Attachment 10 - DLAI 5230.01 Foreign Visit.pdf

DLAI 5230.01

Defense Logistics Agency

INSTRUCTION

Effective November 30, 2016

Accountable Office: DLA Logistics Operations, Whole of Government (J316)

SUBJECT: Foreign Visit and Foreign Disclosure Program

References: Refer to Enclosure 1.

1. PURPOSE. In accordance with the authority in Reference (a), this Issuance reissues Reference (b) to update policy, assign responsibilities, and provide instruction to:

a. Approve and process foreign national visitors to the Agency.

b. Enforce access procedures to DLA Headquarters for foreign visitors.

c. Disclose or release classified information and Controlled Unclassified Information (CUI) to foreign entities.

d. Advise DLA Representatives attending official foreign functions.

2. APPLICABILITY. This Instruction applies to all DLA activities.

3. DEFINITIONS. See Glossary.

4. POLICY. It is DLA policy to:

a. Comply with DoD Directive 5230.20, control foreign visitors’ access to DLA.

b. Protect classified information and CUI. Release to foreign entities only when authorized by Agency officials designated in this issuance.

(1) Treat classified information as a national security asset. Limit classified information and CUI disclosure to foreign entities to oral or visual information, unless the release of written documents from a foreign visit is processed through normal foreign liaison channels.

(2) Handle compromises of unauthorized disclosure of classified information to foreign representatives in accordance with Reference (o). DLA employees with knowledge of known or suspected unauthorized disclosure of classified information to representatives of foreign entities must report all facts to their local DLA Intelligence office.

5. RESPONSIBILITIES. See Enclosure 2.

6. PROCEDURES. See Enclosure 3.

7. INFORMATION REQUIREMENTS. None.

8. INTERNAL CONTROLS. DLA requires a foreign visit form for every foreign visit to DLA.

Counterintelligence personnel conduct foreign visitor name checks to identify, assess, and mitigate foreign intelligence entity collection threats posed by foreign visitors. These checks work to ensure compliance with Procedures in Enclosure 3.

9. RELEASEABILITY. UNLIMITED. This Instruction is approved for public release and is available on the Internet from the DLA Issuances Internet Website.

10. EFFECTIVE DATE. We will reissue or cancel this Instruction by the fifth anniversary of its publication date. If not, it will automatically expire effective November 30, 2026.

for

WILLIAM M. BOWERS

Director, DLA Strategic Plans and Policy

Enclosures:

Enclosure 1 – References Enclosure 2 – Responsibilities Enclosure 3 – Procedures Glossary

[Type here] 3

TABLE OF CONTENTS

ENCLOSURE 1: REFERENCES………………………………………………………………...4

ENCLOSURE 2: RESPONSIBILITIES

ENCLOSURE 3: PROCEDURES

GLOSSARY

PART I: ABBREVIATIONS AND ACRONYMS

PART II: DEFINITIONS

[Type here] 4 ENCLOSURE 1

ENCLOSURE 1

REFERENCES

(a) DoDI 2030.08, SUBJECT: Implementation of Trade Security Controls (TSC) for Transfers of DoD

U.S. Munitions List (USML) and Commerce Control List (CCL) Personal Property to Parties Outside DoD Control

(b) DLAI 4303, Foreign Visits and Disclosure Program, December 10, 2009 (hereby cancelled)

(c) DoD 2040.02 SUBJECT: International Transfers of Technology, Articles, and Services

(d) DoD 4160.21M-1, Defense Demilitarization Manual

(e) DoD Directive 5030.14, Disclosure of Atomic Information to Foreign Governments and

Regional Defense Organizations

(f) DoD 5105.38-M, Security Assistance Management Manual (SAMM)

(g) DoD Directive 5200.1 R, Information Security Program Regulation

(h) DoD 5220.22-R, National Industrial Security Program

(i) DoD 5230.11, Disclosure of Classified Military Information to Foreign Governments and

International Organizations

(j) DoD Instruction 5230.17, Procedures for Disclosure of Classified Military Information to

Foreign Governments and International Organizations

(k) DoDD 5230.20, Visits and Assignments of Foreign Nationals

(l) DoDD 5230.25. Withholding of Unclassified Technical Data from Public Disclosure

(m) DoDD 5530.3, International Agreements

(n) National Disclosure Policy-1, National Policy and Procedures for the Disclosure of CMI to

Foreign Governments and International Organizations (short title: NDP-1)

(o) DoDD 5230.23, Procedures for Disclosing Classified Information to Senior Officials of

Foreign Governments

(p) International Traffic in Arms Regulation (ITAR)

(q) DLA Instruction 6304, Information Security Program

(r) DODI 5240.16 Counterintelligence Functional Services (CIFS)

(s) DLA Records Disposition Schedule, July 2014

(t) EO 12333 United States Intelligence Activities

(u) DoDD 5240.06 Counterintelligence Awareness and Reporting (CIAR)

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ENCLOSURE 2

RESPONSIBILITIES

1. THE DIRECTOR, DLA LOGISTICS OPERATIONS (J3). The J3 must establish, manage, administer, and oversee Agency-wide foreign visit verification policy.

2. THE EXECUTIVE DIRECTOR, OPERATIONS (J31), under the authority, direction, and control of the DIRECTOR, J3. The J31 must determine the method for foreign visit confirmation within policy boundaries.

3. THE DIRECTOR, DLA INTELLIGENCE (DI). The DI must serve as the Designated Disclosure Authority and appoint the DLA Foreign Disclosure Officer (FDO). DI oversees the program for compliance with national policy under the counterintelligence (CI) and Foreign Disclosure missions of DLA Intelligence through establishment of approved foreign activities.

4. The Foreign Disclosure Officer (FDO). The FDO must serve as the point of contact for all DLA-owned information release requests by foreign entities to ensure compliance with DoD policies on protecting and disclosing classified and controlled unclassified information to foreign nationals.

5. Counterintelligence (CI) staff must conduct CI vetting of NON-US PERSON foreign visitors to DLA facilities and provide appropriate CI support IAW with references (r), (t), and (u).

6. The Foreign Visit Coordinator (FVC) must serve as DLA point of contact for visits with foreign nationals that occur at DLA locations.

7. THE DIRECTOR DLA HQ Protocol must coordinate with the DLA Director and staff to arrange foodservice and seating assignments in meetings with distinguished foreign visitors.

8. THE DIRECTORS OF DLA HEADQUARTERS J-CODES must tell the FVC of requests for all foreign visits and follow procedures for proper processing for foreign visits, including coordinating with FDO on all information requests from foreign entities.

9. The Directors/Commanders of DLA Primary Level Field Activities must coordinate with the FVC and FDO to ensure proper processing of foreign visits for their activity or subordinate activities and get DLA HQ approval before approving visit.

10. Contact Officers must act as the POC for foreign visitors, ensure Agency personnel follow access procedures to the installation and facility, escort the foreign national while on-site, and ensure FDO coordination for release of classified information and CUI.

11. DLA Representatives attending official foreign functions must work with the Intelligence Office as soon as possible to ensure adherence to DLA foreign visit and foreign disclosure procedures.

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12. HQ DLA Security Police must process all foreign visitors through the metal detector, check passports, and identify electronic equipment to place in locker during the visit.

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ENCLOSURE 3

PROCEDURES

1. There are three categories of visits: official state sponsored, official non-state sponsored and unofficial. In official state sponsored and official non-state sponsored, the appropriate DLA Field Activity and DLA Headquarters must approve the visit. Official state sponsored visits are foreign nationals representing their country. The requesting embassy arranges these visits through the Foreign Visit System (FVS) and Defense Intelligence Agency (DIA.) Foreign visitors with CAC cards do not need coordination with headquarters but must comply with each installation’s local policies. Official non-state sponsored visits are foreign nationals working for U.S. or foreign contractors or suppliers. The DLA activity arranges these visits and coordinates with the FVC. Unofficial visits are foreign visitors coming for Morale, Welfare and Recreation (MWR) use, Child Development Center (CDC) drop off, personal visits, maintenance work or public events and do not need coordination with headquarters but must comply with each installation’s local policies.

a. A foreign national on an official state sponsored visit must request the visit through their embassy at least 30 days before the desired visit date. The request should identify the proposed visitor(s), date(s), location, (e.g., DLA HQ, DLA Troop Support, DLA Aviation, etc.), purpose of the visit (for example, meet with fellow logisticians), rank, passport, date, place of birth, security clearance and the Contact Officer.

b. The Embassy submits the request into the Foreign Visit System and it is sent to the DIA.

c. DIA forwards request to FVC, who reviews the request, and forwards it to the activity for concurrence or denial of the suggested visit.

d. FVC advises DIA of the acceptance or denial of visit request, the Contact Officer, and approved-level of information disclosure (after coordination with the FDO).

e. The DLA Intelligence (DI) CI staff conducts CI vetting of NON-US PERSON foreign visitors to DLA facilities and provide appropriate CI support IAW with references (r), (t), and (u). (See foreign visit process flow chart #11 under Enclosure 3, Procedures.)

f. Once name checks are complete and there is no derogatory information identified, the FVC sends an approval letter to the appropriate Contact Officer for each foreign visit.

2. If a DLA employee would like a foreign national contractor to visit (an official non-state sponsored visit), the DLA sponsor must submit a visit request memorandum to the FVC at least 30 days before the visit date. All DLA Contact Officers for foreign visits to field activities must get approval from the appropriate chain of command at the primary field activity. FVC will process the visit and tell the Contact Officer of the approval after the CI vetting is complete.

3. Building access procedures for foreign visitors coming to DLA Headquarters must adhere to the following steps:

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a. Present their passport to the front desk security personnel. Electronic photos of passports are not acceptable.

b. Pass through the metal detectors and leave all electronic equipment in their car. If electronic equipment is required for the visit, such use should be coordinated prior to the visit; all equipment will pass through the metal detector or receive a physical search. If the foreign visitor brings electronic equipment into the building, store the equipment in lockers during the visit.

4. The FDO must review classified information and CUI for disclosure or release to foreign visitors during foreign visits. The FDO must receive requests at least five (5) duty days before the briefing and 10 duty days if DLA is not the owner of the information, to allow proper coordination.

a. FDO will brief the DLA Contact Officer before each foreign visit.

b. DLA personnel corresponding or visiting with foreign officials must ensure no statements are misinterpreted as reflecting official U.S. Government policies and commitments.

c. FDO will obtain National Disclosure Policy (NDP) determinations from DIA or the classification authorities when required.

d. Help with contacting offices in the Office of the Secretary, DoD components, and foreign embassies to obtain background and biographical information on foreign representatives seeking information and/or authorization to visit a DLA activity.

e. Prepare Delegation of Disclosure Letters for DLA Foreign Exchange Officers.

5. Requests for Classified Information.

a. Most classified information in DLA is classified by other DoD activities. Provide requests for classified information to the FDO for approval to release the information from the owner.

b. Foreign representatives must request access to or release of classified DLA information through their embassy to DIA. DIA will send the request to the FDO.

c. Classified information will be released on a government-to-government basis. The FDO will use the NDP statement as the DLA standard for recommending disclosure of classified DLA information.

d. Requests received directly by DLA from other U.S. Agencies or Military Services for visits and access to classified information or CUI by a foreign entity will be referred to the FDO.

e. FDO will review the request, coordinate with DLA, and take appropriate action for approval or denial.

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6. Requests for Unclassified Information.

a. When appropriate, DLA may provide unclassified information and publications to foreign requesters certified by DLA HQ including DLA trainees, visitors, or representatives with approved visit authorization, provided such action is IAW terms of the training or visit agreement and is not in conflict with the provisions of this instruction. The FDO must review CUI information before release.

b. Unclassified DLA publications, in the public domain, may be released directly to foreign requesters.

c. Unclassified material may be released to concerned country or international organization as appropriate for security assistance.

d. If a request for unclassified DLA information is not clearly authorized by policy, forward to the FDO with a recommendation for release with the material.

7. Directors of DLA J codes must appoint a Contact Officer for each foreign visit, provide command briefings for high-level foreign visitors when appropriate, provide escort personnel when hosting visits within their staff elements and coordinate with the FDO on requests for information.

a. Notify FDO on requests for information from foreign nationals that exceeds the terms of the visit approval.

b. Coordinate with the FDO on any proposals for new or revised policies or projects

(including publications, data exchanges and requests for DLA services) concerning US relations with foreign governments and liaison with foreign nationals.

8. Directors/Commanders of DLA Primary Level Field Activities or their designees must support the foreign visit program and information requests as follows:

a. Tell the FDO of foreign national’s requests for classified information or CUI that was not authorized by the approved visit.

b. Provide the FVC with a recommendation for acceptance or denial of foreign visit request.

c. Provide the FDO with a recommendation for approval/disapproval of information releases.

d. Assist on foreign liaison matters within their cognizance.

e. Support requests for information, training, or visits within the PLFA or its subordinate activities for authorized visits by foreign representatives.

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f. Designate Contact Officers to plan and coordinate foreign visits and release of information for their activity/subordinate activity. Furnish their contact information to the FDO and FVC.

g.When DLA is a tenant, ensure coordination with FVC of all foreign visits approved by the host activity before allowing access to a DLA facility.

h. Keep a log of Foreign Visits (Name, Passport Number, and Country) IAW Reference (s).

9. Foreign Visit Contact Officers must:

a. Conduct all official contacts with foreign representatives IAW this instruction.

b. Inform all foreign visitors that electronic equipment is prohibited in DLA Facilities, and that they must show their passports before entry.

10. DLA Representatives invited to attend official foreign visit functions representing DLA must:

a. Notify their DLA Intelligence Office as soon as possible. Provide the purpose for the invitation, any U.S. interest served, and if they intend to accept or decline. The DLA Intelligence Office will forward a copy of the information to the FDO for approval. If the visit is approved, the FDO will provide the attendee with a contact officer brief.

b. Report to DLA Intelligence any attempts by foreign nationals to collect information not approved for release.

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11. Foreign Visit Process Flow Chart

12 GLOSSARY

GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

CUI Controlled Unclassified Information CI Counterintelligence DI DLA Intelligence DIA Defense Intelligence Agency FDO Foreign Disclosure Officer FVC Foreign Visit Coordinator NDP National Disclosure Policy PLFA Primary Field Activity

PART II. DEFINITIONS

Classified Information. Information that has been determined pursuant to Executive Order 13526 or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form.

Contact Officer. A DOD official designated in writing to oversee and control all contacts, and other activities of foreign representatives who are assigned to, or are visiting, a DOD Component or subordinate organization. In the case of personnel exchange programs, the host supervisor may be the contact officer.

Controlled Unclassified Information. Unclassified information is any information that requires safeguarding or dissemination controls, pursuant to and consistent with applicable law, regulations, and Government-wide policies.

Disclosure. For the purposes of this Regulation, conveying classified information, in any manner, to an authorized representative of a foreign government.

Disclosure to a Foreign Government or International Organization. The approved conveyance of classified information and CUI through approved channels to authorized representatives of a foreign government or international organization. Disclosure may be accomplished by releasing documentary information, by giving access to or releasing material or equipment, or through oral and visual means. For the purpose of this regulation, documentary disclosure means physically releasing a document, film recording, tape, card deck, and so forth, to an authorized representative, for either loan or permanent retention by the representative's government. Visual disclosure refers to authorized representative viewing equipment or content of the documents that have been approved for disclosure to the representative.

DLA Contractor. An individual, industrial, commercial, educational or other entity which has executed a contract or a DD Form 441, DOD Security Agreement, with a DLA Activity.

13 GLOSSARY

DLA Foreign Disclosure Officer (FDO). The DLA Intelligence Division POC who is responsible for administration of the DLA Foreign Disclosure Program.

DLA Foreign Visit Coordinator (FVC). The DLA POC who is responsible for working with the Defense Intelligence Agency in managing foreign visits to DLA.

Foreign Interest. Any Foreign government, agency of a foreign government, or representative of a foreign government; any form of business enterprise or legal entity organized under the laws of any country other than the United States or its possessions; and any foreign national.

Foreign Nationals. A person who is not a citizen or national of the United States.

Foreign Representative. Any foreign interest or representative of a foreign interest.

Functional POC. An individual, normally a military officer with the rank of 0-4 or above or civilian official of grade GS-12 or above, designated in writing by the Head of the PLFA or DLA HQ, who will be responsible, upon visit approval, for the direct supervision and control of all contacts, requests for information, consultations and other activities about the visit/ training of a foreign representative(s). The designated individual must become familiar with the provisions of this regulation, specifically to include all restrictions on disclosure of classified information.

Channels. The principle that classified information and material will be transferred by government officials through official channels or through other channels expressly agreed upon by the governments involved. In either case, the information or materiel may be transferred only to a person specifically designated in writing by the foreign government as its representative for that purpose.

Host Activity. The PLFA, DLA site or DLA HQ to be visited which has the primary responsibility over the scope of interests in the itinerary and purpose of the foreign visit to DLA.

The host activity may be required to provide an official to preside over briefings and an escort official assigned to meet, accompany and coordinate all efforts responsive to the visitor's requirements, including responses to questions and visit arrangements.

Intelligence. The product resulting from the collection, processing, integration, analysis, evaluation, and interpretation of available information concerning foreign countries or areas.

International Organization. For the purpose of this regulation, an entity established by recognized governments pursuant to an international agreement by charter or otherwise, may acquire and transfer property, make contracts and agreements, obligate its members and pursue legal remedies.

Meeting. Any conference, seminar, symposium, exhibit, convention, training course or other gathering during which classified or uncontrolled unclassified information is disclosed.

National Disclosure Policy (NDP). Promulgates national policy and procedures in the form of specific disclosure criteria and limitations, definitions of terms, release arrangements and other guidance required by U.S. Departments and Agencies having occasion to release classified information to foreign governments and international organizations.

14 GLOSSARY

NON-US PERSON. A foreign national holding a foreign passport that is not a permanent resident (green card holder).

Official Information. Information owned by, produced for or by, or subject to the control of the U.S. Government.

Production Information. Designs, drawings, specifications, models, manufacturing techniques and related information (excluding applied research and development information) used to manufacture military materiel and munitions.

Training. Formal or informal instruction of foreign nationals in the United States or overseas by:

a. Officers or employees of the United States, contract technicians, or contractors (including instruction at civilian institutions); or b. Correspondence courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise, and military advice to foreign military units and forces (including their military and civilian personnel).

US Person. A United States citizen, an alien known by the intelligence element concerned to be a permanent resident alien (green card holder), an unincorporated association substantially composed of United States citizens or permanent resident aliens (green card holders), or a corporation incorporated in the United States, except for a corporation directed and controlled by a foreign government or governments.