1. Foreign Disclosure and Technology Transfer
Mr Marc Sukolsky
SAF/IAPD

2. 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?

3. 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 ---

4. 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.

5. 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

6. 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)

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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)

17. => 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)

18. BACKUP SLIDES

19. 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

20. 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

21. 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)

22. 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)

23. 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)