Policy Perspectives on PMT 313 Advance Technology Security / Control Workshop Presented by: Mark E. Smith Assistant Director International Security Programs Office of the Under Secretary of Defense (Policy) Defense Technology Security Administration Welcome Introduction Challenges Post 9/11 era New NATO Members (Albania, Croatia) International Work Force/Globalization Information Age and information sharing Information sharing with non-NATO entities and non-traditional partners Global Communications Coalition Warfare Security Cooperation Adherence to and support for National Military and Security Strategies

PMT 313 Competencies Assess and integrate statutory, regulatory and policy requirements Organize and blend stakeholders’ needs and requirements Integrate Pol-Mil principles Recommend, justify and defend international program security and technology transfer procedures Employ and validate international technology security Assess and evaluate the technical capabilities of your customer / partner Select and evaluate acquisition management and technology transfer processes Identify and coordinate with stakeholders Plan / modify strategies to incorporate international decisions In the time I have, I want to express a policy perspective and address the challenges that apply to each of these competencies

Assess and Integrate Statutory, Regulatory and Policy Requirements

DoD Technology Transfer Policies Manage transfers of technology, goods, services, and munitions consistent with United States (U.S.) foreign policy and national security objectives. Control the export of technology, goods, services, and munitions that could prove detrimental to U.S. security interests. Limit transfers of advanced design and manufacturing know-how to those that support specific national security objectives. Facilitate the sharing of technology only with allies and nations that cooperate in safeguarding the technology and reciprocate in sharing such technology. For Strategic trade licensing, munitions licensing, and the Foreign Military Sales (FMS) processes.

DoD Technology Transfer Policies Seek to strengthen foreign procedures to protect sensitive and defense related technology. Comply with the National Disclosure Policy (NDP) in cases involving the release of classified military information. Ensure access and release requirements are adhered to regarding Technical Data and Controlled Unclassified Information (CUI). Ensure that transfers of munitions and services technology receive special scrutiny, taking into account the importance of arms cooperation with North Atlantic Treaty Organization (NATO) and other close friends and allies, the potential for third party transfers, and the protection of advanced military operational capabilities.

International Security Program Authority Arms Export Control Act Executive Order 13526, “Classified National Security Information” National Security Decision Memorandum (NSDM) 119 (National Disclosure Policy) 6

Asset Threats Vulnerabilities Countermeasures Access and Protection Use, Transfer, Protection

National Disclosure Policy The disclosure supports U.S. foreign policy The release of classified military information will not have a negative impact on U.S. military security There is a clearly defined benefit to the U.S. government that outweighs the risks The release is limited to that classified information necessary to satisfy USG objectives Foreign recipient has the intent and the capability to protect the information Basic policy: CMI is a national security asset that must be conserved and protected and which must be shared with foreign governments and international organizations only where there is a clearly defined advantage to the U.S. in consideration of the following objectives: (bullets) Determining intent and capability is the responsibility of the NDPC and is accomplished through the review of available intelligence on a country, conducting on-site security surveys and negotiating General Security Agreements with specific governments.

Identify and coordinate with stakeholders Organize and blend stakeholders’ needs and requirements Integrate Pol-Mil principles

Planning for possible foreign involvement should start at the beginning of the weapon system acquisition process and other programs to facilitate decisions on the disclosure of CMI and CUI in support of cooperative programs, foreign participation in procurement activities and foreign sales.

NDP Place in Arms Transfer Process FMS LOR MILDEP ENDP STATE 36b Congress LOA decision to review review sponsor Commercial Export MILDEP ENDP STATE 36c Congress License Contract License License review review Granted Request Review Not only do you see the usual suspects here (MILDEPs, STATE, CONGRESS, NDPC) but there are a bevy of other interested parties that control your destiny: DSCA, COCOMs, SCO, Country desk officers (ASD level), Embassy officials, foreign purchaser, Customs DTSA (licensing), DTSA ISD, USD(AT&L) , CJCS A-T Executive Agent, LO/CLO EXCOM, SAPCO Critical Program Information assessment, identification, program protection NSA, NII (C4ISR) INDUSTRY Security management (classification guides, control plans, visit control and exchange personnel strategies, industrial security) Later on, you’ll hear about recent coordination efforts in the ATTR SCG and the TS/FDO

National Disclosure Policy Committee General Members Departments of State Defense Army Navy Air Force CJCS Special Members Director, National Intelligence Director, Central Intelligence Department of Energy Department of Defense OUSD(P) OUSD(I) OUSD(AT&L) OASD(NII) OATSD (NCB) Defense Intelligence Agency National Geospatial-Intelligence Agency National Security Agency Missile Defense Agency

National Military Strategy & National Security Strategy of the United States Nonproliferation Fighting terrorism Regional security Nurturing democracies Human rights Drug interdiction / counternarcotics R&D, economic considerations, building alliances

Recommend, justify and defend international program security and technology transfer procedures Employ and validate international technology security

Recommend, Justify and Defend Manage transfers of technology, goods, services, and munitions consistent with United States (U.S.) foreign policy and national security objectives. Control the export of technology, goods, services, and munitions that could prove detrimental to U.S. security interests.

Recommend, Justify and Defend Asset Threats Vulnerabilities Countermeasures Access and Protection Use, Transfer, Protection

Arms Export Control Act Relationship  DCS Licenses TAAs MLAs (Governed by ITAR)  FMS LOAs International Agreements (Governed by SAMM) AECA  Cooperative Programs International Agreements (Governed by 5000 Series Documents – COD, PPP, TA/CP, DDL, PSI) The three programs governed by the AECA are shown on this slide. For each one of these programs decisions are made by and organization or an official empowered to make a decision; the decisions must be recorded in writing and the records must be maintained. This ppt show how the major programs emanate from the AECA The ppt also shows how the decisions on each program is documented It identifies the document that implements the specific AECA section that covers the program (ITAR, SAMM, DoD 5000 series documents) It identifies the national level documents that establish disclosure policy It identifies the national level documents that establish security policy Finally, it identifies the DoD issuances that implement the AECA and national policies NSDM 119 & NDP-1 E.O. 13526, Presidential Safeguarding Directive, DoDDs 5530.3, 5230.11, 5230.20, 5200.39, 5230.24, & 5230.25; DoD 5200.1-R, USSAN, 8500.1, NISPOM, PD on CUI, DoD Instruction 2040.02

Employ and validate (Security) 1. LOA 2. Program-Specific MoU / MoA 3. EUM (Golden Sentry) 4. CISMOA FMS DSP-83 License Provisos Exchange of Notes Program Agreement EUM (Blue Lantern) Commercial Sale In addition to other program related security documents (Classification Guidance, Technology Control Plans, TTCPs, Transportation Plans, security clauses for FLO and EP agreements) Program Agreement Program Security Instruction MISWG Clauses Cooperative Program Foreign Contracting 1. Contract Clauses

Plan / modify strategies to incorporate international decisions Assess and evaluate the technical capabilities of your customer / partner Select and evaluate acquisition management and technology transfer processes Plan / modify strategies to incorporate international decisions These three competencies will assist you in navigating the protection requirements for the program.

Recommend, Justify and Defend Asset Threats Vulnerabilities Countermeasures Access and Protection Use, Transfer, Protection Look familiar? Consider these and their overarching application to these three competencies. Counterintelligence assessments, CPI technology assessments, acquisition systems protection, supply chain risk management, national disclosure policy, anti-tamper, LO/CLO, industrial participation, information sharing are all affected by and will affect these critical decisions. DISCUSS JSF FACO, PAC-3, SM-3, TAIWAN SURVEILLANCE RADAR AND THE GROWTH INDUSTRY OF U.S. ONLY AREAS (PROS, MOSTLY CONS)

SUMMARY COMMENTS