Question 5 of 8: The foreign ally involved in the joint research project on new radar search
techniques now enters into co-production program with the U.S. to build a new radar
system, and requests copies of the classified U.S. design blueprints for the new system.
What Category of CMI is this data?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
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Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Question 6 of 8: Due to a regime change, the once-friendly nation that received U.S.-built
fighter aircraft under a Foreign Military Sales case has become hostile to U.S. interests, and
the U.S. now needs to disclose classified information on the current capabilities of those
fighter aircraft to our allies. What Category of CMI is this information?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Question 7 of 8: U.S. military aircraft are stationed in the allied country of Bandaria. The U.S.
provides Bandaria with classified information on the numbers and types of aircraft deployed
at various airbases in Bandaria. What Category of CMI is this information?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
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Question 8 of 8: A foreign ally involved in a joint research project on new radar search
techniques requests classified U.S. data. What Category of CMI is this data?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
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Review Activity 2
Statement 1 of 3: Requires appointment, in writing, of disclosure authorities and recording of
disclosure determinations
Identify the document described by the statement. Select the best response. Check your
answer in the Answer Key at the end of this Student Guide.
AECA
DoDD 5230.11
NDP-1
Statement 2 of 3: Contains the procedures for disclosure of U.S. classified military
information to foreign governments and international organizations
Identify the document described by the statement. Select the best response. Check your
answer in the Answer Key at the end of this Student Guide.
AECA
DoDD 5230.11
NDP-1
Statement 3 of 3: Governs the export of defense articles and services and related technical
data and is the legal basis for most international activities
Identify the document described by the statement. Select the best response. Check your
answer in the Answer Key at the end of this Student Guide.
AECA
DoDD 5230.11
NDP-1
Review Activity 3
Susan, a Designated Disclosure Authority (DDA), issues a Delegation of Disclosure
Authority Letter (DDL) to a subordinate Foreign Disclosure Office. Which of the following
should the DDL explain?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Classification levels
Foreign Government Information (FGI)
Scope
Information authorized and not authorized to disclose
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Conclusion
You have completed the lesson “Overview of Foreign Disclosure.”
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Lesson 3: Foreign Disclosure Considerations and
Requirements
Introduction
Objectives
In this lesson, you will learn about foreign disclosure considerations and requirements.
Here are the lesson objectives. Take a moment to review them.
• Identify disclosure criteria, limitations, and requirements
o Identify types of information exempt from National Disclosure Policy-1 and the
role of the National Military Information Disclosure Policy Committee
o Identify the purpose and function of disclosure criteria and conditions
o Identify the “False Impression” doctrine as a specific consideration for foreign
disclosure
Requirements
Disclosure Criteria
In order for classified military information (CMI) to be disclosed to an approved foreign entity,
it must meet foreign disclosure criteria. First, disclosure must be consistent with United
States foreign policy and national security objectives concerning the recipient nation or
international organization. Next, disclosure is consistent with U.S. military and security
objectives. For example, the disclosure reflects the need for striking a proper balance
between pursuit of our mutual defense and foreign policy objectives and preservation of our
military secrets.
There is also a criterion regarding the protection of information. The foreign recipient of the
information must have the intent and capability to provide substantially the same degree of
security protection given to it by the United States. Foreign disclosure criteria also require
that disclosures result in a clearly defined advantage to the United States that outweigh the
risk associated with its disclosure. Finally, disclosure is limited to information necessary to
accomplish the purpose for which disclosure is made.
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Criteria Examples
Criteria 1: Foreign Policy and
National Security Objectives
Recipient is a formal defense treaty ally of the U.S.
Recipient is a friendly, non-allied nation whose regional
objectives correspond with those of the U.S. (i.e., stability,
freedom of navigation, etc.).
Recipient has a formal intelligence sharing arrangement with the
U.S.
Criteria 2: Military and Security
Objectives
Recipient is a member of a military coalition supported by the
U.S.
Recipients' forces routinely conduct exercises with U.S. forces.
Recipient receives U.S. military products/services (equipment,
training, etc.) via Foreign Military Sales or other means
Criteria 3: Protection of
Information
Recipient has signed a security of information agreement with
the U.S.
Recipient has received a positive NDPC security survey (Note:
An NDPC Security Survey is a periodic on-site review for the
purposes of determining the capabilities of foreign governments
and international organizations to provide the requisite degree of
security protection to U.S. classified military information.)
Recipient has a good track record of protecting U.S. information
Criteria 4: Benefit to the U.S. Basing, Access, and Overflight permission for U.S. forces
Intelligence on threats of interest to the U.S.
Support of U.S. policies in international forums, such as the U.N.
Logistical support for U.S. forces in-country
Contributions of combat forces
Criteria 5: Information Limitations U.S. information provided to support a weapon system sale is
not used to reverse-engineer that system
U.S. information provided for situational awareness is not used
as actionable intelligence
U.S. information is not leaked to the press or a third country for
purposes of internal political gain or to damage U.S. interests
NDP-1 Annex A
NDP-1’s Annex A is the key criteria from which all other foreign disclosure criteria are then
considered. It lists the delegated authority levels for specific countries to receive CMI.
As you can see, for each country, the chart includes the CMI categories and the highest
classification level that may be disclosed under the authority of a Principal Disclosure
Authority (PDA).
The charts in Annex A are classified and may not be shared without approval from the
NDPC Executive Secretariat. For purposes of this lesson, a notional version of a chart from
Annex A is shown here for training purposes only.
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CMI
Categories
1
Organization,
Training, and
Employment
of Military
Forces
2
Military
Materiel
and
Munitions
3
Applied Research
and
Development
Information and
Materiel
4
Production
Information
5
Combined
Military
Operations,
Planning,
and
Readiness
6
U.S. Order of
Battle
Information
7
North
American
Defense
8
Military
Intelligence
Country A S S S S S
TS
Country B S S S S S
TS
Country C S C C C
S
Country D
Country E S C
Exceptions to NDP
NDP-1 establishes the National Military Information Disclosure Policy Committee (NDPC) as
the interagency mechanism for developing and implementing foreign disclosure policy for
CMI Categories 1-8. The Director, Defense Technology Security Administration is the
designated NDPC Chairman. The NDPC exercises control over the disclosure of classified
military information in the name of the Secretaries of State and Defense.
The Secretary of Defense and the Deputy Secretary of Defense are the only DoD officials
who have original authority to grant exceptions to the policy contained in DoDD 5230.11 for
CMI Categories 1-8. The Secretary of Defense has delegated authority to the NDPC to
consider and grant requests for exceptions to policy in compliance with DoDD 5230.11. The
Secretary or Deputy Secretary of State, with the consent of the originating or responsible
NDPC member department or agency, may also authorize such disclosures. Disclosures
authorized by the Secretary or Deputy Secretary of Defense or State are published in the
form of a Record of Action (RA).
NDP-1 establishes the Military Intelligence Disclosure Policy Committee (MIDPC) as the
interagency mechanism for developing and implementing foreign disclosure policy for
Category 8. Exceptions to National Disclosure Policy (ENDP) for CMI Category 8 may only
be granted by the Secretary of Defense, the Deputy Secretary of Defense; or the Secretary
or Deputy Secretary of State, with the consent of the originating or responsible MIDPC
member department or agency. USD(I) is the Secretary of Defense Designated MIDPC
Chairman. Again, such authorized disclosures are published in an RA. For multi-category
ENDPs that include Category 8 information—for example, an ENDP that contains
information from Categories 1, 5, 6, and 8—exceptions are submitted to the NDPC for
staffing.
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NDP Exclusions
There are many exclusions to national disclosure policy. National Disclosure Policy does not
govern the disclosure of the following: classified information which is prohibited by Federal
law or international agreement.
Proprietary information owned by private firms or citizens may not be disclosed under
national disclosure policy, because the U.S. Government has not yet established a national
security interest or security classification for the information.
National Intelligence cannot be disclosed without authorization of the Director of National
Intelligence (DNI) or IC agency that originated the information.
The disclosure of operational counterintelligence information is also the responsibility of the
DNI and cannot be disclosed under national disclosure policy.
Information related to strategic planning and guidance is also excluded from national
disclosure policy.
National disclosure policy also excludes the disclosure of Naval nuclear propulsion
information, the disclosure of classified national security telecommunications and
information systems security equipment and information, disclosures made in accordance
with the Atomic Energy Act, and finally, narcotics intelligence information.
NDP Excludes: Description
Prohibited by Law or
Agreement
Classified information that’s disclosure is prohibited by Federal law or
international agreement.
Proprietary Information Proprietary information owned by private firms or citizens. If release is
authorized by legislation, that legislation will govern the release.
National Intelligence National Intelligence which cannot be disclosed without authorization
of the Director of National Intelligence (DNI) or the IC agency that
originated the information in accordance with applicable policies.
Counterintelligence Operational counterintelligence information, the disclosure of which is
the responsibility of the Director of National Intelligence (DNI).
Strategic Planning and
Guidance
Only the Secretary of Defense or the Deputy Secretary of Defense
may authorize the disclosure of this information. Disclosure of any
information identified by the Chairman of the Joint Chiefs of Staff as
pertaining to or involving strategic war plans may be authorized only by
the Secretary of Defense, his Deputy, or the Chairman of the Joint
Chiefs of Staff.
Naval Nuclear Propulsion
Information
Nuclear propulsion information, except under an agreement negotiated
pursuant to the Atomic Energy Act of 1954, as amended.
National Security
Telecommunications and
Information
The National Security Telecommunications and Information Systems
Security Committee is authorized to make disclosures of classified
national security telecommunications and information systems security
equipment and information without referral to the National Disclosure
Policy Committee (NDPC).
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NDP Excludes: Description
Atomic Information Disclosures of which are made in accordance with the Atomic Energy
Act of 1954. The Joint Atomic Information Exchange Group is
responsible for reviewing these releases.
Narcotics Intelligence Pertains to the collection, analysis, and dissemination of narcotics
related information. Such disclosures are made IAW the policies and
directives of DoD, Intelligence Community Members, and law
Enforcement Agencies for information under their cognizance.
Specific Disclosure Limitations
The following types of classified information are specifically prohibited from disclosure:
• Classified information officially obtained from a foreign government, except when the
information has been conveyed by the government with express written consent to
its further disclosure;
• Combined information without prior agreement of all parties;
• Joint information without prior agreement of all Departments or Agencies having
control or jurisdiction;
• Information originated by or for another Department or Agency, unless that
Department or Agency consents to the disclosure; and
• Certain types of Intelligence information identified in NDP-1.
False Impressions Doctrine
It is U.S. policy to avoid creating false impressions of U.S. readiness to make available
classified military information, materiel, or technology. Proposals made to foreign
governments that could lead to the eventual disclosure of classified military materiel,
technology, or information must be authorized in advance by the Designated Disclosure
Authority (DDA) of the originating DoD Component. If the DDA does not have the required
delegated authority, an exception to National Disclosure Policy is required.
No disclosures can be made pending the required disclosure decision. In addition,
disclosure commitments must not be expressed nor implied. To avoid false impressions and
to avoid requests for classified military information that is not disclosable to the requestor,
be sure to remove references to nondisclosable documents and information from material
that may be otherwise disclosed. And finally, discourage disclosure of documents that are
reference lists or are bibliographic.
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Review Activities
Review Activity 1
Maria, a DDA, is considering four foreign disclosure requests. Which of these may be
authorized for foreign disclosure IAW NDP-1, assuming all disclosure criteria are met?
Select the best response for each statement. Check your answer in the Answer Key at the
end of this Student Guide.
Statement 1 of 4. Request 1 includes proprietary information.
May be authorized
Excluded from NDP-1
Statement 2 of 4. Request 2 includes classified military information (CMI).
May be authorized
Excluded from NDP-1
Statement 3 of 4. Request 3 includes information related to strategic planning and guidance.
May be authorized
Excluded from NDP-1
Statement 4 of 4. Request 4 includes operational counterintelligence information.
May be authorized
Excluded from NDP-1
Review Activity 2
When Maria considers the foreign disclosure request for the CMI, which of the following
criteria must be met in order for the disclosure to be authorized?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
The disclosure must clearly benefit the U.S.
The disclosure must be consistent with U.S. foreign policy.
The disclosure must meet military objectives.
The foreign recipient must protect the information substantially the same as the
United States.
The disclosure must be limited to the necessary information.
Conclusion
You have completed the lesson “Foreign Disclosure Considerations and Requirements.”
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Lesson 4: Foreign Disclosure Means and Methods
Introduction
In this lesson, you will learn about foreign disclosure means and methods.
Here are the lesson objectives. Take a moment to review them.
• Identify the various means of foreign disclosure of CMI
o Identify various mechanisms and arrangements for government-to-government
disclosure of CMI
o Identify requirements to share CMI
o Identify mechanisms for commercial disclosure of CMI
o Define the General Security Agreement or General Security Information
Agreement, and General Security of Military Information Agreement
Means of Disclosure
Government-to-Government Principle
The government-to-government principle, derived from the Arms Export Control Act (AECA)
and National Security Decision Memorandum 119, states that classified information and
technology is shared by governments with other governments and international
organizations. This principle governs two activities related to international activities: It
applies to the export or disclosure decision and to disclosure of classified military information
or materiel.
Disclosure Modes
Disclosure modes include oral and visual methods and documentary disclosure. Oral/visual
disclosure is to brief orally, expose to view, or permit use under U.S. supervision in order to
permit the transfer of knowledge or information. This does not include physical transfer.
Documentary disclosure, often called release, is the physical transfer of documents,
materiel, or munitions to foreign governments or international organizations. Documentary
disclosure also includes the transfer of information via electronic media.
Security Assurances and Receipts
In order for classified military information to be disclosed, the receiving foreign government
or international organization must provide sponsorship. This sponsorship is usually provided
in the form of a Security Assurance. The Security Assurance is the recipient government’s
certification that the person is representing the foreign government, is properly cleared, and
the government will be responsible for protecting the information. Receipts must be obtained
for all classified information transferred in documentary or materiel form in order to
document the transfer of control, custody, and responsibility for the items to the receiving
government.
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Security Assurance
A written confirmation, by a responsible foreign government official, that the recipient of the
information is approved by the government for access to information of the security
classification involved on behalf of the government, and possesses the requisite security
clearance and need-to-know for the classified information to be disclosed.
The Security Assurance certifies that the recipient government will protect the information in
accordance with the international agreement between the United States and the foreign
government.
Government-to-Government Disclosure
Methods
There are several ways in which the U.S. Government may disclose classified military
information to foreign governments and international organizations. Among other methods,
they may do so through foreign visits; through the sales, leases, loans, or grants of
classified items; or via cooperative programs.
Let’s take a closer look.
Foreign Visits
As you recall from earlier in this course, DoDD 5230.20, Visits and Assignments of Foreign
Nationals, establishes DoD policies and procedures for visits and assignments of foreign
nationals. Only foreign nationals in an "official visit" status may be assigned to Component
organizations, for example, Foreign Liaison Officer, Foreign Exchange Officer, etc. During
visits by foreign nationals to the DoD Component and cleared contractor facilities, the
decision to grant access to classified information must be consistent with U.S. security and
foreign policy interests. For every proposed official visit by a foreign national to a DoD
Component or cleared contractor facility, the following determinations must be made by
authorized officials at the activity or facility to be visited:
• Prior to the visit, the appropriate Principal Disclosure Authority (PDA) or Designated
Disclosure Authority (DDA) must review and approve information to be disclosed
during the visit.
• The foreign national visitor to whom the information is to be disclosed must have a
need-to-know.
• In addition, when classified information is involved, the visit must be officially
sponsored by their government or international organization and an appropriate
Security Assurance must be provided.
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Need-to-Know
A determination within the Executive Branch that a prospective recipient requires access to
specific classified information in order to perform or assist in a lawful and authorized
governmental function. (DoDM 5200.01-V2)
Security Assurance
A written confirmation, by a responsible foreign government official, that recipient of the
information is approved by the government for access to information of the security
classification involved on behalf of the government, and possesses the requisite security
clearance and need-to-know for the classified information to be disclosed.
The Security Assurance certifies that the recipient government will protect the information in
accordance with the international agreement between the United States and the foreign
government.
International Visits Program
The International Visits Program (IVP) is the program established to process visits and
assignments of foreign nationals to the DoD Components, and cleared contractor
facilities. The program ensures classified information to be disclosed to visitors has been
properly authorized for disclosure to their governments. It ensures the requesting foreign
government provides a Security Assurance when classified information is involved, and
it facilitates administrative arrangements – such as date, time, and place - for the visit or
assignment.
Sales, Leases, Loans, or Grants
Government disclosure methods also include sales, leases, loans, and grants of defense
articles and services. These are known as Foreign Military Sales (FMS). Prior to the sale,
lease, loan, or grant of defense articles and services, the appropriate DDA must provide
disclosure authorization and prescribe transfer arrangements. Before responding to an FMS
request, the DDA must conduct a disclosure review to ensure that the response complies
with existing national, DoD, and Component disclosure policies, and that the prescribed
transfer arrangements have been approved by the responsible security office.
Other Considerations
Take a moment to review the policy outlined within DoDD 5230.11 in regards to sales,
leases, loans, or grants:
• Release Authorization. Before approval of initiatives that could lead to a sale,
lease, loan, or grant of military equipment, obtain authorization from the
appropriate designated disclosure authority for disclosure of all necessary
classified equipment and information required for system operation, employment,
maintenance, and training, including system software.
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• Initial Disclosures. Limit initial disclosures to general information, usually no
higher than CONFIDENTIAL, on system characteristics, capabilities, and price
and availability until a sale, lease, loan, or grant is consummated.
• System Countermeasures. Withhold specific information on system
countermeasures susceptibilities or vulnerabilities and counter-countermeasures
capabilities, until the sale, lease, loan, or grant is consummated.
• Operation, Employment, Maintenance, and Training. After consummation of a
sale, lease, loan, or grant, classified military information may be disclosed up to
the level necessary for operation, employment, maintenance, and training.
• Data Packages. Edit or rewrite data packages to exclude information that is
beyond that which has been authorized for disclosure.
o The disclosure of technical data for production purposes shall be limited to
data that is necessary to produce a specific item that is approved for
release to the country and authorized to receive the data.
o The disclosure of technical data for maintenance purposes shall be limited
to data that is necessary to perform the level of maintenance approved for
the country and authorized to receive the data.
Cooperative Programs
CMI may be disclosed to foreign governments during the operation of cooperative programs.
When a CMI request is made, the appropriate disclosure authorities must review the request
in accordance with the appropriate cooperative agreement and balance the goals of the
program with national security interests.
Cooperative Programs
Programs that comprise one or more specific cooperative projects with a foreign government
or international organization whose arrangements are defined in a written agreement
between the parties covering research, development, test, and evaluation; and joint
production
OR
A cooperative research and development program defined in a written agreement with North
Atlantic Treaty Organization (NATO) and major non-NATO allies
Other Methods
In addition to the methods we just discussed, DoDD 5230.11, Disclosure of Classified
Military Information to Foreign Governments and International Organizations, also includes
international agreements; meetings, symposia, and conferences; foreign test and
evaluation; foreign participation in classified training; classified document requests; and
foreign participation in U.S. procurement programs. Note: This information will be moved to
an as yet un-named DoD Instruction following approval of the new DoD Directive.
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Method Description
International
Agreements
Before any discussions with foreign representatives on the negotiation of an
international agreement that is governed by DoD Directive 5530.3, International
Agreements, the DoD Components must:
• Determine the extent to which CMI will be required for release
• Obtain disclosure authorization for the information
Meetings,
Symposia,
and
Conferences
The classification levels and categories of information authorized for disclosure vary
among nations; the DoD Components must limit the level of classified information to
be disclosed at meetings attended by foreign representatives to the lowest level that
is common to all nations represented. Furthermore, U.S. classified information
should not be shared solely to match the disclosures of other foreign participants.
U.S. CMI must always meet the general disclosure criteria.
Foreign Test
and
Evaluation
Foreign test and evaluation of the U.S. classified equipment may be authorized when
the tests:
• Are on an item approved for foreign disclosure by the appropriate disclosure
authority
• Can be performed at a U.S. installation or under other strict U.S. control that
guarantees appropriate safeguards for classified information, and classified
or unclassified critical technology
Foreign
Participation
in Classified
Training
Foreign participation in DoD Component classified training activities
• A foreign national may receive training on U.S. equipment that is classified or
involves classified information, if the equipment is in the inventory of or is to
be acquired by the trainee's government after the following:
o The prospective trainee's government has concluded an international
agreement or signed a purchase agreement with the United States to
acquire the equipment and training; or
o The Defense Security Assistance Agency has issued an International
Military Education and Training (IMET) order for the training
• A foreign national may conduct training on U.S. equipment that is classified
or involves classified information, if the item has been sold or otherwise
provided to the foreign national's government and the U.S. Government has
specifically approved the provisions of such training to any involved third
party.
• Foreign nationals may receive or conduct training on U.S. equipment
provided by a third-country that is classified only with the prior written
consent of the U.S. Department of State.
Classified
Document
Requests
• Requests for classified documents by a foreign representative shall be
forwarded to the applicable designated disclosure authority of the originating
DoD Component for review and approval or denial
• The DDA rendering the decision, records the determination in an appropriate
foreign disclosure system, in accordance with DoDD 5230.11
Foreign
Participation
in U.S.
Procurement
Programs
• Participation consistent with applicable U.S. laws, regulations, and security
requirements in DoD procurement initiatives by contractors from countries
where DoD agreements encourage reciprocal participation in defense
procurement may include access to classified information
• Disclosure decisions involving those countries shall be made before the
announcement of the procurement and the announcement shall describe any
restrictions on foreign participation
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Commercial Disclosure
Regulatory Basis
You will recall that the Arms Export Control Act (AECA) governs the export of defense
articles and services and related technical data. The part of the AECA that covers
commercial disclosure is implemented by the International Traffic in Arms Regulations
(ITAR). The ITAR contains the U.S. Munitions List (USML), which describes, in broad terms,
categories of defense articles and services and their related technical data.
Term Definition
Defense Article
• Any item or technical data designated in Part 121 of the ITAR
• Includes technical data recorded or stored in any physical form
• Does not include basic marketing information on function or purpose or
general system descriptions
Defense Service
• Furnishing assistance (including training) to foreign persons in the
design, development, engineering, manufacture, production, assembly,
testing, repair, maintenance, modification, operation, demilitarization,
destruction, processing or use of defense articles; or
• Furnishing to foreign persons any technical data controlled under the
ITAR
Technical Data
• Information, other than software as defined by the ITAR, which is
required for the design development, production, manufacture,
assembly, operation, repair, testing, maintenance or modification of
defense articles
Methods
Methods of commercial disclosure include direct commercial sales and exports.
A direct commercial sale is a direct contractual arrangement between a commercial
company and a foreign government, international organization, or another commercial
company.
The term export applies to a number of situations. An export is sending or taking a defense
article outside the U.S. It is also transferring registration, control, or ownership to a foreign
person of an aircraft, vessel, or satellite listed on the USML. Exports also include
disclosing—including oral and visual disclosure—any defense article or technical data to an
embassy, agency, or subdivision of a foreign government or other foreign person. Finally,
exports include performing a defense service on behalf of, or for the benefit of, a foreign
person in the U.S. or abroad.
Export Authorizations
Let’s take a look at the types of export authorizations for classified defense articles and
technical data. United States Government review and approval of these authorizations is
done in accordance with NDP-1. Department of State form DSP-85 is used for the export or
temporary import of classified defense articles and services and any classified technical
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data. The Technical Assistance Agreement (TAA) is the contract vehicle for providing
defense services, including training. Finally, the Manufacturing License Agreement (MLA) is
the contract vehicle for licensed production of defense articles abroad. However, these
license agreements do not, by themselves, authorize the disclosure of classified military
information, which always requires U.S. Government review and approval in compliance
with NDP-1.
Security Agreements
General Security Agreement (GSA)
The General Security Agreement, or GSA, also called a General Security of Information
Agreement, or GSOIA, is a government-to-government agreement negotiated through
diplomatic channels. It states that each party to the agreement will afford to classified
information provided by the other, substantially the same degree of security protection
afforded to the information by the providing party. It contains provisions concerning the use
and protection of each other's classified information, third party transfers, and proprietary
rights and specifies that transfers of classified information will be on a government-to-
government basis.
The GSA or GSOIA also provides that both parties agree to report any compromise, or
possible compromise, of classified information provided by the other party and states that
both parties will permit visits by security experts of the other party for the purpose of
conducting reciprocal security surveys. Additionally, it establishes equivalent classification
and safeguarding standards for the disclosed information. A General Security of Military
Information Agreement, or GSOMIA, is a subset of the agreements previously mentioned
and is narrowly focused on CMI produced by or for DoD.
Industrial Security Agreements
The Industrial Security Agreement is negotiated by the Department of Defense as an annex
to the GSA, GSOIA, or GSOMIA, with those foreign governments with which DoD has
entered into co-production, co-development, and/or reciprocal procurement arrangements
involving industry. It includes provisions for clearance of facilities and personnel, the
handling and transmission of classified material, and procedures for visits.
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Review Activities
Review Activity
Jack, a DDA, receives a question about foreign disclosure modes. What does oral and
visual disclosure include?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
All briefings, discussions, presentations, or recordings that include foreign
participation
All briefings, discussions, presentations, or recordings that transfer knowledge or
information about classified material to a foreign government
All briefings, discussions, presentations, or recordings that transfer knowledge or
information about classified material regardless of participation
Conclusion
You have completed the lesson “Foreign Disclosure Means and Methods.”
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Lesson 5: International Agreements
Introduction
In this lesson, we will discuss foreign disclosure as it relates to international agreements.
Here are the lesson objectives. Take a moment to review them.
• Identify the various means of foreign disclosure of CMI
o Identify the definition of international agreements
o Identify the policy and laws that govern international agreements
o Identify the responsibilities associated with international agreements
Foreign Disclosure and International Agreements
Definition
International Agreements set the terms and conditions for joint military research,
development, test and evaluation (RDT&E); standardization; production; in-service support;
information and personnel exchanges; and operational agreements. DoDD 5530.3,
International Agreements, defines international agreements as any agreement concluded
with one or more foreign government or with an international organization that is signed or
agreed to by personnel of any DoD Component, or by representatives of the Department of
State or any other department or agency of the U.S. government; signifies the intention of its
parties to be bound in international law; and is designated as an international agreement or
by various other names which connote a similar legal consequence. In addition, any oral
agreement that meets these criteria is an international agreement.
Other Names
International agreements may be designated as an international agreement or as a
memorandum of understanding, memorandum of agreement, memorandum of arrangement,
exchange of notes, exchange of letters, technical arrangement, protocol, note verbal, aide
memoire, agreed minute, contract, arrangement, statement of intent, letter of intent,
statement of understanding or any other name connoting a similar legal consequence.
Laws, Policies, and Guidance
International Agreements are governed by Part 181 of Title 22, Code of Federal
Regulations, which implements the Case Act.
DoDD 5530.3, International Agreements revises DoD procedures to implement the Case Act
as interpreted by the Department of State. The Case Act provides that, notwithstanding any
other provision of law, an international agreement may not be signed or otherwise
concluded on behalf of the United States without prior consultation with the Secretary of
State. DoDD 5530.3 also assigns responsibilities for central repositories of international
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agreements within the DoD; assigns responsibility for controlling the negotiation and the
conclusion of agreements with foreign governments and international organizations; assigns
the authority to approve or conduct negotiation and conclusion, or to delegate authority for
specified categories of international agreements; establishes procedures for obtaining
approval prior to the initiation of negotiations; and establishes procedures concerning
resolution of compliance questions.
Responsibilities
DoDD 5530.3 prescribes responsibilities for international agreements. It is DoD policy to
comply with the terms of international agreements. Each DoD Component oversees
compliance for the international agreements for which they are responsible. DoDD 5530.3
also prescribes responsibilities for security provisions, the assignment of responsibility for
authorizing negotiation and conclusion of international agreements, and approval authority.
Security Provisions
Security provisions for international agreements involving or likely to involve the release
of classified military information, classified technology, or classified materiel must be
coordinated with the Office of the Under Secretary of Defense for Policy (USD(P), before
making any commitment to representatives of a foreign government or international
organization. Such agreements must be consistent with National Disclosure Policy and
meet the conditions for release.
Assignment of Responsibility for Authorizing Negotiation and Conclusion
The responsibility for authorizing the negotiation and conclusion of international
agreements is assigned to USD(P) with the exception of specific categories of
international agreements. USD(P) may delegate this authority. However, the authority to
negotiate and conclude agreements with policy significance must be forwarded to
USD(P).
Approval Authority
DoDD 5530.3 delegates approval authority to DoD Components. While this authority
may be re-delegated, the DoD Component to which approval authority is initially
delegated is responsible for the international agreement’s compliance with DoDD
5530.3.
International Agreement Types
There are several types of international agreements, including those related to acquisition
and operations, agreements related to The Technical Cooperation Program (TTCP) and the
Information Exchange Program (IEP); and those related to personnel exchanges and
military-to-military intelligence collection and exchange.
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International Agreement
Type
Description
Acquisition International agreements involving acquisition programs, such as
an international cooperative program (ICP). An ICP is any
acquisition program or technology project that includes participation
by the U.S. and one or more foreign nations, through an
international agreement, during any phase of a system’s life cycle.
Operational International agreements related to operations such as joint training
and coalition operations.
The Technical Cooperation
Program (TTCP)
• Is an international organization that collaborates in defense
scientific and technical information exchange and shared
research activities
• Includes the United States, Canada, United Kingdom,
Australia, and New Zealand
• Operates within the limits of National Disclosure Policy
• Facilitates exchanges in the defense technology base when
such classified exchanges are clearly in the best interests
of the U.S. and comply with DoDD 5230.11
Information Exchange Program
(IEP)
The program established for the exchange of research,
development, test, and evaluation (RDT&E) information under a
bilateral or multilateral, stand-alone or umbrella, international
agreement, between the DoD or a DoD Component, and one or
more foreign governmental entities.
Personnel Exchange A program where DoD military and civilian personnel and the
defense
ministries/departments and/or armed services of foreign
governments occupy positions with and perform functions for a host
organization to promote current or future international programs,
greater mutual understanding, and interoperability with allies and
coalition partners.
Military-to-Military Intelligence
Collection and Exchange
Intelligence Community International agreements related to the
collection and/or sharing of military intelligence information on
topics of mutual interest.
Intelligence Community International Agreements
Intelligence agreements under DoDD 5530.3 include international agreements for the
collection and/or exchange of military intelligence information under the authority of the
Secretary of Defense. The Under Secretary of Defense for Intelligence (USD(I)) and the
Defense Intelligence Agency (DIA) are responsible for military intelligence agreements. In
coordination with DIA, USD(I) authorizes DoD Components to negotiate and conclude
military intelligence collection and/or exchange agreements.
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Review Activities
Review Activity 1
For which of the following do international agreements set the terms and conditions?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Joint research, development, test and evaluation (RDT&E)
Joint production
All foreign visits
Information and personnel exchanges
Review Activity 2
For each statement, select True or False. Check your answer in the Answer Key at the end
of this Student Guide.
Statement 1 of 4. International agreements must be in writing.
True
False
Statement 2 of 4. Approval authority over international agreements may be delegated.
True
False
Statement 3 of 4. International agreements involving classified military information must be
consistent with NDP-1.
True
False
Statement 4 of 4. An international agreement is always required before sharing any U.S.
CMI.
True
False
Conclusion
You have completed the lesson “International Agreements.”
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Lesson 6: Foreign Disclosure Process
Introduction
Throughout this course, you’ve learned about foreign disclosure policy, criteria, and
requirements. In this lesson, we’ll discuss how disclosure determinations are made by
walking through the foreign disclosure process.
Here are the lesson objectives. Take a moment to review them.
• Identify fundamental foreign disclosure process determinations
o Identify the steps involved in the adjudication of a foreign disclosure request
o Identify the requirements that must be met and considerations made by
Designated Disclosure Authorities (DDAs) when making a foreign disclosure
decision
o Identify Security Policy Automation Network (SPAN) programs and databases
Adjudication of Disclosure Request
Process
When a disclosure authority receives a foreign disclosure request, there are a number of
steps he or she must take to adjudicate the request. The disclosure authority first processes
the request and coordinates the request with the necessary proponents. The disclosure
authority evaluates the request against delegated disclosure authority and analyzes it
against disclosure criteria and requirements. If needed, the disclosure authority seeks
additional authorities. The disclosure authority will then approve or deny the request for
foreign disclosure. If the request is approved, the disclosure authority verifies the recipient's
security clearance and need-to-know. The disclosure authority also documents and records
the disclosure decision—whether it was approved, approved with modifications, or denied —
and provides advice and assistance in the execution of the disclosure guidance. Finally, the
disclosure authority maintains the disclosure determination documentation and records. This
helps assist in future disclosure determinations.
1. Process request for foreign disclosure
• Determine whether a need or request to disclose CMI exists
• Determine whether you are the disclosure authority responsible for addressing
the need or request
o If not, determine who is
• Determine whether the request came through the appropriate channels
• Determine the level of classification of the requested information
• Determine whether the request is valid and complete
o If not, determine whom to coordinate with
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• Determine the nature of the proposed disclosure mechanism (e.g., foreign visit,
foreign military sale)
• Determine the means of disclosure (e.g., oral, visual, documentary)
2. Coordinate disclosure request with necessary proponents
• Determine the proponents (e.g., content owners, representatives of interested
agencies/bodies, technical subject matter experts) of the requested CMI
• Determine whether proponents are willing to disclose the CMI
o If yes, determine whether you have approval to disclose the CMI
• Determine the nature of limitations, challenges, and difficulties associated with
the disclosure of the CMI
o If limitations, challenges, and difficulties exist, determine whether there is a
need to coordinate modifications to the request
3. Evaluate disclosure request against delegated disclosure authority
• Determine whether the requested information is exempt from disclosure
• Determine which CMI category the request falls under
• Determine whether you have the delegated authority to disclose the requested
information
o If you do not have the authority, determine who has the authority to disclose
the requested information
4. Analyze disclosure request against disclosure criteria and requirements
• Analyze the request against NDP-1 disclosure criteria and requirements
o Determine whether disclosure of the requested CMI is in the interests of the
U.S. Government
o Determine whether the benefits of disclosing the CMI are at least as
valuable as the information disclosed
o Determine whether the security assurances provided by the requestor are
sufficient
o Determine whether the requested information is necessary for meeting the
stated desired purpose
o Determine whether disclosure of information to the requestor is allowed by
policy
• Determine whether a policy gap exists
5. Seek additional authorities, if necessary
• Determine whether there is a need to seek/request exceptions to the National
Disclosure Policy
• Determine whether there is a need to seek/request additional authority
• Determine who you need to coordinate with to seek/request an exception or
additional authority
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• Determine whether you have proper documentation required to seek/request an
exception or additional authority
6. Approve or deny disclosure request for foreign disclosure
• Determine whether all the necessary steps have been taken to determine
whether or not the request can be approved or denied
• Determine whether you have authority to approve or deny the request
o If not, determine who in the chain of command needs to approve or deny
the request
o Determine whether you properly documented and recorded your
recommendation to approve or deny the request
• Determine whether you properly documented and recorded your decision to
approve or deny the request
• Determine whether you informed the appropriate people of the decision to
approve or deny the request
7. Verify recipient’s security clearance and need-to-know
• Determine whether the right people are involved in the disclosure of the
requested information to the recipient
• Determine whether the intended recipient has the necessary authorization to
receive the requested information
• Verify with the appropriate personnel (e.g., Security Personnel, Proponents) that
the intended recipient meets the requirements for receiving the requested
information
8. Document and record disclosure decision and/or guidance
• Document and record the process and procedures used to make the
determination to disclose the requested information
o Determine whether the relevant policies are referenced
o Determine whether you identify consulted proponents
• Determine whether you specified guidance necessary to properly disclose the
requested information
• Determine who should receive the disclosure guidance
9. Provide advice and assistance in the execution of disclosure guidance
• Determine whether the disclosure guidance provides sufficient detail to inform
the development and execution of security plans
• Determine whether or not the disclosure guidance is being applied properly
• Provide proponents advice and assistance in the execution of disclosure
guidance, as necessary
o Respond to requests for advice and assistance
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• Determine whether you have documentation or reference materials that you can
provide proponents to assist them in execution of disclosure guidance
10. Maintain documentation and records of disclosure determination
• Maintain files that document and record disclosure determinations
o Determine whether the files are readily available to inform future disclosure
determinations
o Determine whether the files are properly safeguarded
• Determine whether you have a process for updating disclosure determination
documentation
Disclosure Considerations
There are certain requirements that must be met by disclosure authorities when making all
foreign disclosure decisions. As you’ll recall, per DoDD 5230.11, DDAs control disclosures
of classified military information by their organizations.
In order to meet disclosure requirements, DDAs must consider the origin of the request.
While requests may originate from official or unofficial sources, only requests received
through official channels may be processed for a foreign disclosure decision.
The disclosure authority must also consider the originator or controlling authority of the
requested information. The originator is the entity that has original classification authority for
the CMI. Disclosure authorities do not have the authority to disclose information that has
been originated by, or is under the control of another DoD or U.S. Government department
or agency, or a foreign government or international organization, unless the information
carries the appropriate release markings as applied by the originating/controlling agency,
organization, or foreign government.
Only Designated Disclosure Authorities (DDAs) may authorize or deny the foreign disclosure
of CMI. DDAs may only make disclosure decisions within the scope of their disclosure
authority.
The classification level of the information to be disclosed must be considered. Disclosure
authorities may only disclose classified information up to and including the levels delegated
by National Disclosure Policy (NDP- 1) provided all other requirements are satisfied.
The disclosure authority must be able to provide justification for the disclosure. CMI will be
provided to a foreign government or international organization only when the disclosure can
be justified as supporting a lawful and authorized U.S. Government purpose.
When a response is to be provided to a foreign government or international organization,
including its contractors, the official providing the response must ensure that the response
does not make false impressions of the U.S. Government's willingness to make further
disclosures of CMI.
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Finally, as you learned earlier, disclosures of CMI to representatives of a foreign government
or international organization require the use of government-to-government methods, security
assurances, and receipts.
Other Considerations
Other considerations for foreign disclosure include the following.
One must consider whether a precedent could be set which might result in requests for
disclosure to other countries. The U.S. response should also consider the risk of creating an
arms race and the effect on arms control arrangements.
Foreign availability is also a consideration. If the equivalent system, technology, or capability
is available from a foreign source, providing the U.S. system might not have significant
implications.
The affect to U.S. industrial base must also be considered. Sharing information that can be
used for design or production purposes might have positive or negative implications for the
U.S. industrial base.
In addition, there may be a political-military impact. As you’re well aware, military and
political situations change over time, and the situation in some countries make them more
susceptible to change. Consideration must always be given to the effect on U.S. military
forces of disclosure by the proposed recipient to an unauthorized third party. It is appropriate
to seek advice or concurrence from applicable offices, such as the State Department.
Finally, disclosure decisions must consider the feasibility of implementing the proposed
disclosure decision. In some cases, in order to obtain or expedite a favorable disclosure
decision, conditions, safeguards, and limitations may be proposed. When this is done,
consideration must be given to the ability of the DoD to implement such conditions,
safeguards, or limitations and the effect on all parties involved.
SPAN Network
Proper use of the Security Policy Automation Network (SPAN) reporting expedites the
disclosure authorization process by providing a comprehensive historical record of foreign
disclosure decisions, including visits, exceptions to National Disclosure Policy, NDPC
Records of Action, and licensing decisions.
SPAN comprises several component systems, two of which are depicted here. As you
learned earlier in this course, permanent and retrievable records must be kept for all
disclosures. The Foreign Visit System (FVS) contains decisions on foreign visitors,
exchange personnel, and foreign liaison officers. The National Disclosure Policy System
(NDPS) contains Records of Action (RAs) and requests for Exception to National Disclosure
Policy (ENDP). Other SPAN databases contain information on State Department munitions
licenses and Commerce Department export licenses.
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Records of Action
The National Disclosure Policy Committee (NDPC) uses records of action to communicate
exceptions to national disclosure policy (ENDP).
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Review Activities
Review Activity 1
For each statement, select True or False. Check your answer in the Answer Key at the end
of this Student Guide.
Statement 1 of 3. Foreign disclosure determinations should consider foreign availability.
True
False
Statement 2 of 3. Foreign disclosure must support a lawful and authorized U.S. Government
purpose.
True
False
Statement 3 of 3. Foreign disclosure of classified military information is made by the
originator or controlling agency.
True
False
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Review Activity 2
Jack, a DDA, is using SPAN to assist with a foreign disclosure determination. What
information can Jack find in SPAN?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Classified disclosure decisions
Decisions on foreign visitors, exchange personnel, and foreign liaison officers
Original classification determinations
National Disclosure Policy Committee records of action (RAs)
Conclusion
You have completed the lesson “Foreign Disclosure Process.”
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Lesson 7: Protecting CMI in Foreign Disclosure
Introduction
In this lesson, we will discuss protecting CMI in foreign disclosure.
Here are the lesson objectives. Take a moment to review them.
• Identify the information protection principles related to disclosure and release of CMI
• Define “need-to-know,” “access,” and “authority” in the context of disclosure and
release of CMI
• Identify authorized security classification, control and dissemination markings,
portion marks, and special dissemination notices related to foreign disclosure
• Identify responsibilities with respect to ensuring documents for disclosures to foreign
entities are properly marked
Information Protection Principles
Applicability to Foreign Disclosure
The DoD information protection principles outlined in DoDM 5200.01, DoD Information
Security Program, apply to classified military information (CMI) in the foreign disclosure
process. This includes properly marking, safeguarding, and handling CMI throughout the
foreign disclosure process. There are also additional information protection requirements for
CMI disclosed to foreign governments.
Let’s take a look.
Access Requirements
Classified military information is a national security asset that is shared with foreign
governments only when there is a clearly defined benefit to the United States. Authorized
disclosure authorities determine that CMI may be disclosed only when all policy
requirements are met.
In addition, to receive CMI, the foreign recipient must have a need-to-know.
As you learned earlier, CMI is only disclosed through government-to-government channels
and only when a security assurance is provided from the recipient foreign government.
Finally, the foreign government or international organization must also be authorized to
receive the CMI based on the category it falls under and its classification level.
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Security Assurance
A written confirmation, by a responsible foreign government official, that the recipient of the
information is approved by the government for access to information of the security
classification involved on behalf of the government, and possesses the requisite security
clearance and need-to-know for the classified information to be disclosed.
The Security Assurance certifies that the recipient government will protect the information in
accordance with the international agreement between the United States and the foreign
government.
Marking Requirements
In addition to being properly marked with the overall classification and portion markings,
there are control markings specifically relevant to foreign disclosure.
Within DoD, the AUTHORIZED FOR RELEASE TO, or REL TO, control marking is
authorized for use on all classified military information that has been determined by an
authorized disclosure official, in accordance with established foreign disclosure policies, to
be releasable, or that has been released through established foreign disclosure procedures
and channels, to foreign countries or international organizations indicated.
NOFORN is used only for intelligence information and to indicate that such disclosure is
prohibited. Only the originator may authorize its disclosure.
In addition to the control marking, also include any classification or special handling
markings that may be required in accordance with other applicable directives. The
responsibility for applying this marking rests with the office writing the document for release
and shall be verified by the disclosure authority.
REL TO
When an authorized disclosure authority determines CMI is eligible for foreign
disclosure, that authorization is indicated with the REL TO control marking.
REL TO USA means the information is U.S.-originated. By itself, this is not an approved
control marking. REL TO USA must be followed by the applicable country trigraphs or
multi-national tetragraphs. Take a moment to review how REL TO is used.
AUTHORIZED FOR RELEASE TO (REL TO):
• Used on all CMI that has been determined by an authorized disclosure official to
be disclosed to the foreign country and/or international organization indicated
• Must be accompanied by USA and applicable country or international
organization
• Disclosure in any form to the nations specified in the REL TO marking is
authorized without originator approval
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• Disclosure to nations not specified in the REL TO marking is authorized only after
obtaining permission from the originator
NOFORN
The control marking NOT RELEASABLE TO FOREIGN NATIONALS (NOFORN) is
authorized for use only on intelligence and intelligence-related information. Within the
DoD, the use of NOFORN outside of intelligence information is limited only to Naval
Nuclear Propulsion Information and the NDP-1 and documents marked in accordance
with the NDP-1 Security Classification Guide. No other types of DoD information are
authorized to use the NOFORN marking.
NOT RELEASABLE TO FOREIGN NATIONALS (NOFORN)
• Is authorized for use ONLY on intelligence and intelligence-related information
and products under the purview of the DNI, in accordance with DNI policy
• Is not authorized for use within DoD on non-intelligence information with the
exception of:
o Naval Nuclear Propulsion Information (NNPI)
o The National Disclosure Policy (NDP-1) and documents marked in
accordance with the NDP-1 Security Classification Guide
Distribution Statements
Distribution statements are used on classified and unclassified scientific and technical
documents to identify the document’s availability for distribution. Each statement provides
four pieces of information to facilitate distribution and disclosure: authorized audience,
reason for restriction, identity of the controlling DoD office (DCO), and date of publication.
The distribution statement marking is distinct from and in addition to a security classification
marking and may include an export control warning, if applicable.
Authorized Distribution Statements
DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited.
DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government Agencies
only (fill in reason) (date of determination). Other requests for this document shall be
referred to (insert controlling DoD office).
DISTRIBUTION STATEMENT C. Distribution authorized to U.S. Government Agencies
and their contractors (fill in reason) (date of determination). Other requests for this
document shall be referred to (insert controlling DoD office).
DISTRIBUTION STATEMENT D. Distribution authorized to the DoD and U.S. DoD
contractors only (fill in reason) (date of determination). Other requests shall be referred
to (insert controlling DoD office).
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DISTRIBUTION STATEMENT E. Distribution authorized to DoD Components only (fill in
reason) (date of determination). Other requests shall be referred to (insert controlling
DoD office).
DISTRIBUTION STATEMENT F. Further dissemination only as directed by (inserting
controlling DoD office) (date of determination) or higher DoD authority.
Export Control Warning
All technical documents that are determined to contain export-controlled technical data
must also be marked with this export-control statement.
WARNING - This document contains technical data whose export is restricted by the
Arms Export Control Act (Title 22, U.S.C., Sec 2751, et seq.) or the Export
Administration Act of 1979 (Title 50, U.S.C., App. 2401 et seq.), as amended. Violations
of these export laws are subject to severe criminal penalties. Disseminate in accordance
with provisions of DoD Directive 5230.25.
Sanitization
As you learned earlier, when a foreign disclosure is made, the disclosure is limited to the
information necessary to meet the disclosure’s purpose. As such, foreign disclosure often
requires documents to be sanitized. Text, charts, graphs, and entire sections may need to
be removed before a document is provided to a foreign government. The relevant table of
contents and indices should also be sanitized to omit any references to the sanitized
portions of the document. If the document contains information that cannot be disclosed and
its removal is not feasible—for example, the sanitized document would not serve the
intended purpose, or it is impossible to eliminate the content that cannot be disclosed—then
the request for disclosure of that document must be denied. In addition, if an electronic form
of the document is disseminated, precautions must be taken so the foreign user cannot un-
do the changes to view the deleted layers or masters.
Transmission and Transportation
Before CMI may be disclosed to a foreign government, that government must demonstrate
intent and capability to safeguard the information. All international transfers must take place
through government-to-government channels or channels agreed upon by the governments
involved with the transfer. DoD Directive 5230.11, Disclosure of Classified Military
Information to Foreign Governments and International Organizations, stipulates the means
for ensuring proper transfer and the roles and responsibilities of the delegated disclosure
authority. DoDM 5200.01, Information Security Program, identifies the procedures and
methods for transmitting and transporting classified information to foreign governments.
Other Requirements
Foreign Disclosure Transmission and Transportation:
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• U.S. Government control and accountability of classified information or material
must be maintained from the point of origin to the ultimate destination, until it is
officially transferred to the intended recipient government through its designated
government representative
• In urgent situations, appropriately cleared U.S. Government agency employees
may be authorized to hand-carry classified material in accordance with DoDM
5200.01
• Each DoD Component entering into a contract or an international agreement that
will entail the transfer of classified information and material to a foreign
government must consult with supporting DoD transportation and security
authorities to confirm the appropriate transfer arrangements and establish
responsibilities for the transfer arrangements prior to the execution of the
agreement or contract
Review Activities
Review Activity 1
Leticia, a DDA, is determining if a foreign government meets the access requirements to
obtain the information they requested. Which of the following requirements must be met?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Foreign government is authorized to receive the information.
Foreign recipient has a need-to-know.
A security assurance has been provided on the prospective foreign recipient by their
government.
Foreign recipient receives the information at a U.S. government facility.
Review Activity 2
Select True or False for each statement. Check your answer in the Answer Key at the end of
this Student Guide.
Statement 1 of 4. Classified military information must be marked with both the proper
classification markings and control markings prior to disclosure.
True
False
Statement 2 of 4. Distribution statements include a listing of the document portions that were
extracted during sanitization.
True
False
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Statement 3 of 4. Foreign transfer of classified military information must occur within
government-to-government channels or channels agreed upon by the governments involved
with the transfer.
True
False
Statement 4 of 4. When a document is authorized for foreign disclosure, it must be disclosed
in its entirety.
True
False
Conclusion
You have completed the lesson “Protecting CMI in Foreign Disclosure.”
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Lesson 8: Practical Exercise
Introduction
Welcome to the Practical Exercise.
Here is the objective. Take a moment to review it.
• Apply the steps used to adjudicate a foreign disclosure request
Initial Disclosure Request
Scenario Introduction
This is a training scenario. All information is unclassified and fictitious.
John Smith, Army DDA, has received an email requesting a disclosure determination to
permit the sharing of SECRET GLADRAP information. This information is within the
jurisdiction of Mr. Smith’s disclosure authority. Take a moment to review the email.
To: John Smith, Army DDA
From: Amy Jones, Program Manager
Subject: Disclosure Determination
Next month, the Army is hosting a conference at the Pentagon. It will be attended by U.S.
Army personnel and representatives from the Government of Banderia. The conference
agenda includes GLADRAP - the newest global all-terrain vehicle procured and controlled
by the Army. The Army is eager to provide a briefing on the new GLADRAP vehicle to
visiting Representatives from the Government of Banderia in support of coalition operations.
The Government of Bandaria is a long standing ally with a demonstrated capability and
intent to protect U.S. classified military information, with no known compromises.
The briefing (20 slides) that we would like to display on the screen during the meeting is
attached for your review. Disclosure is consistent with the United States foreign policy and
national security objectives concerning the Government of Banderia. Please advise.
V/R,
Amy Jones
GLADRAP Program Manager
Background Information
Before John Smith can make the disclosure determination, there is additional information he
must know. After consulting the chart for Banderia in Annex A of the National Disclosure
Policy (NDP-1); the Security Classification Guide; and the Delegation of Disclosure Authority
Letter (DDL); he learns the equipment itself is unclassified; the vehicle performance
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parameters which can be derived from use are classified at the SECRET level. Annex A and
the GLADRAP DDL permit the disclosure of up to SECRET in Category 1, Category 2,
Category 5, and Category 6.
CMI
Categories
1
Operations,
Training, and
Employment of
Military Forces
2
U.S.
Military
Materiel
and
Munitions
3
Applied
Research and
Development
Information
and
Materiel
4
Production
Information
5
Combined
Military
Operations,
Planning, and
Readiness
6
U.S. Order of
Battle
Information
7
North
American
Defense
8
Military
Intelligence
Banderia
(BAN)
TS TS TS TS
GLADRAP Security Classification Guide
Subject Matter Classification Level
Equipment itself UNCLASSIFIED
Vehicle performance parameters
that may be derived from use
SECRET
TITLE: GLADRAP DDL DATE: 6 July 20XX
1. DELEGATED DISCLOSURE AUTHORITY LEVEL: Up to SECRET
2. DISCLOSURE METHODS: Oral, visual, or documentary.
3. CATEGORIES PERMITTED: Category 1, Category 2, Category 5, Category 6.
Disclosure Authority
Does John Smith, the Army DDA, have the authority to make the disclosure decision
regarding the GLADRAP briefing?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Yes
No
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March 2018 Center for Development of Security Excellence Page 8-3
CMI Category
The foreign disclosure request Mr. Smith is considering involves providing information
related to a defense article to a foreign government. Under which CMI category does this
fall?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
Disclosure is consistent with United States military and security objectives.
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Refer to the Notional NDP-1 Annex A on page 8-2, if needed. Select the best response.
Check your answer in the Answer Key at the end of this Student Guide.
Yes
No
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Disclosure Methods
Which methods of disclosure should Mr. Smith approve?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Visual
Oral
Documentary
Second Disclosure Request
Scenario Update
Mr. Smith received another email regarding the GLADRAP briefing.
To: John Smith, Army DDA
From: Amy Jones, Program Manager
Subject: GLADRAP Disclosure: Additional Request
Thank you for approving the disclosure of the GLADRAP briefing to the Government of
Banderia. We would like to expand the original briefing to include technical data and training
necessary to operate, maintain and support the GLADRAP. We would also like to print out
the briefing and provide copies to the Government representatives. Please advise.
V/R,
Amy Jones
GLADRAP Program Manager
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Yes
No
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CMI Category
Under which CMI category does this request fall?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
Disclosure is consistent with United States military and security objectives.
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Refer to the Notional NDP-1 Annex A on page 8-2, if needed. Select the best response.
Check your answer in the Answer Key at the end of this Student Guide.
Yes
No
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Disclosure Methods
Which method of disclosure should Mr. Smith approve?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Visual
Oral
Documentary
Third Disclosure Request
Scenario Update
Following the conference, Mr. Smith receives another email regarding the tremendous
response to the GLADRAP briefing.
To: John Smith, Army DDA
From: Amy Jones, Program Manager
Subject: GLADRAP Disclosure: Additional Request
The briefing was well received resulting in requests for additional SECRET information.
Even though GLADRAP is new, the Army would like to share information regarding the
GLADRAP II, the next generation, which is under development by U.S. private interests as a
result of an Army contract. They want to share design changes affecting qualitative
performance to include general operational requirements and engineering data. Please
advise.
V/R,
Amy Jones
GLADRAP Program Manager
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Yes
No
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CMI Category
Under which CMI category does this request fall?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
Disclosure is consistent with United States military and security objectives.
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Refer to the Notional NDP-1 Annex A on page 8-2, if needed. Select the best response.
Check your answer in the Answer Key at the end of this Student Guide.
Yes
No
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March 2018 Center for Development of Security Excellence Page 8-8
Next Course of Action
Because the disclosure falls outside the approved CMI categories, Mr. Smith’s next course
of action is to contact the Army Principal Disclosure Authority (PDA) for guidance.
Select True or False. Check your answer in the Answer Key at the end of this Student
Guide.
True
False
Fourth Disclosure Request
Scenario Update
Mr. Smith is attending a meeting when the topic of increased interest in the GLADRAP is
discussed. Several opportunities to share classified military information with the Government
of Bandaria, a valued coalition partner, are discussed.
Meeting Notes
Increased interest in the GLADRAP
Several opportunities exist to share classified military information with the Government of
Banderia, a valued coalition partner
Can we share manufacturing information, know-how, techniques, and processes required to
produce the GLADRAP?
Is a disclosure determination needed?
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Yes
No
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March 2018 Center for Development of Security Excellence Page 8-9
CMI Category
Under which CMI category does this request fall?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Select all that apply. Check your answer in the Answer Key at the end of this Student Guide.
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
Disclosure is consistent with United States military and security objectives.
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Refer to the Notional NDP-1 Annex A on page 8-2, if needed. Select the best response.
Check your answer in the Answer Key at the end of this Student Guide.
Yes
No
Final Disclosure Request
Scenario Update
Mr. Smith receives another message from Ms. Jones regarding an additional request.
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March 2018 Center for Development of Security Excellence Page 8-10
To: John Smith, Army DDA
From: Amy Jones, Program Manager
Subject: GLADRAP Disclosure: Request from Babilu
I received an official letter from the new Government of Babilu requesting CMI related to
GLADRAP. The Army would like to provide the briefing; however, we understand their
government is new and the U.S. does not yet have a foreign policy in place with regards to
Babilu nor does the U.S. have insight into their security practices. Please advise.
V/R,
Amy Jones
GLADRAP Program Manager
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Yes
No
CMI Category
Under which CMI category does this request fall?
Based on the information provided, select the most appropriate category. Note there is only
one correct answer. Select the best response. Check your answer in the Answer Key at the
end of this Student Guide.
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
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Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Select the best response. Check your answer in the Answer Key at the end of this Student
Guide.
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
Disclosure is consistent with United States military and security objectives.
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States.
None of the above.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Refer to the Notional NDP-1 Annex A on page 8-2, if needed. Select the best response.
Check your answer in the Answer Key at the end of this Student Guide.
Yes
No
Conclusion
You have completed the “Practical Exercise.”
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Lesson 9: Course Conclusion
Conclusion
Course Summary
In this course, you learned about National Disclosure Policy criteria and requirements, the
means and methods used in foreign disclosure, and about the steps needed to adjudicate a
foreign disclosure decision.
Lesson Review
Here is a list of the lessons in the course.
• Lesson 1: Course Introduction
• Lesson 2: Overview of Foreign Disclosure
• Lesson 3: Foreign Disclosure Conditions and Requirements
• Lesson 4: Foreign Disclosure Means and Methods
• Lesson 5: International Agreements
• Lesson 6: Foreign Disclosure Process
• Lesson 7: Protecting CMI in Foreign Disclosure
• Lesson 8: Practical Exercise
• Lesson 9: Course Conclusion
Lesson Summary
Congratulations! You have completed the Foreign Disclosure Training for DoD course.
You should now be able to perform all of the listed activities.
• Identify and define the categories of Classified Military Information (CMI)
• Identify the policies that govern foreign disclosure
• Identify the information protection principles related to disclosure and release of CMI
• Identify disclosure criteria, limitations, and requirements
• Identify the various means of foreign disclosure of CMI
• Identify fundamental foreign disclosure process determinations
• Apply the steps used to adjudicate a disclosure request
To receive course credit, you must take the Foreign Disclosure Training for DoD
examination. If you accessed the course through the Security Training, Education, and
Professionalization Portal (STEPP), please use that system to register for the online exam.
Otherwise, select the Take Exam button on the last screen of the course to take the online
exam and receive your certificate.
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Appendix A: Answer Key
Lesson 2 Review Activities
Review Activity 1
Question 1 of 8: Through the Foreign Military Sales process, the U.S. sells some fighter
aircraft, along with their associated classified components and technical data, to a friendly
foreign nation. What Category of CMI is the equipment and data?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions (correct response)
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: This is an example of Category 2 CMI, Military Materiel and Munitions.
Question 2 of 8: In support of a coalition operation, a coalition partner asks the U.S. for
classified order of battle information about the forces of another coalition partner. What
Category of CMI is this information?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness (correct
response)
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: This is an example of Category 5 CMI, Combined Military Operations, Planning,
and Readiness.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-2
Question 3 of 8: The U.S. discloses classified radar track data on unidentified flying objects
entering U.S. airspace. What Category of CMI is this data?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense (correct response)
Category 8: Military Intelligence
Feedback: This is an example of Category 7 CMI, North American Defense.
Question 4 of 8: To support the training of a foreign special operations unit, the U.S.
provides a classified tactics manual used to train U.S. military forces. What Category of CMI
is the manual?
Category 1: Organization, Training, and Employment of Military Forces (correct
response)
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: This is an example of Category 1 CMI, Organization, Training, and Employment
of U.S. Military Forces.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-3
Question 5 of 8: The foreign ally involved in the joint research project on new radar search
techniques now enters into co-production program with the U.S. to build a new radar
system, and requests copies of the classified U.S. design blueprints for the new system.
What Category of CMI is this data?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information (correct response)
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: This is an example of Category 4 CMI, Production Information.
NOTE: The data owner would have to request an Exception to NDP-1, approved by the
NDPC, to disclose this information because there is no delegated disclosure authority for
Category 4 CMI for any nation.
Question 6 of 8: Due to a regime change, the once-friendly nation that received U.S.-built
fighter aircraft under a Foreign Military Sales case has become hostile to U.S. interests, and
the U.S. now needs to disclose classified information on the current capabilities of those
fighter aircraft to our allies. What Category of CMI is this information?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence (correct response)
Feedback: This is an example of Category 8 CMI, Military Intelligence.
NOTE: Even though the U.S. originally built the aircraft, once they enter the inventory of the
foreign nation, any classified information about their capabilities becomes Category 8 CMI.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-4
Question 7 of 8: U.S. military aircraft are stationed in the allied country of Bandaria. The U.S.
provides Bandaria with classified information on the numbers and types of aircraft deployed
at various airbases in Bandaria. What Category of CMI is this information?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle (correct response)
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: This is an example of Category 6 CMI, U.S. Order of Battle.
Question 8 of 8: A foreign ally involved in a joint research project on new radar search
techniques requests classified U.S. data. What Category of CMI is this data?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel (correct
response)
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: This is an example of Category 3 CMI, Applied Research and Development
Information and Materiel.
Review Activity 2
Statement 1 of 3: Requires appointment, in writing, of disclosure authorities and recording of
disclosure determinations
AECA
DoDD 5230.11 (correct response)
NDP-1
Feedback: DoDD 5230.11 requires appointment, in writing, of disclosure authorities and
recording of disclosure determinations.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-5
Statement 2 of 3: Contains the procedures for disclosure of U.S. classified military
information to foreign governments and international organizations
AECA
DoDD 5230.11
NDP-1 (correct response)
Feedback: National Disclosure Policy (NDP-1) contains the procedures for disclosure of
U.S. classified military information to foreign governments and international organizations.
Statement 3 of 3: Governs the export of defense articles and services and related technical
data and is the legal basis for most international activities
AECA (correct response)
DoDD 5230.11
NDP-1
Feedback: The Arms Export Control Act (AECA) governs the export of defense articles and
services and related technical data and is the legal basis for most international activities.
Review Activity 3
Susan, a Designated Disclosure Authority (DDA), issues a Delegation of Disclosure
Authority Letter (DDL) to a subordinate Foreign Disclosure Office. Which of the following
should the DDL explain?
Classification levels (correct response)
Foreign Government Information (FGI)
Scope (correct response)
Information authorized and not authorized to disclose (correct response)
Feedback: The DDL contains classification levels, scope, and Information authorized and
not authorized to disclose.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-6
Lesson 3 Review Activities
Review Activity 1
Maria, a DDA, is considering four foreign disclosure requests. Which of these may be
authorized for foreign disclosure IAW NDP-1, assuming all disclosure criteria are met?
Statement 1 of 4. Request 1 includes proprietary information.
May be authorized
Excluded from NDP-1 (correct response)
Feedback: NDP-1 does not govern the foreign disclosure of proprietary information.
Statement 2 of 4. Request 2 includes classified military information (CMI).
May be authorized (correct response)
Excluded from NDP-1
Feedback: NDP-1 governs the foreign disclosure of classified military information.
Statement 3 of 4. Request 3 includes information related to strategic planning and guidance.
May be authorized
Excluded from NDP-1 (correct response)
Feedback: NDP-1 does not govern information related to strategic planning and guidance.
Disclosure of any information identified by the Chairman of the Joint Chiefs of Staff as
pertaining to or involving strategic war plans may be authorized only by the Secretary of
Defense, his Deputy, or the Chairman of the Joint Chiefs of Staff.
Statement 4 of 4. Request 4 includes operational counterintelligence information.
May be authorized
Excluded from NDP-1 (correct response)
Feedback: NDP-1 does not govern the foreign disclosure of counterintelligence information.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-7
Review Activity 2
When Maria considers the foreign disclosure request for the CMI, which of the following
criteria must be met in order for the disclosure to be authorized?
The disclosure must clearly benefit the U.S. (correct response)
The disclosure must be consistent with U.S. foreign policy. (correct response)
The disclosure must meet military objectives. (correct response)
The foreign recipient must protect the information substantially the same as the
United States. (correct response)
The disclosure must be limited to the necessary information. (correct response)
Feedback: In order to be authorized for foreign disclosure, all of these conditions must be
met.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-8
Lesson 4 Review Activities
Review Activity
Jack, a DDA, receives a question about foreign disclosure modes. What does oral and
visual disclosure include?
All briefings, discussions, presentations, or recordings that include foreign
participation
All briefings, discussions, presentations, or recordings that transfer knowledge or
information about classified material to a foreign government (correct response)
All briefings, discussions, presentations, or recordings that transfer knowledge or
information about classified material regardless of participation
Feedback: Oral and visual disclosure includes all briefings, discussions, presentations, or
recordings that transfer knowledge or information about classified material to a foreign
government.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-9
Lesson 5 Review Activities
Review Activity 1
For which of the following do international agreements set the terms and conditions?
Joint research, development, test and evaluation (RDT&E) (correct response)
Joint production (correct response)
All foreign visits
Information and personnel exchanges (correct response)
Feedback: International agreements set the terms and conditions of joint RDT&E, joint
production, and information and personnel exchanges.
Review Activity 2
Statement 1 of 4. International agreements must be in writing.
True
False (correct response)
Feedback: In addition to written agreements, any oral agreement that meets the criteria is
also an international agreement.
Statement 2 of 4. Approval authority over international agreements may be delegated.
True (correct response)
False
Feedback: Approval authority over international agreements may be delegated.
Statement 3 of 4. International agreements involving classified military information must be
consistent with NDP-1.
True (correct response)
False
Feedback: International agreements involving classified military information must be
consistent with NDP-1.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-10
Statement 4 of 4. An international agreement is always required before sharing any U.S.
CMI.
True
False (correct response)
Feedback: Delegated disclosure authority is required, but not necessarily an international
agreement.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-11
Lesson 6 Review Activities
Review Activity 1
Statement 1 of 3. Foreign disclosure determinations should consider foreign availability.
True (correct response)
False
Feedback: Foreign availability may decrease the implications of providing U.S. systems.
Statement 2 of 3. Foreign disclosure must support a lawful and authorized U.S. Government
purpose.
True (correct response)
False
Feedback: Foreign disclosure must support a lawful and authorized U.S. Government
purpose.
Statement 3 of 3. Foreign disclosure of classified military information is made by the
originator or controlling agency.
True (correct response)
False
Feedback: Foreign disclosure of classified military information is made by the originator or
controlling agency.
Review Activity 2
Jack, a DDA, is using SPAN to assist with a foreign disclosure determination. What
information can Jack find in SPAN?
Classified disclosure decisions
Decisions on foreign visitors, exchange personnel, and foreign liaison officers
(correct response)
Original classification determinations
National Disclosure Policy Committee records of action (RAs) (correct response)
Feedback: SPAN contains decisions on foreign visitors, exchange personnel, and foreign
liaison officers; and National Disclosure Policy Committee records of action (RAs).
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-12
Lesson 7 Review Activities
Review Activity 1
Leticia, a DDA, is determining if a foreign government meets the access requirements to
obtain the information they requested. Which of the following requirements must be met?
Foreign government is authorized to receive the information. (correct response)
Foreign recipient has a need-to-know. (correct response)
A security assurance has been provided on the prospective foreign recipient by their
government. (correct response)
Foreign recipient receives the information at a U.S. government facility.
Feedback: The foreign government must be authorized to receive the information. The
foreign recipient must have a need-to-know and proper security assurance.
Review Activity 2
Statement 1 of 4. Classified military information must be marked with both the proper
classification markings and control markings prior to disclosure.
True (correct response)
False
Feedback: CMI must be marked with both the proper classification markings and control
markings prior to disclosure.
Statement 2 of 4. Distribution statements include a listing of the document portions that were
extracted during sanitization.
True
False (correct response)
Feedback: Distribution statements contain the authorized audience, reason for restriction,
DoD Controlling Office (DCO), and date of publication.
Statement 3 of 4. Foreign transfer of classified military information must occur within
government-to-government channels or channels agreed upon by the governments involved
with the transfer.
True (correct response)
False
Feedback: Foreign transfer of classified military information must occur within government-
to-government channels or channels agreed upon by the governments involved with the
transfer.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-13
Statement 4 of 4. When a document is authorized for foreign disclosure, it must be disclosed
in its entirety.
True
False (correct response)
Feedback: Foreign disclosure is limited to the information necessary to the meet the
disclosure’s purpose. In many cases, this requires portions of the document to be redacted
or sanitized.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-14
Lesson 8 Initial Disclosure Request
Disclosure Authority
Does John Smith, the Army DDA, have the authority to make the disclosure decision
regarding the GLADRAP briefing?
Yes (correct response)
No
Feedback: Mr. Smith is the Army DDA and has authority to make this disclosure
determination.
CMI Category
The foreign disclosure request Mr. Smith is considering involves providing information
related to a defense article to a foreign government. Under which CMI category does this
fall?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions (correct response)
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: The requested CMI falls under Category 2.
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
(correct response)
Disclosure is consistent with United States military and security objectives. (correct
response)
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States. (correct response)
Feedback: The disclosure meets all of these requirements.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-15
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Yes (correct response)
No
Feedback: The requested information is both within the scope of National Disclosure Policy
and within the scope of Mr. Smith’s authority.
Disclosure Methods
Which methods of disclosure should Mr. Smith approve?
Visual (correct response)
Oral (correct response)
Documentary
Feedback: This disclosure is approved for visual and oral methods.
Lesson 8 Second Disclosure Request
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Yes (correct response)
No
Feedback: Mr. Smith is the Army DDA and has authority to make this disclosure
determination.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-16
CMI Category
Under which CMI category does this request fall?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions (correct response)
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: The requested CMI falls under Category 2.
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
(correct response)
Disclosure is consistent with United States military and security objectives. (correct
response)
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States. (correct response)
Feedback: The disclosure meets all of these requirements.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Yes (correct response)
No
Feedback: The requested information is both within the scope of National Disclosure Policy
and within the scope of Mr. Smith’s authority.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-17
Disclosure Methods
Which method of disclosure should Mr. Smith approve?
Visual
Oral
Documentary (correct response)
Feedback: This disclosure is approved for documentary methods.
Lesson 8 Third Disclosure Request
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Yes (correct response)
No
Feedback: Mr. Smith is the Army DDA and has authority to make this disclosure
determination.
CMI Category
Under which CMI category does this request fall?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel (correct
response)
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: The requested CMI falls under Category 3.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-18
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
(correct response)
Disclosure is consistent with United States military and security objectives. (correct
response)
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States. (correct response)
Feedback: The disclosure meets all of these requirements.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Yes
No (correct response)
Feedback: The requested information is outside of the scope of both Annex A and the DDL.
Annex A and the GLADRAP DDL do not authorize disclosure of CMI Category 3.
Next Course of Action
Because the disclosure falls outside the approved CMI categories, Mr. Smith’s next course
of action is to contact the Army Principal Disclosure Authority (PDA) for guidance.
True (correct response)
False
Feedback: Mr. Smith’s next course of action is to contact the Army Principal Disclosure
Authority (PDA) for guidance.
Lesson 8 Fourth Disclosure Request
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Yes (correct response)
No
Feedback: Mr. Smith is the Army DDA and has authority to make this disclosure
determination.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-19
CMI Category
Under which CMI category does this request fall?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information (correct response)
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: The requested CMI falls under Category 4.
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
(correct response)
Disclosure is consistent with United States military and security objectives. (correct
response)
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States. (correct response)
Feedback: The disclosure meets all of these requirements.
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Yes
No (correct response)
Feedback: The requested information is outside of the scope of Annex A and the
GLADRAP DDL. Effective 6 September 1983, all delegated authority to disclose classified
Category 4 Production Information was canceled. Disclosure programs initiated after this
date will be submitted to the National Disclosure Policy Committee (NDPC) for approval as
exceptions to Policy.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-20
Lesson 8 Final Disclosure Request
Disclosure Authority
Does Mr. Smith, the Army DDA, have the authority to make the disclosure decision
regarding this additional request?
Yes (correct response)
No
Feedback: Mr. Smith is the Army DDA and has authority to make this disclosure
determination.
CMI Category
Under which CMI category does this request fall?
Category 1: Organization, Training, and Employment of Military Forces
Category 2: Military Materiel and Munitions (correct response)
Category 3: Applied Research and Development Information and Materiel
Category 4: Production Information
Category 5: Combined Military Operations, Planning, and Readiness
Category 6: U.S. Order of Battle
Category 7: North American Defense
Category 8: Military Intelligence
Feedback: The requested CMI falls under Category 2.
Disclosure Criteria
Which of the following criteria does the disclosure satisfy?
Disclosure is consistent with United States foreign policy and national security
objectives concerning the recipient foreign government or international organization.
Disclosure is consistent with United States military and security objectives.
The foreign recipient of the information will afford it substantially the same degree of
security protection given it by the United States.
None of the above. (correct response)
Feedback: This request does not meet any of the criteria.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page A-21
Disclosure Determination
After reviewing the information, can Mr. Smith approve the disclosure?
Yes
No (correct response)
Feedback: The DDA cannot approve disclosure because all criteria are not met.
Foreign Disclosure Training for DoD Student Guide
March 2018 Center for Development of Security Excellence Page B-1
Appendix B: Job Aids
The following course job aids are on the pages that follow:
• National Disclosure Policy Exclusions Job Aid
• Delegation of Disclosure Authority Letter (DDL) Job Aid
• Foreign Disclosure and Release of Classified Intelligence Information Job Aid
• NDP-1 Disclosure Criteria, Conditions, and Limitations Job Aid
• Requests for Exceptions to National Disclosure Policy
• Foreign Disclosure Request Adjudication Process Job Aid
Job Aid: National Disclosure Policy Exclusions
Foreign Disclosure Training for DoD
NDP Excludes:
Description:
Prohibited by Law or
Agreement
Classified information that’s disclosure is prohibited by Federal law or
international agreement.
Proprietary Information
Proprietary information owned by private firms or citizens. If release is
authorized by legislation, that legislation will govern the release.
National Intelligence
National Intelligence which cannot be disclosed without authorization of the
Director of National Intelligence (DNI) or the IC agency that originated the
information in accordance with applicable policies.
Counterintelligence
Operational counterintelligence information, the disclosure of which is the
responsibility of the Director of National Intelligence (DNI).
Strategic Planning and
Guidance
Only the Secretary of Defense or the Deputy Secretary of Defense may
authorize the disclosure of this information. Disclosure of any information
identified by the Chairman of the Joint Chiefs of Staff as pertaining to or
involving strategic war plans may be authorized only by the Secretary of
Defense, his Deputy, or the Chairman of the Joint Chiefs of Staff.
Naval Nuclear
Propulsion Information
Nuclear propulsion information, except under an agreement negotiated
pursuant to the Atomic Energy Act of 1954, as amended.
National Security
Telecommunications
and Information
The National Security Telecommunications and Information Systems Security
Committee is authorized to make disclosures of classified national security
telecommunications and information systems security equipment and
information without referral to the National Disclosure Policy Committee
(NDPC).
Atomic Information
Disclosures of which are made in accordance with the Atomic Energy Act of
1954. The Joint Atomic Information Exchange Group is responsible for
reviewing these releases.
Narcotics Intelligence
Pertains to the collection, analysis, and dissemination of narcotics related
information. Such disclosures are made IAW the policies and directives of
DoD, Intelligence Community Members, and law Enforcement Agencies for
information under their cognizance.
1
Job Aid: Delegation of Disclosure Authority Letter (DDL)
Foreign Disclosure Training for DoD
The following sample DDL format is used by DoD Components. Elements identified are
provided in the general order shown, and information is presented in the clearest and easiest-to-
use manner. For example, the usefulness of the DDL for complex systems is enhanced if
“Authorized for Disclosure” and “Not Authorized for Disclosure” are broken out by major
subsystems and software and disclosures for each are discussed separately.
TITLE: DATE:
1. COUNTRIES: Identify the countries or international organizations covered under the DDL.
2. CLASSIFICATION and CATEGORIES PERMITTED: Identify highest classification of
information to be disclosed and specify the NDP-1 categories for disclosure.
3. DISCLOSURE METHODS: e.g., oral, visual, or documentary.
4. SCOPE: Specify who is authorized to release material or information, to whom disclosure is
authorized, and the purpose of the disclosure (e.g., to support a foreign military sales case,
a cooperative development program, etc.).
5. AUTHORIZED FOR DISCLOSURE: Describe materiel and/or information that can be
disclosed.
6. NOT AUTHORIZED FOR DISCLOSURE: Describe materiel or information that cannot be
disclosed. In addition to providing specific descriptions of disclosable and restricted materiel
and information, items f. and g. will also specify any imposed conditions or limitations (e.g.,
time-phasing of release, allowable forms for software, identification of items releasable only
as finished, tested assemblies, etc.)
7. PROCEDURES: Specify review and release procedures, special security procedures, or
protective measures to be imposed.
8. REDELEGATION: Specify the extent of redelegation of authority (if any) permitted to
subordinate activities.
Note: Use the NDP-1 Security Classification Guide (SCG) to determine the classification of
paragraphs b. and c. The classification of paragraphs f. and g. is dependent on specific
technology or system SCGs, or other classified documents.
1
Job Aid: Foreign Disclosure and Release of Classified Intelligence
Information
Foreign Disclosure Training for DoD
Intelligence Community Directive (ICD) 403 provides foreign disclosure and release
requirements for the Intelligence Community (IC).
Definitions
NDP-1: Disclosure is the process by which classified information is made available
through approved channels to an authorized representative of a foreign government or
international organization. There are three disclosure methods: oral, visual, and
documentary. Documentary disclosures result in the transmission of classified
information in any written or recorded format. The Disclosure Authority will determine
which disclosure methods are necessary to effect the U.S. purpose for such disclosure.
For the Intelligence Community, disclosure and release are defined as follows:
Disclosure: Displaying or revealing classified intelligence whether orally, in writing, or in
any other medium to an authorized foreign recipient without providing the foreign
recipient a copy of such information for retention (ICD 403)
Release: The provision of classified intelligence, in writing or any other medium, to
authorized foreign recipients for retention (ICD 403)
IC Foreign Disclosure Roles
Senior Foreign Disclosure and Release Authority (SFDRA):
• The senior civilian or military official(s) within an IC element designated in writing by an IC
element head as responsible for that element's disclosure and release program and other
U.S. Government officials as may be designated by the DNI.
• SFDRAs are designated by position (rather than by name)
Foreign Disclosure and Release Officer (FDRO):
• IC element personnel to whom a SFDRA has delegated in writing the authority to approve or
deny requests for authorization to disclose and release intelligence under that SFDRA's
jurisdiction or as authorized by the disclosure or release markings on the intelligence
information.
Job Aid: Foreign Disclosure and Release of Classified Intelligence Information
Foreign Disclosure Training for DoD
2
Control Markings
RELIDO
The control marking RELEASABLE BY INFORMATION DISCLOSURE OFFICIAL (RELIDO) is
only used in conjunction with intelligence. By using this control marking, the originator indicates
that he/she authorizes designated disclosure authorities in other Departments or Agencies to
make further release determinations in accordance with existing foreign disclosure policies,
guidance, and procedures. RELIDO may be used independently or in conjunction with REL TO.
SECRET//RELIDO
(S//RELIDO) This is the marking for a portion that is classified SECRET which the originator has
determined is RELEASABLE BY INFORMATION DISCLOSURE OFFICIAL. This marking
explicitly states that a DIDO, or designee(s), may disclose the material in accordance with existing
foreign disclosure policy and procedures.
(S//REL TO USA, AAA, BBB/RELIDO) This is the marking for a portion that is classified SECRET
which the originator has made a release determination for the listed countries. RELIDO allows a
DIDO, or designee(s), to make the decision to further disclose the information to other countries.
(U) The RELIDO marking is carried in the banner line because it is stated in all portions.
Classified by: Jane Jones, Pgm Mgr
Derived From: Memorandum XYZ, Dated 20071215
Declassify On: 20171231
SECRET//RELIDO
NOFORN
The control marking NOT RELEASABLE TO FOREIGN NATIONALS (NOFORN) is authorized
for use on intelligence and intelligence-related information and products under the purview of
the Director of National Intelligence (DNI), in accordance with DNI policy.
NOFORN indicates that the information cannot be released or disclosed in its original form.
However, a releasable version can be requested, and if approved by the originator, a modified
version of the material with the appropriate release markings can be produced.
NOFORN cannot be used in the banner line with RELIDO. When both do appear, NOFORN
takes precedence.
TOP SECRET//ORCON//NOFORN
(TS//OC/NF) This is the marking for a portion which is classified as TOP SECRET ORIGINATOR
CONTROLLED. In accordance with ICD 710, a foreign disclosure marking (NOFORN) is included.
This portion is marked for training purposes only.
Classified by: Jane Jones, Pgm Mgr
Derived From: Memorandum XYZ, Dated 20071215
Declassify On: 20171231
TOP SECRET//ORCON//NOFORN
Source: DoDD 5230.11, Enclosure 2 1
Job Aid: NDP-1 Disclosure Criteria, Conditions, and Limitations
Foreign Disclosure Training for DoD
Disclosure Criteria. Disclosures of classified military information in Categories 1 through 8
defined may be made only when all of the criteria listed in below, are satisfied. Disclosures in
Category 8 also must be in compliance with DoD Directive C-5230.23.
• Disclosure is consistent with U.S. foreign policy and national security objectives
concerning the proposed recipient foreign government; for example:
o The recipient government cooperates with the United States in pursuance of
military and political objectives that are compatible with those of the United
States.
o A specific U.S. national purpose, diplomatic or military, will be served.
o The information will be used in support of mutual defense and security
objectives.
• Disclosure is consistent with U.S. military and security objectives; for example:
o Disclosures of advanced technology, if compromised, will not constitute an
unreasonable risk to the U.S. position in military technology and operational
capabilities, regardless of the intended recipient.
o The proposed disclosure reflects the need for striking a proper balance between
pursuit of our mutual defense and foreign policy objectives on the one hand and
the preservation of the security of our military secrets on the other.
• The foreign recipient of the information will afford it substantially the same degree of
security protection given to it by the United States. (The intent of a foreign government to
protect U.S. classified military information is established in part by the negotiation of a
General Security of Information Agreement or other similar security arrangement. A
foreign government's capability to protect U.S. classified military information normally is
determined by the evaluation of embassy security assessments, Central Intelligence
Agency risk assessments, National Military Information Disclosure Policy Committee
(NDPC) Security Survey Reports, and/or historical precedence.)
• Disclosures will result in benefits to the United States at least equivalent to the value of
the information disclosed; for example:
o The United States obtains information from the recipient nation on a quid pro quo
basis.
o The exchange of military information or participation in a cooperative project will
be advantageous to the United States from a technical or other military viewpoint.
o The development or maintenance of a high level of military strength and
effectiveness on the part of the government receiving the information will be
advantageous to the United States.
• The disclosure is limited to information necessary to the purpose for which disclosure is
made. For example, if the purpose of the disclosure is the sale of military equipment,
information on operation, maintenance, and training would be released. Research and
development data, or production know-how, must be withheld.
Job Aid: NDP-1 Disclosure Criteria, Conditions, and Limitations
Foreign Disclosure Training for DoD
Source: DoDD 5230.11, Enclosure 2 2
Disclosure Conditions. After a decision is made to disclose classified military information to a
foreign government or international organization, based on the criteria listed above, or an
exception to policy, release of the classified military information will be contingent upon
agreement by the recipient foreign government that the listed minimal conditions listed below
will be met. The conditions normally are satisfied by the provisions of existing General Security
of Information Agreements. When a General Security of Information Agreement does not exist,
the conditions may be included in a program-specific agreement, government contract, or
similar arrangement.
• The information or acknowledgment of its possession will not be revealed to a third-
country government, organization, or person, except with the prior written permission of
the originating U.S. Department Agency.
• The information will be afforded substantially the same degree of security protection
afforded to it by the United States.
• The information will be used only for designated military purposes, or other specified
purposes.
• The recipient will report promptly and fully to U.S. authorities any known or suspected
compromise of U.S. classified military information released to it.
• All individuals and facilities that will have access to the classified military information and
materiel will have security clearances granted by their government at a level equal to
that of the classified information involved and an official need-to-know.
• The information will be transferred through government-to government channels.
• Security experts of each government will be permitted to visit the other government,
when mutually convenient, to review and discuss each other's policies and practices for
protecting classified information.
• The recipient of the information agrees to abide by or meet U.S.-specified special terms
and conditions for the release of U.S. information or materiel.
Job Aid: NDP-1 Disclosure Criteria, Conditions, and Limitations
Foreign Disclosure Training for DoD
Source: DoDD 5230.11, Enclosure 2 3
Disclosure Limitations
General Limitations. Nothing in this DoDD 5230.11 shall be construed so as to allow the
disclosure of the following types of information:
• Prohibited by Law or Agreement. Classified information, the disclosure of which is
prohibited by Federal law or by any international agreement to which the United States is
a party.
• Naval Nuclear Information. Any naval nuclear propulsion information, classified or
unclassified, except under an agreement negotiated pursuant to the Atomic Energy Act
of 1954, as amended.
• Proprietary Information. Classified or unclassified proprietary information, the rights to
which are owned by private firms or citizens (i.e., patents, copyrights, or trade secrets)
without the owner's consent, unless such disclosure is authorized by relevant legislation,
and then release will be subject to such legislation.
• National Intelligence. National Intelligence or interdepartmental intelligence produced
within the National Foreign Intelligence Board (NFIB) structure. Such intelligence cannot
be disclosed without authorization of the DCI in accordance with applicable policies.
• National Security Telecommunications and Information Systems Security Information.
The National Security Telecommunications and Information Systems Security
Committee is authorized by its terms of reference to make disclosures of classified
military telecommunications and information systems security equipment and information
without reference to the NDPC.
• Counterintelligence. Operational information related to counterintelligence activities and
disclosures related thereto.
• Atomic Information. Such disclosures are made in accordance with the Atomic Energy
Act of 1954, as amended.
• Strategic Planning and Guidance. Only the Secretary of Defense or the Deputy
Secretary of Defense may authorize the disclosure of plans, concepts, or other
information about strategic war plans. Requests for such disclosure shall be submitted
through the Chairman of the Joint Chiefs of Staff.
Specifically Prohibited Disclosures. The following types of classified information are specifically
prohibited from disclosure:
• Classified information officially obtained from a foreign government, except when the
information has been conveyed by the government with express written consent to its
further disclosure.
• Combined information without prior agreement of all parties.
• Joint information without prior agreement of all Departments or Agencies having control
or jurisdiction.
• Information originated by or for another Department or Agency, unless that Department
or Agency consents to the disclosure.
• Intelligence information described in section I, subparagraph 5.c.(2) and section II,
subparagraph 5.b.(7) of NDP-1.
Source: DoDD 5230.11, Enclosure 5 1
Job Aid: Requests for Exceptions to National Disclosure Policy
Foreign Disclosure Training for DoD
Requests for an exception to policy shall contain the following elements of information:
1. A concise statement of the action proposed. Include security classification and categories of
U.S. classified military information to be disclosed. (For example: "The OUSD(A) member,
National Disclosure Policy Committee (NDPC), requests an exception to the National
Disclosure Policy to permit the disclosure of SECRET Category 3 (Applied Research and
Development Information and Materiel) information to the Government of ___________ in
support of the negotiation of a Data Exchange Agreement pertaining to surface-to-air
missiles.")
2. A precise statement of why an exception to policy is required. For example: An exception is
required because:
2.1. The level of classified information involved exceeds the classification level delegated in
Annex A of NDP-1; or
2.2. The proposed action is not in consonance with policy currently established in Annex B
or C of NDP-1; or
2.3. Certain (identify which) of the disclosure criteria or conditions listed in section II. of
NDP-1 are not fully met; or
2.4. Any or all of the above in combination.
3. An assessment of how each of the disclosure criteria and conditions in section II. of NDP-1
shall be met:
3.1. "Disclosure is consistent with the foreign policy of the United States toward the
Government of ___________." (A further detailed discussion shall be included to
substantiate this statement. Reference shall be made to Presidential, National Security
Council, or other high-level policy decisions to support the justification provided. A
simple statement such as "the recipient cooperates with the United States in pursuance
of military and political objectives" is not sufficient.)
3.2. "The military security of the United States permits disclosure." (If equipment or
technology is involved, there must be a discussion on the result of a compromise on
U.S. operational capability or the U.S. position in military technology. This discussion
shall include an analysis of the state of the art regarding the technology involved, the
susceptibility of the item to reverse engineering, the capability of the foreign recipient to
reverse engineer the item, the foreign availability of the technology or equipment
involved, and other governments to whom similar equipment or technology has been
released.)
3.3. "The foreign recipient will afford the information substantially the same degree of
security protection given to it by the United States." (If there has been an NDPC
Security Survey for the proposed recipient, the conclusion reached therein shall be
discussed. In the absence of an NDPC Security Survey, efforts shall be made to obtain,
through intelligence channels, a counterintelligence risk assessment or security analysis
of the foreign government's security capabilities. The mere statement that "classified
Job Aid: Requests for Exception to National Disclosure Policy
Foreign Disclosure Training for DoD
Source: DoDD 5230.11, Enclosure 5 2
information has been released previously to this government and there is no indication
that such information has been compromised" is not sufficient.)
3.4. "Disclosures will result in benefits to the United States at least equivalent to the value of
the information disclosed." For example:
3.4.1. The United States obtains information from the proposed recipient on a quid-pro-
quo basis, describe the information and the value to the United States;
3.4.2. Explain how the exchange of military information for participation in a cooperative
project will be advantageous to the United States from a technical or military
capability viewpoint;
3.4.3. If the development or maintenance of a high degree of military strength and
effectiveness on the part of the recipient government will be advantageous to the
United States, explain how.
3.5. "The disclosure is limited to information necessary to the purpose for which disclosure is
made." (For example, if the purpose of the request is for the sale of equipment only, it
shall be indicated clearly that research and development data or production know-how
is not to be divulged or that documentation will be sanitized.)
4. Any limitations placed on the proposed disclosure in terms of information to be disclosed,
disclosure schedules, or other pertinent caveats that may affect NDPC approval or denial of
the request. (If disclosures are to be phased or if certain information is not to be released,
the phasing or non-releasable information shall be specified.)
5. A statement that the requested exception is to be either a continuing exception, subject to
annual review, or a one-time exception. (A continuing exception usually is associated with a
long-term project, such as a co-production program or military sale when the United States
will be obligated to provide life-cycle support. A one-time exception typically is used for a
briefing or demonstration or short-term training.)
6. The names and titles of U.S. officials accredited to the requesting foreign government or
international organization with whom the proposed exception has been coordinated, as well
as the views of the Theater Commander. (Sufficient time shall be allowed to obtain an
opinion from U.S. Embassy personnel in-country and the responsible Theater Commander
before submitting the request for approval. Many cases are delayed because a U.S.
Embassy or Theater Commander opinion has not been obtained.)
7. The opinion of other interested Departments or Agencies if joint Service or shared
information is involved. (If the information or item of equipment is of shared or joint interest,
such as an air-to-air missile used by two Services or containing technology of concern to
another Service, the views of the other party will be included.)
8. Any information not mentioned above that would assist the NDPC members, the Secretary
of Defense, or the Deputy Secretary of Defense in evaluating the proposal.
9. The name and telephone number of a knowledgeable individual within the requesting
organization who can provide additional technical detail or clarification concerning the case
at issue.
10. The date a response is desired on the case. Ten full working days for NDPC case
deliberations should be allowed. The suspense date (10 full working days) is computed
starting from the first full working day after the date of the request.
Center for Development of Security Excellence Page 1
Job Aid: Foreign Disclosure Request Adjudication Process
Purpose of this job aid
This job aid provides an overview of the steps a disclosure authority must take to adjudicate a foreign
disclosure request of classified military information (CMI).
1. Process request for foreign disclosure
• Determine whether a need or request to disclose CMI exists
• Determine whether you are the disclosure authority responsible for addressing the
need or request.
o If not, determine who is
• Determine whether the request came through the appropriate channels
• Determine the level of classification of the requested information
• Determine whether the request is valid and complete.
o If not, determine whom to coordinate with
• Determine the nature of the proposed disclosure mechanism (e.g., foreign visit,
foreign military sale)
• Determine the means of disclosure (e.g., oral, visual, documentary)
2. Coordinate disclosure request with necessary proponents
• Determine the proponents (e.g., content owners, representatives of interested
agencies/bodies, technical subject matter experts) of the requested CMI
• Determine whether proponents are willing to disclose the CMI
o If yes, determine whether you have approval to disclose the CMI
• Determine the nature of limitations, challenges, and difficulties associated with the
disclosure of the CMI
• If limitations, challenges, and difficulties exist, determine whether there is a need to
coordinate modifications to the request
3. Evaluate disclosure request against delegated disclosure authority
• Determine whether the requested information is exempt from disclosure
• Determine which CMI category the request falls under
• Determine whether you have the delegated authority to disclose the requested
information
o If you do not have the authority, determine who has the authority to disclose the
requested information
Job Aid: Foreign Disclosure Request Adjudication Process
Center for Development of Security Excellence Page 2
4. Analyze disclosure request against disclosure criteria and requirements
• Analyze the request against NDP-1 disclosure criteria and requirements
o Determine whether disclosure of the requested CMI is in the interests of the U.S.
Government
o Determine whether the benefits of disclosing the CMI are at least as valuable as
the information disclosed
o Determine whether the security assurances provided by the requestor are sufficient
o Determine whether the requested information is necessary for meeting the stated
desired purpose
o Determine whether disclosure of information to the requestor is allowed by policy
• Determine whether a policy gap exists
5. Seek additional authorities, if necessary
• Determine whether there is a need to seek/request exceptions to the National
Disclosure Policy
• Determine whether there is a need to seek/request additional authority
• Determine who you need to coordinate with to seek/request an exception or additional
authority
• Determine whether you have proper documentation required to seek/request an
exception or additional authority
6. Approve or deny disclosure request for foreign disclosure
• Determine whether all the necessary steps have been taken to determine whether or
not the request can be approved or denied
• Determine whether you have authority to approve or deny the request
o If not, determine who in the chain of command needs to approve or deny the
request
o Determine whether you properly documented and recorded your
recommendation to approve or deny the request
• Determine whether you properly documented and recorded your decision to approve
or deny the request
• Determine whether you informed the appropriate people of the decision to approve or
deny the request
7. Verify recipient’s security clearance and need-to-know
• Determine whether the right people are involved in the disclosure of the requested
information to the recipient
• Determine whether the intended recipient has the necessary authorization to receive
the requested information
• Verify with the appropriate personnel (e.g., Security Personnel, Proponents) that the
intended recipient meets the requirements for receiving the requested information
Job Aid: Foreign Disclosure Request Adjudication Process
Center for Development of Security Excellence Page 3
8. Document and record disclosure decision and/or guidance
• Document and record the process and procedures used to make the determination to
disclose the requested information
o Determine whether the relevant policies are referenced
o If necessary, notify and consult with proponents
• Specify guidance, if necessary, to properly disclose the requested information
• Determine who should receive the disclosure guidance
9. Provide advice and assistance in the execution of disclosure guidance
• Determine whether the disclosure guidance provides sufficient detail to inform the
development and execution of security plans
• Determine whether or not the disclosure guidance is being applied properly
• Provide proponents advice and assistance in the execution of disclosure guidance,
as appropriate.
o Respond to requests for advice and assistance
• Determine whether you have documentation or reference materials that you can
provide proponents to assist them in execution of disclosure guidance
10. Maintain documentation and records of disclosure determination
• Maintain files that document and record disclosure determinations
o Ensure the files are readily available to inform future disclosure determinations
o Ensure the files are properly safeguarded
• Update disclosure determination documentation, as necessary.
