Student Guide: National Disclosure Policy - cdse.edu · PDF fileStudent Guide: National Disclosure Policy Page 1 of 82 Length Three (3) hours Description Understand legal basis, principles,

Student Guide: National Disclosure Policy

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Length Three (3) hours Description Understand legal basis, principles, and criteria for National Disclosure Policy (NDP-1); functions of the National Disclosure Policy Committee (NDPC); and application of NDP-1 Objectives To facilitate making an informed and correct recommendation and decision with respect to the United States Government position to disclose Classified Military Information (CMI) in any one of the eight categories of CMI POC [email protected]


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National Disclosure Policy CONTENTS

Introduction

Disclosure Authority

Classified Military Information

Disclosures Not Covered by NDP

Exceptions to National Disclosure Policy

Security Agreements and Surveys


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Introduction The National Disclosure Policy establishes the framework in which foreign disclosure decisions are made by Principal or Designated Disclosure Authorities. In making a disclosure decision these officials must assure that: a. The proposed disclosure is in support of a lawful and authorized government purpose. b. Their Component is the originator of the information. If another DoD Component or U.S. Government Department is the originator, the request or proposal must be forwarded to that Component or Department for a decision. c. The disclosure meets all disclosure criteria (see Disclosure Criteria Section).

Formal Basis for Foreign Disclosure National Security Decision Memorandum (NSDM) 119 is the basis for disclosure of classified information to foreign governments.

• Defined classified information as a national asset. • Established interagency National Disclosure

Policy Committee (NDPC). Arms Export Control Act (AECA) is the basis for export of defense articles and services for commercial and government programs.

• Foreign sales consistent with U.S. foreign policy interests.

Executive Order 12958 established Executive Branch's National Information Security Program.

• Persons authorized to disclose information assure protection.

• Transfer of classified information to third party with originator's consent.


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Introduction (cont) Officials also must assure that: d. The classification level of the CMI does not exceed the classification level that has been delegated for the subject matter category and specific nation or organization as described in Annex A, NDP-1 or Army implementing regulations or Delegation of Disclosure Authority Letter (DDL). e. The disclosure is consistent with applicable Disclosure Policy Statements. f. Other Military Departments or Defense Agencies having joint or shared interest in the information must be consulted and agree to the disclosure.

Policy Statement It is the policy of the U.S. Government to treat classified military information as a national security asset which must be conserved and protected ...

and ... to avoid creating false impressions of its readiness to make available classified military material, technology or information.

NSDM 119


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Introduction (cont) The National Disclosure Policy (NDP-1) is the policy that governs the disclosure of United States Classified Military Information (CMI) to foreign governments and international organizations. It stems from National Security Decision Memorandum (NSDM) 119. The Secretaries of State and Defense, consulting as appropriate with other Department and Agency heads, are jointly assigned the responsibility for implementing NSDM 119. NDP-1, a limited distribution classified document, is the interagency document which implements this policy. NDP-1 is issued by the Secretary of Defense with the concurrence of the Departments of State and Energy and the Central Intelligence Agency (CIA). Implementing guidance of NDP-1 is provided by DoD Directive 5230.11 "Disclosure of Classified Military Information to Foreign Governments and International Organizations".

Policy Governance Executive Order 12958 addresses classified National Security Information. National Security Decision Memorandum (NSDM) 119 "Disclosure of Classified United States Military Information to Foreign Government and International Organizations" establishes a policy that the United States Government treat classified information as a national security asset. National Disclosure Policy -1 (NDP-l) is the policy that governs the disclosure of United States Classified Military Information (CMI) to foreign governments and international organizations. Implementing guidance of NDP-l is provided by DoD Directive 5230.11 "Disclosure of Classified Military Information to Foreign Governments and International Organizations". Army Regulation (AR) 380-10 "Foreign Disclosure and Contacts with Foreign Representatives" implements DoD Directive 5230.11 for the U.S. Army.


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National Disclosure Policy Authority

Establishing National Disclosure Policy resides within the Executive Branch of the U.S. Government. The Secretary of State, Secretary of Defense, Director of National Intelligence, Secretary of Energy, and other Departments and Agencies report to the National Security Council on National Disclosure Policy issues. In addition, a National Disclosure Policy Committee is formed with members from each of the Military Departments and the Joint Chiefs of Staff.


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National Disclosure Policy Authority (cont) The Authority for Disclosure is as follows: 1. The Secretary of Defense and the Deputy Secretary of Defense hold original authority to disclose classified military information (CMI) and grant exceptions to disclosure policy. 2. The Secretary of Defense, through DoD Directive 5230.11, has delegated authority to the following DoD officials to disclose CMI originated by their organizations. a. The Secretaries of the Military Departments. b. The Chairman of the Joint Chiefs of Staff. c. The Under Secretary of Defense for Policy. d. The Under Secretary of Defense for Acquisition, Technology and Logistics.

e. The Assistant Secretary of Defense for Networks and Information Integration. f. The Director, Defense Intelligence Agency. g. The Director, National Security Agency/Central Security Service. h. The Under Secretary of Defense for Intelligence. i. The Director, National Geo-Spatial Intelligence Agency j. The Director, National Reconnaissance Office


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National Disclosure Policy Authority (cont) 3. Each of these officials must appoint a senior official in writing to be the Principal Disclosure Authority (PDA) within that Component. The PDA for the U.S. Army is the Deputy Chief of Staff, G-2. The officials or their PDA may also delegate disclosure authority to the heads of commands, agencies and major staff elements under their authority. These heads of commands, agencies and major staff elements must then in turn appoint a Designated Disclosure Authority to control disclosures of CMI by his or her organization.


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National Disclosure Policy Authority (cont) 4. Principal Disclosure Authorities are responsible for: a. Controlling disclosures within their respective Component. b. Ensuring the competency of subordinate officials appointed as designated disclosure officials. c. Ensuring coordination of their proposed disclosure actions with other DoD Components having a joint or shared interest in the information. d. Appointing a member and alternate to represent their Component on the National Military Information Disclosure Policy Committee (NDPC).

e. Ensuring that their Component enters disclosure decisions into the Security Policy Automation Network (SPAN). f. Coordinating requests for disclosures of CMI involved in litigation with the DoD or Component General Counsel, as appropriate. g. Ensuring that persons traveling overseas receive disclosure guidance and are knowledgeable of and comply with the current overseas travel policy.


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National Disclosure Policy Authority (cont) 5. The delegation of disclosure authority must be in writing and clearly state the limits of the authority. The means of delegating disclosure authority normally is by a Delegation of Disclosure Authority Letter (DDL) or a Component regulation. Broad disclosure authority normally is promulgated in Component Regulations. Paragraph 2-8 of AR 380-10 provides general delegation of disclosure authority within the U.S. Army. The DDL is normally used for individual programs and is discussed in detail in the Program Security Documents Course.


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National Disclosure Policy Committee The National Military Information Disclosure Policy Committee, also known as the National Disclosure Policy Committee (NDPC), is responsible for formulating, issuing, administering and monitoring the implementation of the NDP. The NDPC exercises control of the disclosure of classified military information in the name of the Secretaries of State and Defense. The responsibility for decisions to disclose classified military information within general policy guidance set forth herein belongs in the first instance to the head of the department or agency originating the information. These department and agency heads shall designate a principle disclosure authority (PDA) who shall be responsible for the direction and administration of the department or agency foreign disclosure program.


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National Disclosure Policy Committee (cont) These officials may delegate to other officials under their jurisdiction authority to disclose or deny classified military information in accordance with policy set forth herein. Such further delegations of authority will be in writing. Heads of all departments and agencies which have need to disclose classified military information shall establish procedures and channels to assure that disclosures are considered, authorized, and handled as set forth herein. The NDPC may grant exceptions to the NDP under the authority granted by the Secretary of Defense. Normally, only committee members may sponsor requests for exceptions to policy. Agencies that are not represented on the Committee must obtain disclosure authority from the Deputy Under Secretary of Defense (Policy) for Technology, Security Policy and National Disclosure Policy.


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National Disclosure Policy Committee (cont) The Secretary of Defense and the Deputy Secretary of Defense are the only DoD officials who have the original authority to grant exceptions to the policy contained in DoD Directive 5230.11. The Secretary of Defense has delegated authority to the National Military Information Disclosure Policy Committee (NDPC) to consider and grant requests for exceptions to policy. Classified Military Information shall not be disclosed to foreign nationals until the appropriate designated disclosure authority receives a security assurance from the recipient foreign government on the individuals who are to receive the information. The NDPC also conducts security survey visits to determine the capability of a foreign government or international organization to provide protection of U.S. classified military information that is equivalent to that protection provided by the United States.


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National Disclosure Policy Committee (cont) Committee Membership. By agreement between the Secretaries of State and Defense, a representative of the Secretary of Defense chairs and provides administrative support for the NDPC. The Under Secretary of Defense (Policy) designates the Chairperson. The Director, International Security Programs, Office of the DUSD(P) TPS provides the Executive Director, Executive Secretary and administrative support of the Committee. There are two categories of Committee members. a. General members have a broad interest in all aspects of committee deliberations and therefore, vote on all issues that come before the committee.

General members are: (1) The Secretary of State. (2) The Secretary of Defense. (3) The Secretaries of Army, Navy, and Air Force. (4) The Chairman of the Joint Chiefs of Staff (also represents the Commanders of the Unified Commands).


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National Disclosure Policy Committee (cont) b. Special members have a significant interest in some, but not all, aspects of committee deliberations. They normally vote only on those issues in which they have a direct interest. Special members are: (1) The Secretary of Energy. (2) The Director of Central Intelligence. (3) The Under Secretary of Defense for Policy (USD(P)). (4) The Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L)).

(5) The Assistant Secretary of Defense for Networks and Information Integration (ASD(NII)). (6) The Assistant to the Secretary of Defense (Nuclear, Chemical and Biological Defense Programs). (7) The Director, Defense Intelligence Agency. (8) The Director, Missile Defense Agency. (9) The Under Secretary of Defense for Intelligence (USD(I)). (10) The Director, National Geo-Spatial Intelligence Agency (NGA). (11) The Director, National Security Agency (NSA). (12) The Director, National Intelligence (DNI).


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Disclosure Policy Quiz

Take a few minutes to challenge your knowledge by answering the following questions.


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AR-ND201 Quiz 1 What reference implements the National Disclosure Policy within the Department of Defense? a. The National Disclosure Policy (NDP) b. General Security Agreements (GSAs) c. DoD Directive 5230.11 (correct answer) d. Executive Order or E.O. 12358


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AR-ND201 Quiz 1 What is the normal means of delegating disclosure authority? a. Verbally b. Official orders c. Appointment d. Delegation of Disclosure Authority Letter (DDL) or a Component regulation (correct answer)


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AR-ND201 Quiz 1 What organization has been delegated authority by the Secretary of Defense to consider and grant requests for exceptions to policy? a. The National Disclosure Policy Committee (NDPC) (correct answer) b. Defense Threat Reduction Agency c. Defense Technology and Security Agency d. Defense Security and Cooperation Agency


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Classified Military Information (CMI)


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Classified Military Information (CMI) (cont) CMI includes eight categories of information. Each of these categories and their importance are explained. In addition, the roles of the Principal Disclosure Authority (PDA) and Designated Disclosure Authority (DDA), required in controlling the disclosure process, are also identified. The means of delegating disclosure authority, the Delegation of Disclosure Authority Letter (DDL), will be described, along with a list of the requirements that must be met in order to disclose information. If information is to be disclosed, it must satisfy five specific criteria as presented in the section on Disclosure Decisions. In addition, prior to any disclosure you must note that NDP-1 and its provisions only apply to NONCAVEATED information.

This section also includes the many types of information (such as combined military information and joint information) that have limitations on disclosure authority. Security assurances from the sponsoring foreign government or international organization will also be discussed, as well as information on creating false impressions with regard to disclosures, and the procedures for reporting all disclosures and denials in the SPAN system.


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Categories of Military Information Classified Military Information (CMI) is information which is originated by or for the Department of Defense (DoD) or its components or is under their jurisdiction or control and which requires protection in the interests of national security. It is designated TOP SECRET, SECRET and CONFIDENTIAL as described in Executive Order 12958 Classified military information may be disclosed in oral, visual or documentary form. NDP-1 and its provisions only apply to NON-CAVEATED information. CAVEATED information has to be adjudicated by the source before a disclosure determination is made.

EIGHT CATEGORIES OF CMI 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 Information CATEGORY 7: North American Defense CATEGORY 8: Military Intelligence


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Categories of Military Information

Category 1: Organization, Training, and Employment of Military Forces Military information of a general nature necessary to organization of military, paramilitary, or irregular forces, to include those tactics, techniques, and tactical doctrine (including intelligence and counterintelligence doctrine and techniques) necessary to train and employ those forces. This category does not include specific technical data and training necessary to operate and maintain individual items of military materiel and munitions.


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Categories of Military Information (cont)

Category 2: Military Materiel and Munitions All Military Materiel, Arms and Munitions procured and controlled by the United States Government for equipage, operation, maintenance and support of its military forces or military, irregular, or paramilitary forces of its allies.


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Categories of Military Information (Category 2 cont) Category 2 includes items developed by U.S. private interests as a result of U.S. Government contracts or derived from technology paid for by the U.S. Government. Items on the United States Munitions List (USML) proposed for sale by U.S. private interests under the International Traffic and Arms Regulation (ITAR) or items specifically covered by other U.S. Government prescribed export control regulations, fall within this definition. (Items under development fall under Category 3.) This category also comprises information to include technical data and training necessary to operate, maintain or support specific military materiel, arms or munitions. Category 2 does not include information and techniques used to produce, co-produce or manufacture the item.


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Category 3: Applied Research and Development Information and Materiel Classified Military Information resulting from extension of fundamental theories, designs, and data from purely theoretical or experimental investigation into possible military applications to include research, construction and testing of prototypes and such design changes affecting qualitative performance as may be required during service life of item. This also includes engineering data, general operational requirements, concepts and military characteristics required to adopt the item for production.


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Categories of Military Information (Category 3 cont) Development ceases when materiel has completed operational suitability testing or has for all practical purposes been adopted for military use or production. It includes tactics, techniques and tactical doctrine pertaining to specific equipment not yet in production or not yet approved for adoption by U.S. forces. It includes military information, materiel or munitions under development by U.S. private interests as a result of U.S. Government contracts, or derived from technology paid for by the U.S. Government.


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Category 4: Production Information. Designs, drawings, chemical and mathematical equations, specifications, models, manufacturing techniques, software source code and related information (excluding Category 2 and 3 information) necessary to manufacture or substantially upgrade military materiel and munitions. The following definitions are provided for clarity when using terms associated with Production Information: 1. Manufacturing Information 2. Build-to-Print Information 3. Assembly Information


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Categories of Military Information (Category 4 cont) The following definitions are provided for clarity when using terms associated with Production Information: a. Manufacturing information (more sensitive than Build-to-Print or Assembly information): This includes the "know-how" techniques and processes required to produce or substantially upgrade military materiel and munitions. A manufacturing process or technique is a set of instructions for transforming natural substances into useful materials (metals, plastics, combustibles, explosives, etc.) or for fabricating materials into aerodynamic, mechanical, electronic, hydraulic or pneumatic systems, subsystems and components.

Software source code including related documentation that describes software or development "know-how" for a particular U.S. warfare system which has completed Acquisition Milestone II (Development Approval) or documentation used for production of that system are considered to be design and manufacturing data and equivalent to Category 4 Production Information. A manufacturing data package describes how to manufacture, test and accept the item being produced and what tools and processes are required.


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Categories of Military Information (Category 4 cont) Types of manufacturing information include drawings, process sheets, wiring diagrams, instructions, test procedures and other supporting documentation. Software source code and software documentation that contain or allow access/insight to classified algorithms or design rationale are considered to be manufacturing information requiring NDPC review and approval. Unclassified software source code and software documentation that is required for minor software maintenance, interface/integration, or to make administrative changes to tables, symbology, markers, or displays will be handled through normal technology transfer channels and does not require NDPC review.

Such information will normally be considered for release to foreign customers who possess an indigenous weapon system or verifiable country unique operation or maintenance requirement the United States is willing to support.

Manufacturing information classified solely because of related Category 2 information should be handled as Category 2 information.


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Categories of Military Information (Category 4 cont) b. Build-to-Print Information (more sensitive than Assembly information): Assumes the country receiving the information has the capability to replicate an item, sub-system or component from technical drawings and specifications alone without technical assistance. Release of supporting documentation (e.g. acceptance criteria, object code software for numerical controlled machines) is permissible. Release of any information which discloses design methodology, engineering analysis, detailed process information or manufacturing "know-how" associated with the end item, its subsystems or components is excluded. Build-to-Print information is not considered NDP Category 4 information. Disclosure of Build-to-Print information is approved through normal technology transfer channels unless other NDP categories are involved which require NDPC review and approval.


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Categories of Military Information (Category 4 cont) c. Assembly Information. Normally associated with hardware (parts or kits to be assembled, special tooling or test equipment to accomplish specific tasks) and information which allows assembly and testing of the finished product. Only top level drawings will be released. Detailed assistance is not to be provided if such assistance would provide production or manufacturing techniques. The level and depth of assembly or co-assembly allowed is subject to negotiation and defined in the co-assembly or coproduction agreement. Assembly information is not considered Category 4 Production Information. Disclosure of Assembly information must be approved through normal technology transfer channels unless other NDP categories are involved which require NDPC review and approval.


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Categories of Military Information (Category 4 cont) Effective 6 September 1983, all delegated authority to disclose classified Category 4 Production Information was canceled. Disclosure programs involving the release of classified Category 4 Production Information approved prior to this date will remain in effect without an exception to policy provided the programs are not expanded to include significant new technologies. Disclosure programs involving classified Category 4 Production Information initiated after this date will be submitted to the NDPC for approval as exceptions to policy.


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Category 5: Combined Military Operations, Planning And Readiness Pertains to information necessary to plan, assure readiness for and provide support to the achievement of mutual force development goals or participation in specific combined tactical operations and exercises. It includes installations and facilities located within territory under the jurisdiction of, or of direct concern to, the recipient foreign government or international organization. This category is limited to that information on installations and facilities as well as readiness, planning, and operational information which is necessary to further specific multilateral or bilateral plans and agreements for common defense purposes between the United States and the recipient. Category 5 does not include strategic planning and guidance or North American Defense Information.


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Category 6: U.S. Order Of Battle Information pertaining to U.S. forces located within a territory which is under the jurisdiction of a recipient government or is otherwise of direct concern to a foreign government or international organization. In general, authorization is limited to U.S. Order of Battle in the recipient countries or in adjacent geographical areas. This should not be confused with a unit's Table of Organization and Equipment (TO&E) or general organizational/command structure. While these are part of a unit's Order of Battle (OB) as defined by JP 1.02, they do not become relevant with respect to becoming Category 6 CMI until the issue of a foreign location or direct concern to a foreign government or international organization becomes apparent.


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Category 7: North American Defense North American Defense information is information related to plans, operations, programs, and projects, to include data and equipment, directly related to North American defense.


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Categories of Military Information (Category 7 cont) North American Defense Information includes, but is not limited to: (1) Plans and related documents prepared by combined United States/Canada defense agencies. (2) Information concerning U.S. operational and logistical plans for employment of reserve forces. (3) Information revealing the vulnerability of a North American Defense area, or a vulnerability or official appraisal of the combat readiness of any unit or facility, or the effectiveness of North American Defense systems.


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Category 8: Military Intelligence Military intelligence comprises information of a military character pertaining to foreign nations and areas as delimited by the criteria for the disclosure of intelligence as stated in Section II of NDP-1. This category of information does not include national intelligence or sensitive compartmented information under the purview of the Director of Central Intelligence (DCI).


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Categories of Military Information (Category 8 cont) Disclosures in Category 8 will be made only when all of the following criteria are satisfied: (1) Disclosure is consistent with United States foreign policy and national security objectives concerning the recipient foreign government or international organization. (2) Disclosure can be expected to result in a clearly identifiable advantage to the United States, such as: (a) A specific U.S. national purpose - political, economic, military, or arms control objective - will be served. (b) The United States will obtain commensurate information or services from the proposed recipient.

(c) The intelligence to be disclosed supports specific bilateral or multilateral plans, arrangements, treaties, or alliances. Formal intelligence agreements proposed by DoD Components to support such arrangements will be approved in advance by the Director, DIA. DIA approval in advance is not required for ad hoc exchanges of intelligence by DoD Components. (d) An advantage will be gained for U.S. intelligence or counterintelligence operations.


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Categories of Military Information (Category 8 cont) (3) It can be reasonably presumed that the disclosed intelligence will not be used in a manner harmful to U.S. interests. In particular: (a) The intelligence will not be disclosed to a third government or any other party without the approval of the releasing U.S. department or agency. (b) The intelligence will be provided substantially the same degree of protection provided it by the United States. Guidance in determining a foreign government's ability to protect U.S. intelligence may be obtained from an embassy security assessment, CIA risk assessment, and/or an NOPC Security Survey Report. (c) The intelligence will not be used for other than the stated purpose without the approval of the releasing department or agency.


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Categories of Military Information (Category 8 cont) Additional criteria that needs to be satisfied in order to disclose Category 8 information: (4) Disclosures on activities of certain designated governments or international terrorist organizations are in accordance with NDP-1. (5) Disclosures on activities of non-designated governments are in accordance with NDP-1. (6) Intelligence information of a military character derived from counterintelligence activities may be released to foreign governments and international organizations under the provisions of section II, paragraph 5 of NDP-1 with the consent of the originator.


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Applying NDP-1 NDP-1 provides a reference chart that shows what the Delegated Level of Disclosure Authority is for various countries by Category of Classified Military Information (CMI). This chart is typically and incorrectly referred to as the "Eligibility Chart." This chart does not ensure a country's eligibility to the information, but rather what the delegated disclosure authority classification is to a service, command, or organization in order to make a disclosure decision once all the disclosure criteria are satisfied.


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Applying NDP-1 (cont) When people do not understand what this chart means, it is often misused. If the "going in position" is that these charts refer to a country's eligibility or automatic default setting then an incorrect decision is made without having considered: 1. Do I own this information? 2. Do I have the delegated disclosure authority to make this decision? 3. Is this disclosure in the best interests of the USG? 4. Does this country possess and have they demonstrated both the capability and intent to safeguard this information?


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Applying NDP-1 (cont) This is what this chart means. The Office of the Secretary of Defense has delegated the disclosure authority to the Secretary of the Army for the various categories of CMI originated by the U.S. Army. Furthermore, the Army has the authority to make a disclosure determination only after all the criteria as outlined in NDP-1 have been satisfied. There is nothing automatic about this as each decision must be evaluated on its own merit by the Army. This chart indicates whether you do or do not have the delegated authority to disclose CMI by category, at a stated level, to a foreign government or international organization after you have satisfied the conditions as spelled out in NDP-1. It has nothing to do with what a country may be eligible for or they might want...the charts are about your ability to make a decision without seeking any further authority.


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Applying NDP-1 (cont) This chart supports the decision making process in determining whether or not a disclosure should be made. It articulates the documentation on hand that shows a country's Intent (what they say they will do) and Capability (what they can actually do) with respect to safeguarding CMI.


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CMI Quiz



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AR-ND201 Quiz 2 Which category of Classified Military Information (CMI) covers Military Intelligence? a. 2 b. 4 c. 6 d. 8 (correct answer)


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AR-ND201 Quiz 2 Where is Classified Military Information (CMI) originated? a. Department of State b. National Security Agency c. Defense Intelligence Agency d. Department of Defense or its Components (correct answer)


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AR-ND201 Quiz 2 How many categories of Classified Military Information (CMI) are there? a. 6 b. 7 c. 8 (correct answer) d. 9


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Disclosures Not Covered by NDP


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Disclosures Not Covered by NDP (cont) National Disclosure Policy does not cover: 1. Classified information the disclosure of which is prohibited by Federal law or international agreement. 2. Naval nuclear propulsion information classified or unclassified, except under an agreement negotiated under the Atomic Energy Act of 1954 as amended. 3. Proprietary information owned by private firms or citizens without the owner's consent. If release is authorized by legislation, that legislation will govern the release (Note: While the private firm may retain property rights, foreign disclosure of any U.S. classified information is governed by the NDP-1). 4. National or interdepartmental intelligence produced within the National Foreign Intelligence Board structure without the permission of the Director of Central Intelligence (DCI).

5. National security telecommunications and information systems security information (INFOSEC), communications security (COMSEC) signals intelligence (SIGINT) and related equipment. The National Security Telecommunications and Information Systems Security Committee (NSTISSC) controls the release of INFOSEC. The Director of Central Intelligence SIGINT Committee controls the release of SIGINT information. Information that has been sanitized to delete the controlled INFOSEC and SIGINT information is governed by NDP-1. 6. Operational counterintelligence information, the disclosure of which is the responsibility of the DCI.


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Disclosures Not Covered by NDP (cont) Additional items that are not covered: 7. Atomic information, disclosures of which are made in accordance with the Atomic Energy Act of 1954. The Joint Interagency Atomic Energy Group (JIAEG) is responsible for reviewing these releases. 8. Strategic planning and guidance. Only the Secretary of Defense, the Deputy Secretary of Defense, or the Chairman of the Joint Chiefs of Staff may authorize the disclosure of this information. 9. Narcotics Intelligence, disclosures of which are made in accordance with the policies and directives of the DoD, Intelligence Community members, and law enforcement agencies for information under their cognizance.


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Prohibited Disclosures


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Disclosures Not Covered by NDP Quiz



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AR-ND201 Quiz 3 Who may authorize the disclosure of national or interdepartmental intelligence produced within the National Foreign Intelligence Board structure? a. Secretary of State b. Secretary of Defense c. Director of the Central Intelligence Agency (correct answer) d. Director of the Defense Intelligence Agency


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AR-ND201 Quiz 3 The National Disclosure Policy does not cover which of the following? a. Classified Military Information b. National Intelligence and Counterintelligence c. Nuclear Information d. Both B and C (correct answer)


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AR-ND201 Quiz 3 Who may authorize the disclosure of operational counterintelligence information? a. The Secretary of State b. Secretary of Defense c. Director of the Central Intelligence Agency (correct answer) d. Director of the Defense Intelligence Agency


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Exceptions to National Disclosure Policy


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Exceptions to National Disclosure Policy (cont) If any of the situations previously listed apply, but it is believed that a disclosure will result in a clearly defined benefit to the United States, an exception to policy may be requested. Requests for exceptions to policy must be forwarded through foreign disclosure channels to the Office of the Deputy Chief of Staff, G-2. The request must represent a fully coordinated Army position. The NDPC Executive Secretary ensures that all members having an interest in the request for exception to policy receive a copy. The members must respond with a fully coordinated position of their Department or Agency within 10 working days. If there is not unanimous agreement on the proposed disclosure, the Committee Chairman must formulate a proposed "Chairman's decision" and inform the members of the decision.


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Exceptions to National Disclosure Policy (cont) The Chairman's proposed position will become final unless appealed within 10 working days to the Secretary or Deputy Secretary of Defense by the cognizant Department or Agency head or PDA through the DUSD (P)TSP. NDPC decisions are recorded in Records of Action (RA). Records of Action identify the correspondence requesting the exception, provide a concise, self-contained statement of the action taken, identify the specific provision(s) of the National Disclosure Policy for which the exception has been granted, identify exceptions as either continuing or one-time exceptions, and provide a record of how each member voted. An Exception to National Disclosure Policy is required when the criteria and conditions are not satisfied as identified in the disclosure authority levels prescribed by NDP-1. However, proposed Exceptions to National Disclosure Policy should thoroughly question and challenge the criteria and conditions for disclosure to ensure that the Exception to National Disclosure Policy is warranted.

Disclosure Questions A. What is the classification level of CMI? B. What category(ies) of CMI is/are involved? c. To which foreign government(s) or international organization(s) will CMI be disclosed? D. Who is the OCA? E. What does Annex A and Policy Statement(s) of NDP-1 indicate? F. Who has delegated authority for CMI to be disclosed? G. Has CMI been disclosed previously to intended recipient? SPAN review? H. Has Record of Action (RA) been issued?


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False Impressions It is the policy of the United States Army to avoid creating false impressions of its readiness to make available classified military material, technology, or information. Therefore, initial planning with foreign governments and international organizations concerning programs which might involve the eventual disclosure of classified military information may be conducted only if it is explicitly understood and acknowledged that no U.S. commitment to furnish such classified information or materiel is intended or implied until disclosure has been approved. Accordingly, proposals to foreign governments and international organizations which result from either U.S. or combined initial planning, and which will lead to the eventual disclosure of classified military material, technology, or information, including intelligence threat data or countermeasures information must be authorized in advance by designated disclosure officials originating the information or by the NDPC.


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Exceptions to Policy Quiz



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AR-ND201 Quiz 4 An exception to the National Disclosure Policy is required when a potential disclosure of CMI... a. Is inconsistent with one or more of the policy statements in Annexes B or C of NDP-1 b. Exceeds the delegated disclosure level established for the prospective foreign government or international organization in Annex A, NDP-1 c. Does not comply with any of the basic disclosure criteria and conditions prescribed in Section II of NDP-1 d. All of the above (correct answer)


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AR-ND201 Quiz 4 When there is a request for an exception to the NDP, if there is not unanimous agreement on a proposed disclosure: a. There cannot be a disclosure b. The Committee Chairman must formulate a proposed "Chairman's decision" and inform the members of the decision (correct answer) c. The Secretary of Defense decides d. None of the above


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Security Agreements and Surveys After a favorable disclosure decision is made, actual transfer of CMI cannot occur until the intended recipient government agrees to the conditions described in the Disclosure Decisions section of this Course. The existence of a General Security Agreement (GSA) or equivalent, and, if applicable, an Industrial Security Agreement normally will satisfy this requirement. The security agreement signifies a foreign government's intent to protect U.S. classified information. (Note: The General Security Agreement also is known as a General Security of Information Agreement (GSOIA) and General Security of Military Information Agreement (GSOMIA)).

Confidentiality requested by some of the foreign governments prevents a listing of the countries that have executed these agreements. Additional information on the agreements may be obtained from the responsible Designated Disclosure Authority or Cognizant Security Office.


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Security Agreements (cont) The GSA, negotiated through diplomatic channels, requires each party of the agreement to provide the classified information received with substantially the same degree of security protection afforded it by the releasing government. It contains provisions concerning limits on the use of each government's information, including restrictions on third party transfers and proprietary rights. (Note: It is for this reason that, in some cases, foreign government information must be protected differently than U.S. classified information.) The GSA provides for the reporting of loss or compromise or possible loss or compromise of classified information.

It does not commit governments to share classified information, and the existence of such an agreement with a particular country does not constitute authority to release classified material to that government. The GSA does commit each government to protect the other's classified information if a decision is made to provide the information. It also satisfies, in part, the eligibility requirements of the Arms Export Control Act (AECA) concerning the agreement of the recipient government to protect U.S. classified defense articles and technical data.


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Security Agreements (cont) The Industrial Security Agreement (ISA) is negotiated by the DoD as an annex to the GSA with those foreign governments with which DoD has entered into arrangements involving industry participation, such as the reciprocal procurement agreements. Other Federal Departments and Agencies also may be a party to this agreement. The ISA includes provisions for information handling, security classification guidance, visits, and the exchange of security assurances, and it designates a responsible government agency to administer the agreement. Authority to negotiate the agreements and to negotiate amendments or approve exceptions to the provisions of these agreements rests with the Office of the Under Secretary of Defense (Policy).


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Security Surveys The purpose of security surveys is to enable the NDPC to establish an on-site review to determine whether a foreign government or international organization has the capability to protect CMI in a manner substantially the same as that protection provided to it by the United States as required by the AECA, E.O. 12356, and NSDM 119. Surveys also permit the parties to exchange information on each other's programs to ensure proper implementation of the security agreements as well as cooperative agreements and sales contracts. The review consists of discussions with responsible foreign officials, including foreign security personnel, concerning their procedures for protecting classified information. The views of U.S. Embassy personnel are also obtained.


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Security Surveys (cont) 2. The surveys concentrate on developing information on the foreign government security program (including the organizational, legal, and regulatory basis for the program) and procedures as well as any changes since the previous visit. The team evaluates the methods and procedures used by the government and industry in: a. Personnel security, including clearance and investigations. b. All aspects of document and information control, including the use of U.S. information, the flow of information from national level to user, and methods to protect the information and restrict access to properly cleared persons.

c. Physical security. d. Export controls. 3. Security surveys are reciprocal and the security officials of the foreign countries also conduct similar reviews of the U.S. security program.


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Security Agreements and Surveys Quiz



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AR-ND201 Quiz 5 The Security Surveys concentrate on developing what information? a. The Foreign Government's Other Relationships b. The Foreign Government's Intelligence Structure c. The Foreign Government's Levels of Classification for CMI d. The Foreign Government's Security Program (correct answer)


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AR-ND201 Quiz 5 The existence of a General Security Agreement (GSA) or equivalent, and, if applicable, an Industrial Security Agreement will normally satisfy the requirement that the intended recipient government agrees to the conditions described in Disclosure Requirements of the NDP-1. a. True (correct answer) b. False


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AR-ND201 Quiz 5 Authority to negotiate the agreements and to negotiate amendments or approve exceptions to the provisions of these agreements rests with the: a. Director of the Central Intelligence Agency b. Director of the Defense Intelligence Agency c. Office of the Under Secretary of Defense (Policy) (correct answer) d. None of the above


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Summary This course outlined the National Disclosure Policy that governs the decision process for how U.S. Classified Military Information is provided to foreign governments. Details were presented on the authorizing DoD Directive 5230.11, the Principal Disclosure and Designated Disclosure Authorities, along with a description of the Delegation of Disclosure Authority Letter. In addition, the security agreements required to complete the transfer of CMI and the automated system used to track requests for Classified Military Information were explained.

Topics covered in this course • National Disclosure Policy (NDP) • Classified Military Information (CMI) • DoD Directive 5230.11 • Principal Disclosure Authority (PDA) • Designated Disclosure Authority (DDA) • Delegation of Disclosure Authority Letter (DDL) • General Security Agreement • Industrial Security Agreement • Security Surveys • Security Policy Automation Network (SPAN).


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Summary (cont) The National Disclosure Policy (NDP) governs the disclosure of United States Classified Military Information (CMI) to foreign governments and international organizations. NDP-1, a classified document, is the interagency document which implements this policy. It is issued by the Secretary of Defense with the concurrence of the Secretaries of State and Energy and the Director of Central Intelligence (DCI). CMI is information which is originated by or for the DoD or its components or is under their jurisdiction or control and which requires protection in the interests of national security. It is designated TOP SECRET, SECRET and CONFIDENTIAL. CMI may be disclosed in oral, visual or documentary form and is divided into eight categories:

Organization, Training, and Employment of Military Forces; Military Materiel and Munitions; Applied Research and Development Information; Product Information; Combined Military Operations, Planning and Readiness; U.S. Order of Battle; North American Defense; and Military Intelligence. The Secretary of Defense and the Deputy Secretary of Defense hold original authority to disclose CMI and grant exceptions to disclosure policy. The Secretary of Defense, through DoD Directive 5230.11, has delegated authority to the Secretary of the Army to disclose CMI originated by or under the control of the U.S. Army. The Deputy Chief of Staff, G-2 is the Principal Disclosure Authority (PDA) for the U.S. Army.


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Summary (cont) The Secretary or Deputy Chief of Staff, G-2 for the U.S Army may also delegate disclosure authority to the heads of commands, agencies and major staff elements under their authority. These heads of commands must then in turn appoint a Designated Disclosure Authority (DDA) to control disclosures of CMI by his or her organization. The Disclosure Authorities are responsible for many issues related to controlling disclosures within their organization, as described in the Disclosure Authority section of this course.

Basic Criteria for Foreign Disclosure Access: Is foreign access in best interests of U.S.? Protection: Can foreign entity provide equivalent security protection as U.S.? Government to Government: Is disclosure or transfers of information or technical data using official government-to-government channels or channels approved by both governments?


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Summary (cont) The delegation of disclosure authority must be in writing and clearly state the limits of the authority. The means of delegating disclosure authority is by a Delegation of Disclosure Authority Letter (DDL) or AR 380-10. The National Disclosure Policy establishes the framework in which foreign disclosure decisions are made by Principal or Designated Disclosure Authorities. In making a disclosure decision, these officials must assure that certain requirements are met. A decision to disclose CMI must satisfy a list of specific criteria. Failure to satisfy any one of the criteria is cause for denial.

The criteria are: Disclosure of the information is consistent with U.S. foreign policy objectives; Disclosure of the information is consistent with, and will not jeopardize, U.S. military and security objectives; The prospective recipient will afford the information substantially the same degree of protection as the United States provides it; Disclosure will result in benefits to the United States which are at least equivalent to the value of the information disclosed; The information to be disclosed must be limited to that which is necessary to fulfill the purpose of the disclosure.


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Summary (cont) Once the decision has been made that CMI can be disclosed to a foreign government or international organization, actual release is dependent on the recipient agreeing to certain minimal conditions as defined in the Disclosure Decisions section in this course. The existence of a General Security Agreement (GSA) or equivalent, and if applicable, an Industrial Security Agreement normally will satisfy these requirements. It is the policy of the U.S. Army to avoid creating a false impression that the Army is willing to make available Classified Military Material, Technology, or Information.

EIGHT CATEGORIES OF CMI 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 CATEGORY6: U.S. Order of Battle Information CATEGORY 7: North American Defense CATEGORY 8: Military Intelligence


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Summary (cont) All disclosures and denials of CMI must be reported in the Security Policy Automation Network (SPAN). The National Disclosure Policy Committee (NDPC) is responsible for formulating, issuing, administering and monitoring the implementation of the NDP. The National Disclosure Policy Committee may grant exceptions to the National Disclosure Policy under the authority of the Secretary of Defense.

FALSE IMPRESSION STATEMENT "Initial planning with foreign governments and international organizations ... might involve the EVENTUAL disclosure of CMI may be conducted ONLY if ... understood and acknowledged that no US commitment to furnish such CMI or material is intended or implied until disclosure ... approved. Accordingly, proposals ... must be authorized in advance by designated disclosure officials in the departments and agencies originating the information."

NDP-1


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Summary (cont) A proposed disclosure would have to be denied or, if the proponent of the disclosure desires to pursue a disclosure, an exception to the disclosure policy would be required for one or more of five reasons listed in Requests for an Exception to National Disclosure Policy section of this course. If one or more of the situations apply, but it is believed that a disclosure will result in a clearly defined benefit to the United States, an exception to policy may be requested.

Foreign Disclosure Affects potentially all international programs and activities Is neither advocate nor opponent of any international program Applies National Disclosure Policy guidelines to all international programs and activities


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NDP Exam

You have now completed the learning portion of the course. Take a few minutes to test your knowledge by taking the following National Disclosure Policy Exam by clicking on the AR-ND201 National Disclosure Policy link in the My Exams section on your home page.