§ 117.19 International security requirements. ( a ) *General.* This section provides information and procedures governing the protection of classified information in international programs.
( b ) *Disclosure of classified U.S. information to foreign interests* — ( 1 ) *Applicable federal law.* The transfer of articles, services, and related data to a foreign person, within or outside the United States, or the movement of such material or information to any destination outside of the legal jurisdiction of the United States constitutes an export. Depending on the nature of the articles or data, most exports are pursuant to (1) 22 U.S.C. chapter 39, also known and referred to in this rule as the “Arms Export Control Act,” (2) 50 U.S.C. 4801 *et seq.,* also known as the “Export Control Reform Act of 2018,” or (3) the AEA. This section applies to those exports that involve classified information.
( 2 ) *Security agreements* — ( i ) Bilateral security agreements (*e.g.,* General Security of Information Agreements and General Security of Military Information Agreements) are negotiated with various foreign governments. Confidentiality requested by some foreign governments prevents a listing of the countries that have executed these agreements. The bilateral security agreement, negotiated through diplomatic channels: ( A ) Requires that each government provide substantially the same degree of protection to classified information released by the other government.
( B ) Contains provisions concerning limits on the use of each government's information, including restrictions on third-party transfers and proprietary rights.
( C ) Does not commit governments to share classified information, nor does it constitute authority to release classified material to that government.
( D ) Satisfies, in part, the eligibility requirements of the Arms Export Control Act concerning the agreement of the recipient foreign government to protect U.S. classified defense articles and classified information.
( ii ) The applicable CSA will provide a mechanism for contractors to access, for official purposes, classified general security agreements.
( iii ) Industrial security agreements have been negotiated with certain foreign governments that identify the procedures to be used when foreign government classified information is provided to U.S. industry and UUSG classified information is provided to foreign defense industry.
( 3 ) *Authorization for disclosure.* The GCA will provide disclosure guidance. ( i ) Contractors will only disclose non-public USG information to foreign persons in accordance with specified requirements of the contract. In the absence of any specified requirements the contractor will not disclose non-public USG information to foreign persons.
( ii ) Disclosure authorization may be in the form of an export license or other export authorization by a cognizant export authority.
( iii ) The contractor may not use disclosure guidance provided by the GCA for a previous contract or program unless so instructed in writing by the GCA or the licensing authority.
( iv ) Disclosure and export of classified information, authorized by an appropriate USG disclosure official, by a contractor will ensure the following: ( A ) *International agreements.* Contractors may not disclose classified information until agreements are signed by the participating government and disclosure guidance and security arrangements are established. The export of technical data pursuant to such agreements may be exempt by approval of the Department of State or the Department of Commerce.
( B ) *Symposia, seminars, exhibitions, and conferences.* Contractors must assure that any foreign nationals who will be attending a classified gathering have the appropriate export license, disclosure authority, and security assurance on file.
( C ) *Visits by foreign nationals to the contractor.* The contractor will limit disclosure of classified information to that specific information authorized in connection with an approved visit request and an export authorization, as required.
( D ) *Temporary exports.* Classified articles, including articles that require the use of classified information for operation, exported for demonstration purposes must remain under U.S. control. The contractor must obtain an export authorization from the relevant authority (*i.e.,* from the Department of State in accordance with 22 CFR parts 120-130, also known as and referred to in this rule as the “International Traffic in Arms Regulations,” or from the Department of Commerce in accordance with 15 CFR parts 730-774, also known as the “Export Administration Regulations”).
( 4 ) *Direct commercial arrangements.* ( i ) The disclosure of classified information may be authorized pursuant to a direct commercial sale with the appropriate export authorization. A direct commercial arrangement includes sales, loans, leases, or grants of classified items, including sales under a government agency sales financing program.
( ii ) If a proposed disclosure is in support of a foreign government requirement, the contractor should consult with U.S. in-country officials, normally the U.S. Security Assistance/Armaments Cooperation Office or Commercial Counselor. ( A ) Before a contractor makes a proposal to a foreign interest that involves the eventual disclosure of U.S. classified information, the contractor must obtain appropriate government disclosure authorization.
( B ) Such disclosure authorization does not equate with authorization for export. Export authorization must be obtained from the appropriate regulatory body.
( iii ) The contractor will request a FCL assurance for a foreign entity through the CSA from the security authority of the foreign entity's sponsoring government prior to entering into a contractual arrangement with the foreign entity.
( 5 ) *Subcontract security provisions.* ( i ) A U.S. contractor may be authorized to enter into an agreement involving classified information with a foreign contractor. The U.S. contractor's empowered official will verify the contractor can release the information to a foreign person. Such agreements may include: ( A ) Award of a subcontract.
( B ) Department of State authorized manufacturing license agreement, technical assistance agreement, or other direct commercial arrangement.
( ii ) The contractor will incorporate security provisions into the subcontract document or agreement, and provide security classification guidance by means of a Contract Security Classification Specification, or equivalent.
( iii ) The contractor will provide a copy of the signed contract with the provisions and the classification guidance to the CSA.
( iv ) If the export authorization specifies that additional security arrangements are necessary for performance on the contract, the contractor will incorporate those additional arrangements by appropriate provision in the contract or in a separate security document.
( v ) The contractor will prepare and maintain a written record that identifies the originator or source of classified information that will be used in providing classified defense articles, material or services to foreign customers. The contractor will maintain this listing with the contractor's record copy of the pertinent export authorization.
( vi ) The contractor will include the security provisions in accordance with paragraph (b)(5) in this section in all contracts and subcontracts involving classified information that are awarded to foreign contractors. Contractors must insert the bracketed contract specific information (*e.g.,* applicable country and disposition of classified material) where noted, when using the following security clauses in the contract. ( A ) All classified information and material furnished or generated under the contract will be protected to ensure that: ( 1 ) The recipient will not release the information or material to any third party without disclosure authorization and export authorization, as appropriate.
( 2 ) The recipient will afford the information and material a degree of protection equivalent to that afforded it by the releasing government.
( 3 ) The recipient will not use the information and material for other than the purpose for which it was furnished without the prior written consent of the releasing government.
( B ) Classified information and material furnished or generated under this contract will be transferred through government channels or other channels specified in writing by the governments of the United States and [insert applicable country]. It will only be transferred to persons who have an appropriate security clearance and an official need for access to the information in order to perform on the contract.
( C ) Classified information and material furnished under the contract will be re-marked by the recipient with its government's equivalent security classification markings.
( D ) Classified information and material generated under the contract must be assigned a security classification as specified by the Contract Security Classification Specifications, or equivalent, provided with this contract.
( E ) All cases in which it is known or there is reason to believe that classified information or material furnished or generated under the contract has been lost or disclosed to unauthorized persons will be reported promptly and fully by the contractor to its government's security authorities.
( F ) Classified information and material furnished or generated pursuant to the contract will not be further provided to another potential contractor or subcontractor unless: ( 1 ) A potential contractor which is located in the United States or [insert applicable country] has been approved for access to classified information and material by the USG or [insert applicable country] security authorities; or
( 2 ) If located in a third country, prior written USG consent is obtained.
( G ) Upon completion of the contract, all classified material furnished or generated pursuant to the contract will be [insert whether the material is to be returned or destroyed, or provide other instructions].
( H ) The recipient contractor will insert terms that substantially conform to the language of these provisions, including this one, in all subcontracts under this contract that involve access to classified information furnished or generated under this contract.
( c ) *FGI* — ( 1 ) *General.* The contractor will notify the csa when awarded contracts by a foreign interest that will involve access to classified information. The csa will oversee and ensure implementation of the security requirements of the contract on behalf of the foreign government, including the establishment of channels for the transfer of classified material.
( 2 ) *Contract security requirements.* The foreign entity that awards a classified contract is responsible for providing appropriate security classification guidance and any security requirements clauses. The contractor will report to the CSA when a foreign entity fails to provide classification guidance.
( 3 ) *Marking foreign government classified material.* Foreign government classified material will be marked in accordance with § 117.14(l).
( 4 ) *Foreign Government RESTRICTED Information and “In Confidence” Information.* Foreign government RESTRICTED information and “in confidence” information will be marked in accordance with § 117.14(m).
( 5 ) *Marking U.S. documents containing FGI.* U.S. documents containing FGI will be marked in accordance with § 117.14(n).
( 6 ) *Marking documents prepared for foreign governments.* Marking documents prepared for foreign governments will be marked in accordance with § 117.14(o).
( 7 ) *Storage and control.* Contractors will store foreign government material and control access generally in the same manner as U.S. classified material of an equivalent classification. Contractors will store foreign government material in a manner that will separate it from other material. Separation can be accomplished by establishing distinct files in a storage container or on an information system.
( 8 ) *Disclosure and use limitations.* ( i ) FGI is provided by the foreign government to the United States. The contractor will: ( A ) Not disclose FGI to nationals of a third country, or to any other third party, or use it for any purpose other than that for which it was provided without the prior written consent of the originating foreign government.
( B ) Submit requests for other uses or further disclosure to the GCA for U.S. contracts, and through the CSA for direct commercial contracts.
( ii ) Approval of the request by the foreign government does not eliminate the requirement for the contractor to obtain an export authorization.
( 9 ) *Transfer.* The contractor will transfer FGI within the United States and its territories using the same channels as specified for U.S. classified information of an equivalent classification, except that contractors cannot use non-cleared express overnight carriers for FGI.
( 10 ) *Reproduction.* The reproduction of foreign government TOP SECRET or equivalent information requires the written approval of the originating government.
( 11 ) *Disposition.* The contractor: ( i ) Will destroy FGI on completion of the contract unless the contract specifically authorizes retention or return of the information to the U.S. GCA or foreign government that provided the information.
( ii ) Must witness the destruction of TOP SECRET, execute a destruction certificate, and retain the destruction certificate for two years.
( 12 ) *Reporting of improper receipt of foreign government material.* The contractor will report improper receipt of foreign government material in accordance with § 117.8(c)(13).
( 13 ) *Subcontracting.* Subcontracting procedures will be in accordance with § 117.17(a)(4).
( d ) *International transfers of classified material* — ( 1 ) *General.* This paragraph (d) contains the procedures for international transfers of classified material through government-to-government channels or other arrangements agreed to by the governments involved, otherwise referred to as government-to-government transfers. The requirements in this paragraph (d) do not apply to the transmission of classified material to usg activities outside the united states. ( i ) All international transfers of classified material must take place through channels approved by both governments. U.S. control of classified material must be maintained until the material is officially transferred to the intended recipient government through its designated government representative (DGR).
( ii ) To ensure government control, written transmission instructions must be prepared for all international transfers of classified material. The contractor is responsible for the preparation of instructions for direct commercial arrangements, and the GCA will prepare instructions for government arrangements.
( iii ) The contractor will contact the CSA at the earliest possible stage in deliberations that will lead to the international transfer of classified material. The CSA will advise the contractor on the transfer arrangements, identify the recipient government's DGR, appoint a U.S. DGR, and ensure that the transportation plan prepared by the contractor or foreign government is adequate.
( iv ) The contractor's empowered official is responsible for requests for all export authorizations, including ones that will involve the transfer of classified information.
( 2 ) *Transfers of freight* — ( i ) *Transportation plan (TP).* ( A ) A requirement to prepare a TP will be included in each arrangement that involves the international transfer of classified material as freight. The TP will: ( 1 ) Describe requirements for the secure shipment of the material from the point of origin to the ultimate destination.
( 2 ) Provide for security requirements in the event the transfer cannot be made promptly.
( B ) The U.S. and recipient government DGRs will be identified in the TP as well as any requirement for an escort. When there are to be repetitive shipments, a notice of classified consignment will be used.
( ii ) *Government agency arrangements.* Classified material to be furnished to a foreign government under such transactions normally will be shipped via government agency-arranged transportation and be transferred to the foreign government's DGR within the recipient government's territory. ( A ) The government agency that executes the arrangement is responsible, in coordination with the recipient foreign government, for preparing a TP.
( B ) When the point of origin is a U.S. contractor facility, the GCA will provide the contractor with a copy of the TP and the applicable letter of offer and acceptance. If a freight forwarder will be involved in processing the shipment, the GCA will provide a copy of the TP to the freight forwarder.
( C ) *Commercial arrangements.* ( 1 ) The contractor will prepare a TP in coordination with the receiving government. This requirement applies whether the material is moved by land, sea, or air, and applies to U.S. and foreign classified contracts.
( 2 ) After the CSA approves the TP, the CSA will forward it to the recipient foreign government security authorities for final coordination and approval. The CSA will notify the contractor upon the concurrence by the respective parties.
( D ) *International carriers.* The international transfer of classified material will be made using only ships, aircraft, or other carriers that: ( 1 ) Are owned or chartered by the USG or under U.S. registry;
( 2 ) Are owned or chartered by or under the registry of the recipient government; or
( 3 ) Are other than those described that are expressly authorized to perform this function in writing by the Designated Security Authority of the GCA and the security authorities of the foreign government involved. This authority cannot be delegated and this exception may be authorized only when a carrier described in paragraph (d)(2)(iv)(A) or (d)(2)(iv)(B) in this section is not available and an urgent operational requirement dictates use of the exception.
( E ) *Escorts.* ( 1 ) The contractor must provide escorts for international shipments of SECRET or CONFIDENTIAL material by air.
( 2 ) Escorts must have an eligibility determination and access to classified information at the classification level of the material being shipped.
( 3 ) Escorts are responsible for ensuring that the classified material being shipped is safeguarded in the event of an emergency stop en route, re-routing of the aircraft, or in the event that the recipient government's representative fails to meet the shipment at its destination.
( 4 ) The contractor does not have to provide escorts if: ( i ) The classified material is shipped by the Defense Transportation System or a U.S. military carrier.
( ii ) The recipient government DGR has signed for the receipt of the classified material within the United States.
( iii ) The classified material is shipped via a military carrier of the recipient government or a carrier owned by or registered to the recipient government.
( iv ) The classified material is shipped via a cleared U.S. commercial freight carrier, so long as the contractor has a written agreement from the U.S. commercial freight carrier to provide an escort who is eligible for access to classified information and has access to classified information at the classification level of the material being shipped.
( v ) There are exceptional circumstances, and procedures have been approved by both the USG and the recipient government.
( 3 ) *Secure communications plan.* ( i ) The contractor is required to meet all requirements outlined in this section, as applicable, for the secure communications plan.
( ii ) The secure communications plan may be approved within a program security instruction, SSP, or a government to government agreement by the designated security authorities. A separate memorandum of understanding or memorandum of agreement is not required.
( iii ) Additionally, an SSP must be authorized in accordance with § 117.18 and the CSA provided guidance.
( 4 ) *Return of material for repair, modification, or maintenance.* ( i ) A foreign government or foreign contractor may return classified material to a U.S. contractor for repair, modification, or maintenance.
( ii ) The approved methods of return will be specified in either the GCA sales arrangement, the security requirements section of a direct commercial sales arrangement or, in the case of material transferred as freight, in the original TP.
( iii ) The contractor, on receipt of notification that classified material is to be received, will notify the applicable CSA.
( 5 ) *Use of freight forwarders.* ( i ) A commercial freight forwarder may be used to arrange for the international transfer of classified material as freight. ( A ) The freight forwarder must be under contract to a USG agency, U.S. contractor, or the recipient foreign government.
( B ) The contract will describe the specific functions to be performed by the freight forwarder.
( C ) The responsibility for security and control of the classified material that is processed by freight forwarders remains with the USG until the freight is transferred to a DGR of the recipient government.
( ii ) Only freight forwarders that have a valid determination of eligibility for access to classified information and storage capability for classified material at the appropriate level are eligible to take custody or possession of classified material for delivery as freight to foreign recipients. Freight forwarders that only process unclassified paperwork and make arrangements for the delivery of classified material to foreign recipients do not require an eligibility determination for access to classified information.
( iii ) A freight forwarder cannot serve as a DGR.
( 6 ) *Hand carrying classified material.* To meet contractual requirements, the CSA may authorize contractor employees to hand carry classified material outside the United States. SECRET is the highest level of classified material to be carried and it must be of such size and weight that the courier can retain it in his or her possession at all times. ( i ) The CSA will ensure that the contractor has made necessary arrangements with U.S. airport security and customs officials and that security authorities of the receiving government approve the plan. If the transfer is under a contract or a bilateral or multinational government program, the GCA will approve the request in writing. The contractor will notify the CSA of a requirement to hand carry at least 5 working days in advance of the transfer.
( ii ) The courier must be a full-time employee of the dispatching or receiving contractor who has been determined eligible and has been granted access to classified information.
( iii ) The employing contractor will provide the courier with a courier certificate that is consecutively numbered and valid for one journey only. The journey may include more than one stop if approved by the CSA and secure government storage has been arranged at each stop. The courier will return the courier certificate to the dispatching contractor immediately on completion of the journey.
( iv ) Before commencement of each journey, the courier will read and initial the notes to the courier attached to the courier certificate and sign the courier declaration. The contractor will maintain the declaration until completion of the next CSA security review.
( v ) The dispatching contractor will inventory, wrap, and seal the material in the presence of the U.S. DGR. The contractor will place the address of the receiving security office and the return address of the dispatching contractor security office on the inner envelope or wrapping and mark it with the appropriate classification. The contractor will place the address of the receiving government's DGR on the outer envelope or wrapping along with the return address of the dispatching contractor.
( vi ) The dispatching contractor will prepare three copies of a receipt based on the inventory and list the classified material that is being sent. The dispatching contractor will retain one copy of the receipt. The contractor will pack the other two copies with the classified material. The contractor will obtain a receipt for the sealed package from the courier.
( vii ) The dispatching contractor will provide the receiving contractor with 24 work hours advance notification of the anticipated date and time of the courier's arrival and the identity of the courier. The receiving contractor must notify the dispatching contractor if the courier does not arrive within 8 hours of the expected time of arrival. The dispatching contractor will notify its DGR of any delay, unless officially notified otherwise of a change in the courier's itinerary.
( viii ) The receiving DGR will verify the contents and sign the receipts enclosed in the consignment. The receiving DGR will return one copy to the courier. On return, the courier will provide the executed receipt to the dispatching contractor.
( ix ) Throughout the journey, the courier will maintain the classified material under direct personal control. The courier will not leave the material unattended at any time during the journey, in the transport being used, in hotel rooms, in cloakrooms, or other such location, and will not deposit it in hotel safes, luggage lockers, or in luggage offices. In addition, the courier will not open envelopes or packages containing the classified material en route, unless required by customs or other government officials.
( x ) When inspection by government officials is unavoidable, the courier will request that the officials provide written verification that they have opened the package. The courier will notify their employing contractor as soon as possible. The contractor will notify the U.S. DGR. If the inspecting officials are not of the same country as the dispatching contractor, the CSA will notify the designated security authority in the country whose officials inspected the consignment. Under no circumstances will the courier hand over the classified material to customs or other officials for their custody.
( xi ) When carrying classified material, the courier will not travel by surface routes through third countries, except as authorized by the CSA. The courier will travel only on carriers described in paragraph (d)(2)(iv) in this section, and will travel direct routes between the United States and the destination.
( 7 ) *Classified material receipts.* ( i ) The U.S. DGR and the DGR of the ultimate foreign recipient will maintain a continuous chain of receipts to record international transfers of all classified material from the contractor through the dispatching DGR and recipient DGR to the ultimate foreign recipient. The dispatching contractor will retain: ( A ) An active suspense record until return of applicable receipts for the material.
( B ) A copy of the external receipt that records the passing of custody of the package containing the classified material and each intermediate consignee in a suspense file until the receipt that is enclosed in the package is signed and returned.
( ii ) The contractor will initiate follow-up action through the CSA if the signed receipt is not returned within 45 days.
( 8 ) *Contractor preparations for international transfers of classified material pursuant to direct commercial and foreign military sales.* To prepare for international transfers the contractor will: ( i ) Identify each party to be involved in the transfer in the applicable contract or agreement and in the license application or letter request.
( ii ) Notify the appropriate U.S. DGR when the material is ready.
( iii ) When the classified material is also ITAR-controlled, provide documentation or written certification by an empowered official (as defined in the ITAR) to the U.S. DGR. This documentation must verify that the classified shipment is within the limitation scope of the pertinent export authorization or an authorized exemption to the export authorization requirements, or is within the limitations of the pertinent GCA contract.
( iv ) Have the classified shipment ready for visual review and verification by the DGR. As a minimum this will include: ( A ) Preparing the packaging materials, address labels, and receipts for review.
( B ) Marking the contents with the appropriate U.S. classification or the equivalent foreign government classification, downgrading, and declassification markings, as applicable.
( C ) Ensuring that shipping documents (including, as appropriate, the shipper's export declaration) include the name and contact information for the CSA that validates the license or letter authorization, and the FSO or designee for the particular transfer.
( D ) Sending advance notification of the shipment to the CSA, the recipient, and to the freight forwarder, if applicable. The notification will require that the recipient confirm receipt of the shipment or provide notice to the contractor if the shipment is not received in accordance with the prescribed shipping schedule.
( 9 ) *Transfers pursuant to an ITAR exemption.* ( i ) The contractor will provide to the DGR valid documentation (*i.e.,* license, export authorization, letter of offer and acceptance, or agreement) to verify the export authorization for classified technical data information or certain defense articles to be transferred under an exemption to the ITAR exemption. The documentation must include a copy of the Department of State Form DSP-83 associated with the original export authorization.
( ii ) Classified technical data information or certain defense articles to be exported pursuant to ITAR exemptions will be supported by a written authorization signed by an authorized exemption official or exemption certifying official who has been appointed by the GCA's responsible disclosure authority. ( A ) The contractor will provide a copy of the authorization to the CSA.
( B ) The CSA will provide a copy of the authorization to the Department of State Directorate of Defense Trade Controls (DDTC).
( e ) *International visits* — ( 1 ) *General.* ( i ) The contractor will establish procedures to monitor international visits by their employees and visits or assignments of foreign nationals to the contractor location. Doing so will ensure that the disclosure of, and access to, classified export-controlled articles related to classified information are limited to those that are approved by an export authorization.
( ii ) Contractors cannot use visit authorizations to employ or otherwise acquire the services of foreign nationals that require access to export-controlled information. An export authorization is required for such situations.
( 2 ) *International visits by U.S. contractor employees* — ( i ) *Types and purpose of international visits* — ( A ) *One-time visits.* A visit for a single, short-term occasion (normally 30 days or fewer) for a specified purpose.
( B ) *Recurring visits.* Intermittent, recurring visits over a specified period of time, normally up to one year in duration, in support of a government-approved arrangement, such as an agreement, contract, or license. By agreement of the governments, the term of the authorization may be for the duration of the arrangement, subject to annual review, and validation.
( C ) *Long-term visits.* A single visit for an extended period of time, normally up to one year, in support of an agreement, contract, or license.
( D ) *Emergency visits.* A visit related to a specific government-approved contract, international agreement or announced request for proposal, and failure to make the visit could be reasonably expected to seriously jeopardize performance on the contract or program, or result in the loss of a contract opportunity.
( ii ) *Requests for visits.* Visit requests are necessary to make administrative arrangements and disclosure decisions and obtain security assurances. ( A ) Many foreign governments require the submission of a visit request for all visits to a government facility or a cleared contractor facility, even though classified information may not be involved. They may also require that the requests be received a specified number of days in advance of the visit.
( B ) The contractor can obtain information pertaining to the visit requirements of other governments and the NATO from the CSA. The contractor must obtain an export authorization if classified export controlled articles or technical data is to be disclosed or if information to be divulged is related to a classified USG program, unless the disclosure of the information is covered by other agreements, authorizations, or exemptions.
( iii ) *Request format.* Contractors will request a visit request template from the CSA. The contractor will forward the visit request to the security official designated by the CSA. The host for the visit should coordinate the visit in advance with appropriate government authorities who are required to approve the visit. It is the visitor's responsibility to ensure that such coordination has occurred.
( iv ) *Government agency programs.* The contractor will submit a visit request when contractor employees are to visit foreign government facilities or foreign contractors on USG orders in support of a government contract or agreement.
( v ) *Requests for emergency visits.* The requester will include in the emergency visit request, and any other requirements in accordance with applicable CSA guidance: ( A ) The complete name, position, address, and telephone number of the person to be visited.
( B ) A knowledgeable foreign government point of contact.
( C ) The identification of the contract, agreement, or program and the justification for submission of the emergency visit request.
( vi ) *Requests for recurring visits.* Contractors will request recurring visit authorizations at the beginning of each program. After approval of the request, the contractor may arrange individual visits directly with the security office of the location to be visited subject to 5 working days advance notice.
( vii ) *Amendments.* ( A ) Once visit requests have been approved or are being processed, the contractor may amend them only to change, add, or delete names and change dates.
( B ) The contractor cannot amend visit requests to specify dates that are earlier than originally specified.
( C ) The contractor cannot amend emergency visit authorizations.
( 3 ) *Classified visits by foreign nationals to U.S. contractors* — ( i ) *Requests for classified visits.* Requests for visits by foreign nationals to U.S. contractors that will involve the disclosure of classified information may require authorization by the Department of State. Classified visits by foreign nationals must be processed by government national security authorities on behalf of the contractor through the sponsoring foreign government (normally the visitor's embassy) to the USG for approval.
( ii ) *USG approval.* The USG may approve or deny the request or decline to render a decision. ( A ) *USG-Approved Visits.* ( 1 ) USG approved classified visits cannot be used to avoid the export licensing requirements for commercial initiatives.
( 2 ) When the cognizant USG agency approves a classified visit, the notification of approval will contain instructions on the level and scope of classified and unclassified information authorized for disclosure, as well as any limitations.
( 3 ) Final acceptance for the visit will be subject to the concurrence of the contractor. The contractor will notify the USG agency when a classified visit is not desired.
( B ) *Visit request denials.* ( 1 ) If the USG agency does not approve the disclosure of the information related to the proposed classified visit, it will deny the classified visit request. The USG agency will advise the requesting government and the contractor to be visited of the reason for the denial.
( 2 ) The contractor may accept the visitor(s), but only information that is in the public domain may be disclosed during the classified visit.
( C ) *Non-sponsorship.* The USG agency will decline to render a decision on a classified visit request that is not in support of a USG program. The USG agency will furnish a declination notice indicating that the classified visit is not USG-approved (*i.e.,* the classified visit is non-sponsored) to the requesting foreign government with an information copy to the U.S. contractor to be visited. ( 1 ) A declination notice does not preclude the classified visit, provided the contractor has, or obtains, an export authorization for the information involved and, has been notified that the requesting foreign government has provided the required security assurance of the proposed visitor to the USG agency in the original classified visit request.
( 2 ) It is the contractor's responsibility to consult applicable export regulations to determine licensing requirements regarding the disclosure of export-controlled information during such classified visits by foreign nationals.
( D ) *Visits to subsidiaries.* A classified visit request authorization for a classified visit to any element of a corporate family may be used for visits to other divisions or subsidiaries within the same corporate family in accordance with § 117.15(h)(3), provided disclosures are for the same purpose and the information to be disclosed does not exceed the parameters of the approved classified visit request.
( E ) *Long-term classified visits and assignments of foreign nationals.* Extended classified visits and assignments of foreign nationals to contractor locations can be authorized only when it is essential pursuant to a contract or government agreement (*e.g.,* joint venture, liaison representative to a joint or multinational program, and direct commercial sale). The contractor will: ( 1 ) Consult with its empowered official for guidance.
( 2 ) Notify the CSA in advance of all long-term classified visits and assignments of foreign nationals.
( 3 ) Provide the CSA with a copy of the approved classified visit authorization or the USG export authorization.
( 4 ) *Control of foreign visitors to U.S. contractors* — ( i ) *Contractor.* The contractor will: ( A ) Establish procedures to ensure that foreign visitors are not afforded access to classified information except as authorized by an export license, approved visit request, or other exemption to the licensing requirements.
( B ) Not inform the foreign visitor of the scope of access authorized or of the limitations imposed by the government.
( ii ) *Foreign visitors.* Foreign visitors will not be given custody of classified material except when they are acting as official couriers of the government and the CSA authorizes the transfer.
( iii ) *Visitor records.* The contractor will maintain a record of foreign visitors for one year when the visit involves access to classified information.
( iv ) *Temporary approval of safeguarding.* ( A ) Classified U.S. and foreign government material at a U.S. contractor location is to remain under U.S. contractor custody and control and is subject to self-inspection and CSA security reviews.
( B ) This does not preclude the contractor from furnishing a foreign visitor with a security container for the temporary storage of classified material, consistent with the purpose of the visit or assignment, provided the CSA approves and responsibility for the container and its contents remains with the U.S. contractor. ( 1 ) The CSA may approve exceptions to this policy on a case-by-case basis for the storage of foreign government classified information furnished to the visitor by the visitor's government through government channels.
( 2 ) The CSA must approve such exceptions in advance in writing with agreement from the visitor's government. The agreed procedures will be included in the contractor's TCP, will require the foreign nationals to provide receipts for the material, and will include an arrangement for the CSA to ensure compliance, including provisions for the CSA to inspect and inventory the material.
( v ) *TCP.* A TCP is required to control access by foreign nationals assigned to, or employed by, cleared contractor facilities, and when foreign nationals visit cleared contractor facilities on a long-term or extended basis, unless the CSA determines that procedures already in place at the contractor's facility are adequate. The TCP will contain procedures to control access for all export-controlled information. A sample TCP may be obtained from the CSA.
( f ) *Contractor operations abroad* — ( 1 ) *Access by contractor employees assigned outside the United States.* ( i ) Contractor employees assigned outside the United States, its possessions, or territories may have access to classified information in connection with performance on a specified U.S., NATO, or foreign government classified contract.
( ii ) The assignment of an employee who is a non-U.S. citizen outside the United States on programs that will involve access to classified information is prohibited.
( 2 ) *Storage, custody, and control of classified information abroad by contractor employees.* ( i ) The USG is responsible for the storage, custody, and control of classified information required by a U.S. contractor employee abroad. Therefore, the storage of classified information by contractor employees at any location abroad that is not under USG control is prohibited. The storage may be at a U.S. military facility, an American Embassy or consulate, or other location occupied by a USG organization.
( ii ) A contractor employee may be furnished a security container to temporarily store classified material at a USG agency overseas location. The decision to permit a contractor to temporarily store classified information must be approved in writing by the senior security official for the USG host organization.
( iii ) A contractor employee may be permitted to temporarily remove classified information from an overseas USG-controlled facility when necessary for the performance of a GCA contract or pursuant to an approved export authorization. ( A ) The responsible USG security official at the facility will verify that the contractor has an export authorization or other written USG approval to have the material, verify the need for the material to be removed from the facility, and brief the employee on handling procedures. ( 1 ) In such cases, the contractor employee will sign a receipt for the classified material.
( 2 ) Arrangements will also be made with the USG custodian for the return and storage of the classified material during non-duty hours.
( B ) The security office at the USG facility will report violations of this policy to the applicable CSA.
( iv ) A contractor employee will not store classified information at overseas divisions or subsidiaries of U.S. entities incorporated or located in a foreign country. ( A ) The divisions or subsidiaries may possess classified information that has been transferred to the applicable foreign government through government-to-government channels pursuant to an approved export authorization or other written USG authorization.
( B ) Access to this classified information at such locations by a U.S. contractor employee assigned abroad by the parent facility on a visit authorization in support of a foreign government contract or subcontract, is governed by the laws and regulations of the country in which the division or subsidiary is registered or incorporated. The division or subsidiary that has obtained the information from the foreign government will provide the access.
( v ) U.S. contractor employees assigned to foreign government or foreign contractor locations under a direct commercial sales arrangement will be subject to the host-nation's industrial security policies.
( 3 ) *Transmission of classified material to employees abroad.* The transmission of classified material to a cleared contractor employee located outside the United States will be through USG channels. ( i ) If the material is to be used for other than USG purposes, an export authorization is required and a copy of the authorization, validated by the DGR, will accompany the material. The material will be addressed to a U.S. military organization or other USG organization (*e.g.,* an embassy).
( ii ) USG organization abroad will be responsible for custody and control of the material.
( 4 ) *Security briefings.* An employee being assigned outside the United States will be briefed on the security requirements of his or her assignment, including the handling, disclosure, and storage of classified information overseas.
( g ) *NATO information security requirements* — ( 1 ) *General.* This section provides the security requirements needed to comply with the procedures established by the U.S. Security Authority for NATO Affairs Instruction 1-07 (available at: *http://archives.nato.int/informationobject/browse?topLod=0&query=United+States+Security+Authority+for+NATO+Affairs+Instruction+1-07*) for safeguarding NATO information provided to U.S. industry.
( 2 ) *NATO security classification levels.* Table 1 to Paragraph (g)(2) NATO Security Classification Levels
NATO security classification
Classification level COSMIC TOP SECRET
Top Secret. NATO SECRET
Secret. NATO CONFIDENTIAL
Confidential. NATO RESTRICTED1
Does not correspond to an equivalent U.S. classification. 1 Pursuant to applicable NATO security regulations and United States Security Authority, NATO Instruction 1-07, security accreditation may be delegated to contractors for information systems processing only NATO RESTRICTED information. The contractor will be responsible for executing specific provisions under contract for the accreditation of such systems, and shall provide the Contracting Authority with a written statement confirming the information system has been accredited in compliance with the minimum requirements established in the contract security clause or contract Security Aspects Letter.
( 3 ) *ATOMAL Classification Markings.* ATOMAL is a marking applied to U.S. RESTRICTED DATA or FORMERLY RESTRICTED DATA and UK Atomic information that has been released to the NATO. Table 2 to Paragraph (g)(3) ATOMAL Classification Markings
ATOMAL marking
Classification level COSMIC TOP SECRET ATOMAL
Top Secret. NATO SECRET ATOMAL
Secret. NATO CONFIDENTIAL ATOMAL
Confidential.
( 4 ) *NATO contracts.* NATO contracts involving NATO-unique systems, programs, or operations are awarded by a NATO Production and Logistics Organization (NPLO), a designated NATO Management Agency, the NATO Research Staff, or a NATO Command. In the case of NATO infrastructure projects (*e.g.,* airfields, communications), the NATO contract is awarded by a contracting agency or prime contractor of the NATO nation responsible for the infrastructure project.
( 5 ) *NATO facility security clearance certificate (FSCC).* A NATO FSCC is required for a contractor to negotiate or perform on a NATO classified contract. ( i ) A U.S. entity qualifies for a NATO FSCC if it has an equivalent U.S. entity eligibility determination and its personnel have been briefed on NATO procedures.
( ii ) The CSA will provide the NATO FSCC to the requesting activity.
( iii ) A NATO FSCC is not required for GCA contracts involving access to NATO classified information.
( 6 ) *Eligibility for personnel access to classified information.* Access to NATO classified information requires a final determination that an individual is eligible for access to classified information at the equivalent level.
( 7 ) *NATO briefings.* Before having access to NATO classified information, the contractor will give employees a NATO security briefing that covers the requirements of this section and the consequences of negligent handling of NATO classified information. A representative of the CSA will give the initial briefing to the contractor. The contractor must conduct annual refresher briefings. ( i ) When access to NATO classified information is no longer required, the contractor will debrief the employees. The employees will sign a certificate stating that they have been briefed or debriefed, as applicable, and acknowledge their responsibility for safeguarding NATO information.
( ii ) The contractor will maintain certificates for two years for NATO SECRET and CONFIDENTIAL, and three years for COSMIC TOP SECRET and all ATOMAL information. The contractor will maintain a record of all NATO briefings and debriefings in the CSA-designated database.
( 8 ) *Access to NATO classified information by foreign nationals.* Foreign nationals of non-NATO nations may have access to NATO classified information only with the consent of the NATO Office of Security and the contracting activity. ( i ) Requests will be submitted to the Central U.S. Registry (CUSR).
( ii ) Access to NATO classified information may be permitted for citizens of NATO member nations, provided a NATO security clearance certificate is provided by their government and they have been briefed.
( 9 ) *Subcontracting for NATO contracts.* The contractor will obtain prior written approval from the NATO contracting activity and a NATO FSCC must be issued prior to awarding the subcontract. The contractor will forward the request for approval through the CSA.
( 10 ) *Preparing and marking NATO documents.* All classified documents created by a U.S. contractor will be portion-marked. Any portion extracted from a NATO document that is not portion marked, must be assigned the classification that is assigned to the NATO document. ( i ) All U.S.-originated NATO classified documents will bear an assigned reference number and date on the first page. The reference numbers will be assigned as follows: ( A ) The first element will be the abbreviation for the name of the contractor.
( B ) The second element will be the abbreviation for the highest classification followed by a hyphen and the 4-digit sequence number for the document within that classification that has been generated for the applicable calendar year.
( C ) The third element will be the year; *e.g.,* MM/NS-0013/17.
( ii ) COSMIC TOP SECRET, NATO SECRET, and ATOMAL documents will bear the reference number on each page and a copy number on the cover or first page. ( A ) Copies of NATO documents will be serially numbered.
( B ) Pages will be numbered.
( C ) The first page, index, or table of contents will include a list, including page numbers, of all annexes and appendices.
( D ) The total number of pages will be stated on the first page.
( E ) All annexes or appendices will include the date of the original document and the purpose of the new text (addition or substitution) on the first page.
( iii ) One of the following markings will be applied to NATO documents that contain ATOMAL information: ( A ) “This document contains U.S. ATOMIC Information (RESTRICTED DATA or FORMERLY RESTRICTED DATA) made available pursuant to the NATO Agreement for Cooperation Regarding ATOMIC Information, dated 18 June 1964, and will be safeguarded accordingly.”
( B ) “This document contains UK ATOMIC Information. This information is released to NATO including its military and civilian agencies and member states on condition that it will not be released by the recipient organization to any other organization or government or national of another country or member of any other organization without prior permission from H.M. Government in the United Kingdom.”
( iv ) Working papers will be retained only until a final product is produced and in accordance with § 117.15(e)(3).
( 11 ) *Classification guidance.* Classification guidance will be in the form of a NATO security aspects letter and a security requirements checklist for NATO contracts, or a Contract Security Classification Specification, or equivalent. ( i ) If adequate classification guidance is not received, the contractor will contact the CSA for assistance.
( ii ) NATO classified documents and NATO information in other documents will not be declassified or downgraded without the prior written consent of the originating activity.
( iii ) Recommendations concerning the declassification or downgrading of NATO classified information will be forwarded to the CUSR.
( 12 ) *Further distribution.* The contractor will not release or disclose NATO classified information to a third party or outside the contractor's facility for any purpose without the prior written approval of the contracting agency.
( 13 ) *Storage of NATO documents.* NATO classified documents will be stored as prescribed for U.S. documents of an equivalent classification level, except as follows: ( i ) NATO classified documents will not be comingled with other documents.
( ii ) Combinations for containers used to store NATO classified information will be changed annually. The combination also will be changed when an individual with access to the container departs or no longer requires access to the container, and if the combination is suspected of being compromised.
( iii ) When the combination is recorded it will be marked with the highest classification level of documents stored in the container as well as to indicate the level and type of NATO documents in the container. The combination record must be logged and controlled in the same manner as NATO classified documents.
( 14 ) *International transmission.* The NATO has a registry system for the receipt and distribution of NATO documents within each NATO member nation. The central distribution point for the United States is the CUSR now located at 9301 Chapek Road, Building 1458, Fort Belvoir, Virginia 22060. ( i ) The CUSR establishes sub registries at USG organizations for further distribution and control of NATO documents. Sub registries may establish control points at contractor facilities.
( ii ) COSMIC TOP SECRET, NATO SECRET, and all ATOMAL documents will be transferred through the registry system. NATO CONFIDENTIAL documents provided as part of NATO infrastructure contracts will be transmitted via government channels in compliance with paragraph (d) in this section.
( 15 ) *Hand carrying.* NATO SECRET and NATO CONFIDENTIAL documents may be hand carried across international borders if authorized by the GCA. The courier will be issued a NATO Courier Certificate by the CSA. When hand carrying is authorized, the documents will be delivered to a U.S. organization at NATO, which will transfer them to the intended NATO recipient.
( 16 ) *Reproduction.* Reproductions of COSMIC TOP SECRET and COSMIC TOP SECRET ATOMAL information will be performed by the responsible Registry. The reproduction of NATO SECRET and CONFIDENTIAL documents may be authorized to meet contractual requirements unless reproduction is prohibited by the contracting entity. Copies of COSMIC TOP SECRET, NATO SECRET, and ATOMAL documents will be serially numbered and controlled and accounted for in the same manner as the original.
( 17 ) *Disposition.* ( i ) Generally, all NATO classified documents will be returned to the contracting activity that provided them on completion of the contract. Documents provided in connection with an invitation to bid also will be returned immediately if the bid is not accepted or submitted.
( ii ) NATO classified documents may also be destroyed when permitted. COSMIC TOP SECRET and COSMIC TOP SECRET ATOMAL documents will be destroyed by the registry that provided the documents. ( A ) Destruction certificates are required for all NATO classified documents except NATO CONFIDENTIAL.
( B ) The destruction of COSMIC TOP SECRET, NATO SECRET, and all ATOMAL documents must be witnessed.
( 18 ) *Accountability records.* Logs, receipts, and destruction certificates are required for NATO classified information. Records for NATO documents will be maintained separately from records of non-NATO documents (methods such as separate drawers of a container). ( i ) COSMIC TOP SECRET and all ATOMAL documents will be recorded on logs maintained separately from other NATO logs and will be assigned unique serial control numbers.
( ii ) Additionally, disclosure records bearing the name and signature of each person who has access are required for all COSMIC TOP SECRET, COSMIC TOP SECRET ATOMAL, and all other ATOMAL or NATO classified documents to which special access limitations have been applied.
( iii ) Minimum identifying data on logs, receipts, and destruction certificates will include the NATO reference number, short title, date of the document, classification, and serial copy numbers. Logs will reflect the short title, unclassified subject, and distribution of the documents.
( iv ) Receipts are required for all NATO classified documents except NATO CONFIDENTIAL.
( v ) Inventories will be conducted annually of all COSMIC TOP SECRET, NATO SECRET, and ATOMAL documents.
( vi ) Accountability records for ATOMAL documents will be retained for 10 years after transfer or destruction of the ATOMAL document. Destruction certificates will be retained for 10 years after destruction of the related ATOMAL documents.
( 19 ) *Security violations and loss, compromise, or possible compromise.* The contractor will immediately report the loss, compromise, or suspected loss or compromise, as well as any other security violations involving NATO classified information to the CSA.
( 20 ) *Extracting from NATO documents.* Permission to extract from a COSMIC TOP SECRET or ATOMAL document will be obtained from the CUSR. ( i ) If extracts of NATO information are included in a U.S. document prepared for a non-NATO contract, the document will be marked with U.S. classification markings. The caveat, “THIS DOCUMENT CONTAINS NATO (level of classification) INFORMATION” also will be marked on the front cover or first page of the document. Additionally, each paragraph or portion containing the NATO information will be marked with the appropriate NATO classification, abbreviated in parentheses (*e.g.,* “NS” for NATO SECRET) preceding the portion or paragraph. Declassification and downgrading instructions shall indicate that the NATO information is exempt from declassification or downgrading without the prior consent of NATO, in the absence of other originator instructions, citing the reason “Foreign Government Information.”
( ii ) The declassification or downgrading of NATO information in a U.S. document requires the approval of the originating NATO activity. Requests will be submitted to the CUSR for NATO contracts, through the GCA for U.S. contracts, and through the CSA for non-NATO contracts awarded by a NATO member nation.
( 21 ) *Release of U.S. information to NATO.* ( i ) Release of U.S. classified or export-controlled information to NATO requires an export authorization or other written disclosure authorization. When a document containing U.S. classified information is being prepared for NATO, the appropriate NATO classification markings will be applied to the document. ( A ) Documents containing U.S. classified information and U.S. classified documents that are authorized for release to NATO will be marked on the cover or first page “THIS DOCUMENT CONTAINS U.S. CLASSIFIED INFORMATION. THE INFORMATION IN THIS DOCUMENT HAS BEEN AUTHORIZED FOR RELEASE TO (cite the NATO organization) BY (cite the applicable license or other written authority).”
( B ) The CSA will provide transmission instructions to the contractor. The material will be addressed to a U.S. organization at NATO, which will then place the material into NATO security channels. The material will be accompanied by a letter to the U.S. organization that provides transfer instructions and assurances that the material has been authorized for release to NATO. The inner wrapper will be addressed to the intended NATO recipient.
( C ) Material to be sent to NATO via mail will be routed through the U.S. Postal Service and U.S. military postal channels to the U.S. organization that will make the transfer.
( ii ) A record will be maintained that identifies the originator and source of classified information that are used in the preparation of documents for release to NATO. The record will be provided with any request for release authorization.
( 22 ) *Visits.* NATO visits will be handled in accordance with the requirements in paragraph (e) of this section. A NATO Certificate of Security Clearance will be included with the visit request. ( i ) *NPLO and NATO industrial advisory group (NIAG) recurring visits.* NATO has established special procedures for recurring visits involving contractors, government departments and agencies, and NATO commands and agencies that are participating in a NPLO or NIAG contract or program. The NATO management office or agency responsible for the NPLO program will prepare a list of the government and contractor facilities participating in the program. For NIAG programs, the list will be prepared by the responsible NATO staff element. The list will be forwarded to the appropriate clearance agency of the participating nations, which will forward it to the participating contractor.
( ii ) *Visitor record.* The contractor will maintain a record of NATO visits including those by U.S. personnel assigned to NATO. The records will be maintained for three years.
( h ) *Security and export control violations involving foreign nationals.* Contractors will report any violation of administrative security procedures or export control regulations that would subject classified information to possible compromise by foreign visitors or foreign national employees to the applicable CSA.
( i ) *Transfers of defense articles to the UK or AUS without a license or other written authorization* — ( 1 ) *Treaties with AUS and UK.* Exemptions in ITAR parts 126.16 and 126.17 implement the Defense Trade Cooperation Treaty between the Government of the United States of America and the Government of the UK of Great Britain and Northern Ireland and the Defense Trade Cooperation Treaty between the Government of the United States of America and the Government of AUS, also known as the “U.S.-UK Treaty” and “U.S.-AUS Treaty,” respectively, referred to collectively in this rule as “the Treaties.” ( i ) The Treaties provide a comprehensive framework for exports and transfers to the UK or AUS of certain classified and unclassified defense articles without a license or other written authorization.
( ii ) The ITAR part 126, supplement no. 1 identifies those defense articles and services that are not eligible for export via treaty exemptions.
( iii ) This exemption applies to contractors registered with the DDTC and eligible to export defense articles.
( 2 ) *Defense articles.* Defense articles fall under the scope of the Treaties when they are in support of: ( i ) U.S. and UK or U.S. and AUS combined military or counter-terrorism operations.
( ii ) U.S. and UK or U.S. and AUS cooperative security and defense research, development, production, and support programs.
( iii ) Mutually agreed specific security and defense projects where the government of the UK or AUS is the end-user.
( iv ) USG end-use.
( 3 ) *Marking requirements.* Contractors are required to mark defense articles that fall under the scope of the treaty prior to transferring from the U.S. to the UK in accordance with the provisions of this paragraph. All other standard classification marking in accordance with § 117.14 also apply. When defense articles are returned from the UK or AUS to the United States, any defense articles marked as RESTRICTED in the manner shown in Table 4 purely for the purposes of the treaties will be considered to be unclassified and such marking will be removed. Table 3 to Paragraph (i)(3) Classified U.S. Defense Article Markings
UNCLASSIFIED: CLASSIFICATION MARKINGS FOR ILLUSTRATION PURPOSES ONLY
Treaty with:
Marking
Example(for SECRET classified defense articles) Government of UK
//CLASSIFICATION LEVEL USML/REL GBR AND USA TREATY COMMUNITY//
//SECRET USML//REL GBR AND USA TREATY COMMUNITY//” Government of AUS
//CLASSIFICATION LEVEL USML/REL AUS AND USA TREATY COMMUNITY//
//SECRET USML//REL AUS AND USA TREATY COMMUNITY//”
Table 4 to Paragraph (i)(3) Unclassified U.S. Defense Article Markings
UNCLASSIFIED: CLASSIFICATION MARKINGS FOR ILLUSTRATION PURPOSES ONLY
Treaty with:
Marking Government of UK
//RESTRICTED-USML//REL GBR AND USA TREATY COMMUNITY// Government of AUS
//RESTRICTED-USML//REL AUS AND USA TREATY COMMUNITY//
( 4 ) *Notice.* A notice will be included (*e.g.,* as part of the bill of lading) whenever defense articles are exported in accordance with the provisions of these treaties and the ITAR. Table 5 to Paragraph (i)(4) Notice Text for Exported Defense Articles
Notice text
These U.S. Munitions List commodities are authorized by the U.S. Government under the U.S. [AUS or UK, as applicable] Defense Trade Cooperation Treaty for export only to [AUS or UK, as applicable] for use in approved projects, programs or operations by members of the [AUS or UK, as applicable] Community. They may not be retransferred or re-exported or used outside of an approve project, program, or operation, either in their original form or after being incorporated into other end-items, without the prior written approval of the U.S. Department of State.
( 5 ) *Labeling.* ( i ) Defense articles (other than technical data) will be individually labeled with the appropriate identification; or, where such labeling is impracticable (*e.g.,* propellants, chemicals), will be accompanied by documentation (such as contracts or invoices) clearly associating the defense articles with the appropriate markings.
( ii ) Technical data (including data packages, technical papers, manuals, presentations, specifications, guides and reports), regardless of media or means of transmission (*i.e.,* physical, oral, or electronic), will be individually labeled with the appropriate identification detailed. Where such labeling is impracticable, the data will be accompanied by documentation (such as contracts or invoices) or oral notification clearly associating the technical data with the appropriate markings.
( iii ) Defense services will be accompanied by documentation (*e.g.* contracts, invoices, shipping bills, or bills of lading clearly labeled with the appropriate identification).
( 6 ) *Transfers.* ( i ) All defense articles that fall under the scope of the Treaties must be transferred from the U.S. point of embarkation through channels approved by both the United States and the UK or the United States and AUS, as applicable.
( ii ) For transfers of defense articles as freight, the contractor will prepare a transportation plan. For transfer of classified U.S. defense articles, a freight forwarder must have a valid entity eligibility determination and a classified information storage capability at the appropriate level. For unclassified U.S. defense articles transferred as freight, a freight forwarder is not required to be cleared.
( 7 ) *Records.* Contractors will maintain records of exports, transfers, re-exports, or re-transfers of defense articles subject to the Treaties for a minimum of five years. The contractor will make records available to the CSA upon request. In accordance with the ITAR parts 126.16 and 126.17 the records will contain: ( i ) Port of entry or exit.
( ii ) Date and time of export or import.
( iii ) Method of export or import.
( iv ) Commodity code and description of the commodity, including technical data.
( v ) Value of export.
( vi ) Justification for export under the Treaties.
( vii ) End-user or end-use.
( viii ) Identification of all U.S. and foreign parties to the transaction.
( ix ) How export was marked.
( x ) Security classification of the export.
( xi ) All written correspondence with the USG on the export.
( xii ) All information relating to political contributions, fees, or commissions furnished or obtained, offered, solicited, or agreed upon, as outlined in the ITAR parts 126.16(m) or 126.17(m).
( xiii ) Purchase order, contract, or letter of intent.
( xiv ) Technical data actually exported.
( xv ) The internal transaction number for the electronic export information filing in the automated export system.
( xvi ) All shipping documentation (including, but not limited to, the airway bill, bill of lading, packing list, delivery verification, and invoice).
( xvii ) Statement of registration (Department of State Form DS-2032 (available at: *https://www.pmddtc.state.gov/sys_attachment.do?sysparm_referring_url=tear_off&view=true&sys_id=dabc05f6db6be344529d368d7c961984*)).