Audit of the DoD’s Implementation and Oversight of the Controlled Unclassified Information Program

Submitting OIG:

Department of Defense OIG

Date Issued:

Thursday, June 1, 2023

Agency Reviewed / Investigated:

Department of Defense

Submitting OIG-Specific Report Number:

DODIG-2023-078

Component, if applicable:

Defense Threat Reduction Agency (DTRA)

Missile Defense Agency (MDA)

Under Secretary of Defense for Personnel and Readiness

United States Air Force (USAF)

United States Army (USA)

United States Navy (USN)

United States Special Operations Command (USSOCOM)

Location(s):

Agency-Wide

Type of Report:

Audit

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

Report updated under NDAA 5274:

View Document:

Attachment	Size
DODIG-2023-078.pdf	7.79 MB

Recommendation Number	Recommendation Status	Significant Recommendation
D-2023-0078-D000CR-0001-0001.A1a	Open	No
Rec. A.1.a: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security, in coordination with the DoD Chief Information Officer and DoD Component Heads, develop and implement a DoD-wide solution for automatically populating documents and e-mails with the required markings based on a set of selection criteria.
D-2023-0078-D000CR-0001-0001.A1b	Open	No
Rec. A.1.b: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security revise DoD Instruction 5200.48 to require DoD Components to implement a process to track the completion of controlled unclassified information training, such as the use of a learning management system, and use that process to enforce the requirement that personnel complete the controlled unclassified information training.
D-2023-0078-D000CR-0001-0001.A1d	Open	No
Rec. A.1.d: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security add a question to the controlled unclassified information questionnaire that requires DoD Components to select a sample of controlled unclassified information documents, test whether personnel are including the required markings, and report the discrepancies identified during the test.
D-2023-0078-D000CR-0001-0001.A1e	Open	No
Rec. A.1.e: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security coordinate with the National Archives and Records Administration to clarify the intent of the "Federal employees only" and "Federal employees and contractors only" limited dissemination controls, and when they should apply.
D-2023-0078-D000CR-0001-0001.A1f	Open	No
Rec. A.1.f: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security revise DoD guidance to reflect any changes made to the use of the "Federal employees only" and "Federal employees and contractors only" limited dissemination controls.
D-2023-0078-D000CR-0001-0001.A1g	Open	No
Rec. A.1.g: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security develop and implement a process to identify systemic discrepancies with the implementation of controlled unclassified information programs across the DoD Components and provide guidance to the DoD Components to address those systemic issues.
D-2023-0078-D000CR-0001-0001.A1h	Open	No
Rec. A.1.h: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security require DoD Components that identify discrepancies within their controlled unclassified information program to develop and implement corrective action plans, and provide updates on the actions taken to resolve the discrepancies in future years questionnaires.
D-2023-0078-D000CR-0001-0002.A2	Open	No
Rec. A.2: The DoD OIG recommended that the Commanding General of the Army Training and Doctrine Command update the Training Development Capability to include the option to mark documents as controlled unclassified information and prompt personnel to add the designation indicator and portion markings, if applicable.
D-2023-0078-D000CR-0001-0003.A3	Open	No
Rec. A.3: The DoD OIG recommended that the Chief of Naval Operations update standard forms and templates to include controlled unclassified information headers and footers, and prompt personnel to add the designation indicator and portion markings.
D-2023-0078-D000CR-0001-0004.A4	Open	No
Rec. A.4: The DoD OIG recommended that the Director of Information Management, Office of the Administrative Assistant to the Secretary of the Air Force, update standard forms and templates to include controlled unclassified information headers and footers, and prompt personnel to add the designation indicator and portion markings.

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

D-2023-0078-D000CR-0001-0001.A1a

Open

Rec. A.1.a: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security, in coordination with the DoD Chief Information Officer and DoD Component Heads, develop and implement a DoD-wide solution for automatically populating documents and e-mails with the required markings based on a set of selection criteria.

D-2023-0078-D000CR-0001-0001.A1b

Open

Rec. A.1.b: The DoD OIG recommended that the Under Secretary of Defense for Intelligence and Security revise DoD Instruction 5200.48 to require DoD Components to implement a process to track the completion of controlled unclassified information training, such as the use of a learning management system, and use that process to enforce the requirement that personnel complete the controlled unclassified information training.

D-2023-0078-D000CR-0001-0001.A1d

Open