Foreign Disclosure and Technology Transfer Mr Marc Sukolsky SAF/IAPD

How can the USG/DOD best balance these two demands? THE PROBLEM A How can the USG/DOD best balance these two demands? Provide required capabilities quickly to allies and partners Protect the “crown jewels” of U.S. Defense technology What is DOD’s “decision trade space”? ??? Delicate balancing act of what do we share and what do we protect – “hugability (on the left) and “trustability (on the right) What are our strategic objectives wrt to the partner? What are the partner’s capability requirements? What capabilities does the want? How urgent is the need? Is there a higher-priority need for these capabilities? What is the partner’s capacity to absorb and effectively employ the capabilities in question? What strategic benefits does the US gain by providing the requested/required capabilities? How sensitive is the technology in question? What is the partner’s ability to capitalize on the technology in question? What is the partner’s capability and will to protect sensitive US technology? What are the risks to the US or its allies/partners if the technology/system is compromised? How serious are these risks? Can these risks be mitigated satisfactorily?

WHY DISCLOSURE? Provide international partners with stuff that works for coalition operations and national security Protect U.S. industry Lots of competitors out their and the list of companies competing in Defense programs is increasing – lot of $$$ on the line Maximize U.S. tax dollars – yes you are paying for the billions of dollars of R&D going into a new airplane, weapon, whatever Keep our less than friendly global residents from gaining an easy advantage – cheaper to steal technology than to develop it The faster our competitors gain technology the more expensive and time consuming it is for U.S. industry to stay ahead And the Number One Answer ---

WHY DISCLOSURE? To provide the US Warfighter with a technological edge – to keep them as safe & capable as absolutely possible in a combat environment For the benefit of the U.S.; we are doing Disclosure selfishly – for our air, sea, and land operations; pol-mil, etc. Protecting vulnerabilities Protecting technology advantages (AESA radars, EW systems, Weapon capabilities etc.) Improving interoperability and C4 operations Lowering our per unit cost of systems and weapons A key tenant of disclosure is there must be a benefit to the U.S.

WHAT ARE THE IMPEDIMENTS? Ourselves They are our friends; we are fighting with them; it’s no big deal Things discussed in the bar can be in another country within days and sometimes hours Coalition Operations We don’t do it alone anymore – our partners need capable equipment, tactics, and training; must weigh risk vs. tech release Countries are spending a lot of money and don’t want 20 year old technology, e.g. UAE, Saudi, F-35 partners, etc. We need…they have Access to global operational points – airbases, LOCs, etc. Access to food, water, power, fuel, etc. Diplomatic ties Precious metals/resources Countries are willing but want some type of return

DISCLOSURE AUTHORITY AND GUIDANCE LAWS REGULATIONS ARMS EXPORT CONTROL ACT (AECA) INTERNATIONAL TRAFFIC IN ARMS REGULATION (ITAR) POLICIES NATIONAL SECURITY DECISION MEMO-RANDUM (NSDM) 119 NATIONAL POLICY AND PROCEDURES FOR THE DISCLOSURE OF CLASSIFIED MILITARY INFORMATION TO FOREIGN GOVERNMENTS AND INTERNATIONAL ORGANIZATIONS (NDP-1)

PREREQUISITE FOR MANY ACTIONS DISCLOSURE POLICY PREREQUISITE FOR MANY ACTIONS VISITS TO AF & CONTRACTOR FACILITIES COMMERCIAL WEAPON SALES DISCLOSURE POLICY BRIEFINGS TO FOREIGN NATIONALS GOVERNMENT WEAPON SALES RELEASE OF TECHNICAL INFORMATION/ PUBLICATIONS COOPERATIVE DEVELOPMENT/ PRODUCTION EXCESS DEFENSE ARTICLE TRANSFERS

WHAT IS DISCLOSURE AUTHORITY? National Disclosure Policy Provides criteria, limitations, and guidance for “U.S. departments and agencies having occasion to release classified U.S. military information to foreign governments and international organizations.” Disclosure Authority: “an official, specifically designated in writing, who may disclose or deny classified military information in accordance with the provisions of NDP, provided the information is originated by the official’s department or agency and the official is responsible for the information to be disclosed.” Original Classification Authority (OCA) is a key factor

DOD’S ROLE IN EXPORT CONTROL Current system is robust but inflexible; does not facilitate timely or flexible cooperation Multilateral agreement – U.S. is one of 41 signatories Controls both munitions and dual use items (for conventional weapons) While WA does not directly govern U.S. exports, WA controls are adopted in the CCL Wassenaar Arrangement (WA) Contains U.S. Munitions List (USML) State International Traffic in Arms Regulations (ITAR) Controls all U.S. Munitions Contains Commerce Control List (CCL) Commerce Export Administration Regulations (EAR) Controls Dual Use Items Jurisdictional disputes Controls not always clear Licensing delays Reviews licenses in support of both State and Commerce Assists in the development of USML and CCL Defense Supports

IAPD’S MISSION & FUNCTIONS Make timely disclosure decision to facilitate international programs FUNCTIONS Executes national disclosure & export control authorities for Air Force Represents Air Force on the interagency NDPC Delegates disclosure authority to MAJCOMs and COCOMs Manages foreign national visit program and approves visits to USAF bases, facilities and contractor facilities Approves requests and proposals to release documents and information

USAF DISCLOSURE AUTHORITY SECDEF NDPC NDP-1 ENDP SECAF In accordance with NDP, disclosure authority is vested in the SECDEF, Deputy SECDEF, the National Disclosure Policy Committee, heads of the military departments and agencies, and specifically designated officials within the military departments and agencies NDP-1 SAF/IA SECAF NDP-1 Other Agencies (JSFPO) SAF/IAPD Headquarters Air Force DDLs DDLs DRUs MAJCOMs FOAs

DOD AND THE MILDEP MILDEP SECDEF/ DEPSECDEF USD (AT&L) USD (POLICY) MR. KENDALL USD (POLICY) DR. MILLER DUSD (POLICY INTEGRATION &COS) MR. PETER VERGA DIRECTOR INTERNATIONAL COOPERATION DIRECTOR SPECIAL PROGRAMS LO/CLO TSC and EXCOM DEFENSE TECHNOLOGY SECURITY ADMINISTRATION (DTSA) NDPC CHAIR DEFENSE SECURITY COOPERATION AGENCY (DSCA) COOPERATIVE PROGRAMS TECHNOLOGY TRANSFER SECURITY COOPERATION MILDEP

NATIONAL DISCLOSURE POLICY COMMITTEE PROCESS SECDEF OSD Chairman DUSD(P)/PS State JCS Air Force Army Navy General Members: DEPSECDEF Special Members: Other committees (see backup sheets for more information): Low Observable/Counter Low Observable EXCOM New Joint Arms Transfer Working Group National Disclosure Policy Committee Functions Administers and manages Disclosure Policy Provides interagency body Establishes Disclosure criteria and limitations Assesses capacity of foreign government to protect U.S. data Grants exceptions to policy DUSD(P)/PS: Deputy to the Under Secretary of Defense (Policy) for Policy Support OUSD(P): Office of the Under Secretary of Defense (Policy) OUSD(A&T): Under Secretary of Defense (Acquisition & Technology) OASD(C3I): Assistant Secretary of Defense (Command, Control, Communications, and Intelligence) OATSD(NCB): Assistant to the Secretary of Defense (Nuclear, Chemical, & Biological Defense Programs) DIA: Defense Intelligence Agency BMDO: Ballistic Missile Defense Organization DOE: Department of Energy CIA: Central Intelligence Agency ACDA: Arms Control and Disarmament Agency NSA: National Security Agency OUSD (P) OUSD (AT&L) OASD (CIO) OUSD(I) OATSD (NCB) DIA NGA MDA DOE CIA NSA DNI Executive Decision NDPC Chairman NDPC MilDep Staffing/Position Request for NDPC Exception

DISCLOSURE AUTHORITY DISCLOSURE POLICY Air Force POTUS/Congress Disclosure Laws/Regs/Policies Some Decisions Delegated to the AF Balance of Decisions Retained by OSD Decision NDPC -- Transfer of Classified Information/ Material Decision Air Force Topline Baselines LO/CLO Tri-Service Major disclosure decisions are not made by one person but by a group or review board. The review board that presides over navy disclosure decisions is the Technology Transfer And Security Assistance Review Board or TTSARB For the release of certain systems to specific countries, TTSARB decisions are final. Other times, they merely establish a DoN position that must be formulated as a request to OSD. There are many OSD level review boards but the two we most often deal with are the National Disclosure Policy Committee or NDPC and the Low Observable/Counter Low Observable Executive Committee commonly known as the LO/CLO EXCOM. Other boards are invoked in special circumstances (for example the Committee on National Security Systems or CNSS for COMSEC equipment). Precedent Setting Issues Committee on National Security Systems (CNSS) -- COMSEC Signals Intelligence Committee EW Parametric Data COCOM -- SATCOM FOR OFFICIAL USE ONLY

DISCLOSURE FUNCTIONS Reviews Agreements and Operational Requirements and develop DDLs. Processes Foreign Visit Requests, USAF on track to process 7,000+ Process 8,000+ Export Licenses per year Provides interpretation of policy and guidance

WHAT IS AN “EXPORT?” You need permission to export (or temporarily import) “The transfer of anything “controlled” to a “FOREIGN PERSON” by any means, anywhere, anytime, or the provision of a service related to a military designated Article.” (Commodities, software, technology, technical data, defense services)

=> AUTHORITY Disclosure Policy Approval Export Authority Service, OSD and USG processes for release of CMI Need a legal mechanism to export (govt-to-govt, export license, ITAR exemption, etc)

BACKUP SLIDES

TECHNOLOGY TRANSFER MECHANISMS DCS FMS Embassy/DoS DoD/DSCA Staffing SVCS JS ISA OUSD(P) OUSD(AT&L) DSCA Recommendation DoS Decision Pre- Congressional Consultation Notification Execution IA Yes No ENDP NDPC Member Sponsors Executive Secretariat NDPC Decision Appeal Dep Sec Def Record of Action DoS/DDTC Proponent Sponsored ENDP ENDP DoD/DTSA Classified? SAF/IA Staffing SVCS JStaff OUSD(ISA) OUSD(P) OUSD(AT&L) DSCA Classified? OSD Coordination (RAD) Staffing DOS CJCS OUSD(P) OUSD(AT&L) SVCs MDA DIA DOE Others Negotiate Update IA DoD/DTSA Recommendation Coordination & Appeal If Required? OSD Coordination (Approval) One level below the previous process. DCS – Contractor submits license to DoS – DDTC - DTSA refers the case to Svcs and other organizations. Once DTAS gets feedback they develop the DoD position for input to Dos for a Decision. In some cases congressional notification is required. FMS – DoS process – Country submits LOR thru US Embassy (SAO primarily). Country team to USASAC & the case is staffed to the appropriate organizations. In the case there is staffing/coordination required outside of the Service the package is sent to DASADEC. Once staffing is complete if goes to DSCA for final approval and signature. If required goes to DOS for Congressional notification. DoS Decision If Required? OSD Approval Pre- Congressional Consultation Yes Congressional Notification If Required Congressional Notification Execution Execution

AIR FORCE DISCLOSURE ASSESSMENT/ APPROVAL PROCESS 10 External Agencies: COMSEC/EW Threat Data (Committee on National Security Systems / NSA) LO/CLO Technologies/Capabilities (OSD/AT&L; SAF/AQLS) Laser-Based Countermeasure Systems (Tri-Service Committee) Multi-functional Positioning Informational Distribution System (USN) Global System (GPS) (OSD/CIO) Mapping/Topographic Data (NGA) MTCR (OSD Policy and State) Special Assess Programs (USD AT&L) National Intelligence Disclosures (Director of National Intelligence) 5 Assessment Factors Who wants it? Classification? What is it? Ownership? - Rationale/ Justification? 1 or more of the 16 processes USG Release 6 SAF/IAPD : - Exceptions to National Disclosure Policy Coordination w/non AF-Originators Export Licensing for Military Technologies/ Technical Data Foreign National Visits Requests for Information AF Baselines

AIR FORCE DISCLOSURE PROCESS OVERVIEW Applies to Air Force Baselines All programs—may establish policy or resolve issues on a case-by-case basis (Owner: SAF/IARW) Coordination w/non AF Originators When information is originated solely by other US depts/agencies; jointly by Air Force and other US depts/agencies; or cooperatively by US and foreign organizations (Owner: SAF/IAPD) Exceptions to National Disclosure Policy Classified military equipment/ information when AF classified disclosure authority is exceeded or when no security agreement exists between the U.S. and a foreign government (Owner: NDPC; AF representative is SAF/IAPD) Release in Principle/Release in Specific COMSEC/crypto equipment/keys supporting secure radios, tactical data links, IFF Mode 4/5, GPS PPS. COCOM J6 must establish interoperability requirement (navigation and precision weapons) (Owner: Committee on National Security Systems; AF representative is SAF/A6NI) Export Licensing for Military and Space Technologies/ Technical Data United States Munitions List (USML items) to foreign govt’s absent a LOA or international agreement , when dealing with foreign contractors ,or foreign persons (Owner: Directorate of Defense Trade Controls (State); DoD lead is the Defense Technology Security Administration; AF representative is SAF/IAPD) LO/CLO Tri-Service Committee and Executive Committee LO/CLO technologies/capabilities (Owner: ASD/AT&L; AF representative is SAF/AQLS)

AIR FORCE DISCLOSURE PROCESS OVERVIEW Applies to Defensive Systems Committee (DSC) Laser-based counter measures systems (Owner: ASD/AT&; AF representative is SAF/AQLS) Global Positioning System (GPS) Hardware and Technical Data GPS - a satellite-based navigation system that also supports delivery of precision munitions. GPS precise positioning system (PPS) hardware/ info for development, acquisition, and operational use of PPS equipment is disclosed IAW DoD Global Positioning System Security Policy. (Owner: ASD/NI; SAF/IA POC is SAF/IAPS) Multi-functional Informational Distribution System (MIDS) Hardware and Technical Data Hardware to pass air and ground picture and electronic support measure information between Air Force, Army, Navy and Marines. COCOM interoperability requirement must be established first. MIDS Consortium consideration of hardware subject to COMSEC approval. (Owner: MIDS Consortium; DoD lead is the Navy’s MIDS International Program Office) Foreign National Visits Foreign embassy requests for official visits by foreign government representatives to Air Force organizations (Owner: SAF/IAPD) Requests for Information Official foreign government requests for Air Force classified and controlled unclassified information (Owner: SAF/IAPD)

AIR FORCE DISCLOSURE PROCESS OVERVIEW Applies to Mapping/Topographic Data Support Disclosure of data requires signed memorandum of understanding between NGA and foreign partner. (Owner: National Geospatial Intelligence Agency: SAF/IA POC is appropriate country director) Electronic Warfare Data Support Disclosure of parametric threat data to support electronic warfare systems (Owner: National Security Agency (NSA)y; SAF/IA POC is SAF/IAPD) Missile Technology Control Regime Presumption of denial for exports of Category 1 rocket systems (ballistic missile systems, space launch vehicles) and unmanned air vehicle systems (cruise missiles) capable of delivery at least a 500 kg payload to a range of at least 300 km. (Owner: DOS/Under Sec for Arms Control and International Security; DoD lead is OSD(P)/Global Strategic Affairs Special Access Programs (SAP) Application of additional access controls to Air Force information when knowledge or visual observation of an operational capability and technological lead would compromise its advantage and stimulate a comparable or counter capability. (Owner: USD/AT&L; Air Force POC is SAF/AAZ) National Intelligence Disclosures Integration of foreign, military, and domestic intelligence in defense of the homeland. (Owner: Director of National Intelligence, Air Force POC is AF/A2)