1. PERU July 2009

2. Technology Transfer and Export Controls SAM-I

3. Overview  Technology Transfer & Export Controls (Introduction)  Controlled Unclassified Information  Foreign Disclosure and the National Disclosure Policy (NDP)  Export Approval/License Process  International Visits

4. International Programs Security  Total effort that safeguards information/technology identified as requiring control  Generated by, provided to, or transferred in an international program

5. USG Agencies with Oversight of Exports  Department of Commerce: Dual-use and non-military articles  Department of State: Military articles  Department of Defense: Review agency  Defense Technology Security Administration (DTSA)

6. Key Players in Tech Transfer and International Programs Security Arms Export Control Act (AECA) ITAR Munitions List (USML) Export Administration Act (EAA) EAR Commerce Control List (CCL) Department of State Department of Defense Department of Commerce Director of Defense Trade Controls (DDTC) Bureau of Industry and Security (BIS) Undersecretary (Acquisition Technology and Logistics) Undersecretary (Policy) Undersecretary (Intelligence)

7. DoD Policy on Technology  A valuable, limited national security resource  Protected and invested in pursuit of national security objectives  International trade is key to strong U.S. industrial base  Export controls in way to minimally interfere with legitimate trade

8. What is Technical Data*?  Information relating to defense articles or defense services and required for  Includes blueprints, drawings, photographs, plans, instructions, and documentation  Software as defined in U.S. Munitions List  Does not include basic marketing info on function, purpose or general descriptions of defense articles * ITAR, 22 CFR § 120.10  design  development  production  manufacture  assembly  operation  repair  testing  maintenance  modification

9. 1002 - 9 Export Decision Criteria  Comprehend the 2 fundamental security considerations that influence participation in International Programs (IPs)  Identify the 3 documents that provide the legal and national policy basis for security requirements in most IPs  Describe the 3 conditions that must be agreed to by a foreign government or international organization before international transfers occur  Distinguish the 2 activities associated with IPs based on the government-to-government principle 9

10. 1002 - 10 Access + Protection = Export and Disclosure Authorization Decisions Fundamental Considerations 1. Access Sharing of U.S. defense articles or information is in the best interests of the U.S. 2. Protection Maintain security and provide security substantially the same as that provided by the U.S. 10

11. 1002 - 11 Legal and Policy Basis 1. Arms Export Control Act (AECA) 2. Executive Order (E.O.) 12958 3. National Security Decision Memorandum (NSDM) 119 11

12. 1002 - 12 Legal and Policy Basis AECA  Forms the legal basis for the security requirements of most DoD International Programs  Governs export of defense articles and services  Covers commercial and government programs  Implemented by ITAR (State Dept) which contains U.S. Munitions List (USML) 12

13. 1002 - 13 Legal and Policy Basis AECA Security-related conditions 1. Not transfer title or possession without U.S. consent 2. Not use or permit use for other purposes without U.S. consent 3. Maintain security and provide substantially the same degree of protection 13

14. 1002 - 14 Legal and Policy Basis E.O. 12958  Establishes the Executive Branch’s National Security Information Program  Legal basis to protect Foreign Government Information (FGI)  Implemented by  Information Security Oversight Office (ISOO) Directive 1  DoD 5200.1-R 14

15. 1002 - 15 Legal and Policy Basis E.O. 12958 Classified information cannot be transferred to a third party without the consent of the originator 15

16. 1002 - 16 Legal and Policy Basis NSDM 119  Governs decisions on disclosure of Classified Military Information (CMI) to foreign governments & international organizations  Reiterates basic requirements of the AECA and E.O. 12958 16

17. 1002 - 17 Government-to-Government Principle Governs TWO activities related to International Programs: 1. Disclosure/Export authorizations decisions = government-to- government decision 2. Transfers of classified information and material = government-to- government transfer 17

18. What Is an Export*?  Sending/taking defense articles out of U.S. in any way  Transferring registration, control, or ownership to a foreign person of any aircraft, vessel, or satellite covered by U.S. Munitions List in U.S. or abroad  Disclosing (including orally and visually) or transferring any defense article or technical data:  To embassy, agency or subdivision of a foreign government in U.S.  To a foreign person in U.S. or abroad * ITAR, 22 CFR § 120.17

19. N N AVOID Dealing with Foreign Persons DoDD 2100.3 F F A A L L S S EE I M M P P R R E E S S S S I I O O S S

20. Controlled Unclassified Information (CUI)  Unclassified information to which access or distribution limitations have been applied  Or official government information that is unclassified, but has been determined by designated officials to be exempt from public disclosure under the Freedom of Information Act (5 USC § 552)

21. Freedom of Information Act 5 USC § 552  Openness in government  Any person can access agency files  Unless the record or part of the record is exempt from disclosure  DoD Directive 5400.7 - DoD Freedom of Information Act Program implements FOIA with DoD, and  Provides guidance for FOUO markings  Official U.S. Government unclassified information must be reviewed prior to release

22. FOIA Exemption # 3 Secretary of Defense Authority  Public Law 98-94 (10 USC § 130) provides the Secretary of Defense with the authority to withhold from the public:  Unclassified critical technical data  With military or space application  In the possession of, or under the control of a DoD

23. National Disclosure Policy  Framework and mechanism for implementing the security requirements of the AECA, E.O. 12958 and NSDM 119 for the transfer of Classified Military Information

24. Classified Military Information (CMI)  CMI is information  Requiring protection in interest of national security  Under control or jurisdiction of DoD or its departments/agencies

25. National Security Decision Memorandum 119  Governs decisions on foreign disclosure of classified military information  Assigns implementation of NDP to Secretaries of State and Defense  Other US Government departments and agencies when appropriate  Establishment of mechanism for effective implementation of policy  Conduct periodic on-site surveys  Develop information for General Security Agreements (GSA)

26. National Disclosure Policy Committee (NDPC) Department of Energy Department of EnergyDirector, Central Intelligence NDPC NDPC Secretary Secretary Secretary Secretary of of of of Defense State Defense State Other Departments Other DepartmentsandAgencies National Security Council National Security Council President President General Members: OSD Chairs Air Force State DepArmy JCS Navy Special Members: USD (P) DIA USD (AT&L) MDA USD (I) NGA NSA Asst Sec Def (NCB) Asst Sec Def (NII)

27. Basic National Disclosure Policy  Governs decisions on disclosure of CMI  Five disclosure criteria: 1.Supports U.S. foreign policy 2.Not jeopardize U.S. Military security (damage assessment) 3.Recipient’s capability and intent to protect 4.Benefit to the USG (POL/MIL/National Security) 5.Release limited to that necessary to satisfy U.S. goals

28. Security Surveys  Purpose - Enables the NDPC to determine by physical on-site review, whether a particular foreign government has the capability to protect CMI substantially the same as the United States  Provides for the exchange of information  Reviews foreign governments security laws and regulations  U.S. Embassy views also obtained  Evaluates foreign government and industry  Personnel security  Information control  Physical security

29. General Security Agreements  Negotiated via diplomatic channels  Affords classified material substantially the same degree of security protection as the releasing government would provide to its own classified information.  Provides for use limitations  Restricts third party transfers and protects proprietary rights  Provides for reporting losses or compromises  Commits to protect any classified information released to a third party

30. CATEGORY IFirearms, Close Assault Weapons and Combat Shotguns IIGuns and Armament IIIAmmunition/Ordnance IVLaunch vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines VExplosives and Energetic Materials, Propellants, Incendiary Agents and Their Constituents VIVessels of war and Special Naval Equipment VIITanks and Military Vehicles VIIIAircraft and Associated Equipment. XXSubmersible Vessels, Oceanographic and Associated Equipment XXIMiscellaneous Articles The U.S. Munitions List

31. Export Forms and Applications for Licenses (Part 123 & 126)  DSP-5Permanent export unclassified technical data or equipment  DSP-61Temporary import of unclassified defense articles (in-transit)  DSP-73 Temporary export of unclassified defense articles  DSP-83 Non-transfer and Use Certificate  DSP-85 Permanent/Temporary Export/Import of classified articles/technical data  DSP-94 FMS shipments  DS-2032Registration Form

32. International Visits Program (IVP)  Controls and facilitates visits by foreigners to DoD and contractor facilities  Uses automated Foreign Visit System (FVS) for processing requests  Also covers visits by DoD personnel and US contractors to foreign countries

33. Purposes of Visit Requests  Facilitate administration (scheduling)  Provide security assurance (if classified - clearance, Need To Know, government sponsorship)  Authorize disclosure / export

34. Types of Visits  One-time (single; usually less than 30 days; for a specific purpose)  Extended (single; up to one year; supports government approved program or contract)  Recurring (intermittent; up to one year; supports government approved program or contract)

35. Foreign Visits to DoD or Defense Contractor  Embassy or Defense Attache of foreign visitor submits Request for Visit Authorization (RVA) to appropriate Defense Visit Office (DVO)  Every DoD organization has a designated DVO  Defense Intelligence Agency (DIA) is the DVO for OSD, Joint Staff, Defense Agencies and contractors

36. Defense Visit Offices Defense Intelligence Agency (DIA) Defense Foreign Liaison (PO-FL) Department of the Air Force Disclosure Information Division (SAF/IAPD) Department of the Navy Navy International Programs Office (NIPO-10) Department of the Army Deputy Chief of Staff for Intelligence Directorate of International Relations (DAMI-IR) Cognizant Foreign Disclosure Office DoD/ Commercial Visit Location Visit Request Process Approval/Denial Non-Sponsor Approval/Denial Non-Sponsor Recommendation Foreign Embassy Or Military Attaché Visit Request Visit Request

37. Other Visit Request Processes  Hosted Visits - DoD invites foreign national; worked through appropriate DVO  Emergency Visits - legitimate purposes only; no amendments  Amendments - change to LATER date and / or list of visitors; NO change to purpose or information

38. Assignment of Foreign Nationals  Foreign Liaison Officers (FLO) - represent their governments  Personnel Exchange Officers (PEP) - work for US supervisor, but not fully integrated  Can’t be both

39. Review  Technology Transfer & Export Controls (Introduction)  Controlled Unclassified Information  Foreign Disclosure and the National Disclosure Policy (NDP)  Export Approval/License Process  International Visits