1. 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

2. 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

3. Assess and Integrate Statutory, Regulatory and Policy Requirements

4. 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.

5. 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.

6. 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

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

8. 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.

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

10. 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.

11. NDP Place in Arms Transfer Process
FMS
LOR MILDEP ENDP STATE b Congress LOA
decision to review review
sponsor
Commercial
Export MILDEP ENDP STATE c 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

12. 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

13. 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

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

15. 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.

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

17. 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 , Presidential Safeguarding Directive, DoDDs , , , , , & ; DoD R, USSAN, , NISPOM, PD on CUI, DoD Instruction

18. 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
Contract Clauses

19. 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.

20. 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)

21. SUMMARY COMMENTS