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TSFD and Export Control

Technology Security and Foreign Disclosure (TSFD) and export control are major factors in any program with international aspects.  The Arms Export Control Act (AECA) of 1976 is the governing legislation.  The Department of State has published the International Traffic in Arms Regulations (ITAR) to implement the AECA.

All PMs who manage programs with substantial international acquisition involvement should ensure they have access to knowledgeable experts in their Program Management Office (PMO), Integrated Product Team (IPT), or parent organization to be able to address TSFD and export control matters effectively and efficiently.

Consider visiting the Department of Defense (DoD) Technology Security & Foreign Disclosure Office (TSFDO) Website for further unclassified, public domain information on DoD acquisition-related TSFD and export control matters. 

Note:  Additional TSFD and Export Control documents (EOs, regulations, handbooks, training, etc..) besides those listed below may be accessed using this webpage's "Browse by Category" or the "Search" function.

  
  
  
Summary Description
  
  
  
TSFD Pipes Chart (.pdf version).pdfTSFD Pipes Chart (Aug 2020 Revision)
  
Revised version Department of Defense (DoD) Technology Security and Foreign Disclosure (TSFD) 'Pipes' chart which graphically displays key U.S. Government and DoD TSFD processes.  This updated version adds the Military Intelligence Disclosure Policy (MIDP) process, highlights those TSFD processes that have Interagency and Title 50 Intelligence Community involvement, and shows the respective "pipe" responsibilites of the new USD/Acquisition & Sustainment (A&S) and USD/Research & Engineering organizations
8/19/2020 10:45 PMReference
(L04) Policy Update Overview 05032019.pptxACQ 380 IA&E Policy Update (Jun 19)
  
This ACQ 380 International Acquisition & Exportability (IA&E) Policy Update provides a comprehensive overview of recent changes to U.S. Government/DoD laws, regulations, and policies that affect the DoD International Acquisition Career Path (IACP) and USG Security Cooperation communities.
6/26/2019 9:04 AMLearning Material
State Dept ITAR 126.4 REV -- 4-19-19.pdfState Department ITAR 126.4 Exemption Revision (Apr 19)
  
The State Department published a long-awaited International Traffic in Arms Regulations (ITAR) 126.4 revision in the Federal Register on April 19. 2019.

The previous version ITAR 126.4 was most often used as a DoD International Cooperative Program (ICP) ITAR exemption based on the DoD ITAR Exemption Guidelines issued by the Defense Technology Security Administration (DTSA) in 2004/2007 (Note:  these DTSA ITAR Exemption Guidelines memos are available on this ICOP website.)

In addition to updating and clarifying several areas regarding use of ITAR 126.4 for ICP-related ITAR exemptions, the revised version of ITAR 126.4 also addresses non-FMS Security Cooperation efforts as well as the U.S. Government Customer and Border Protection (CBP) reporting requirements for the use of this exemption.

Consult your DoD Component International Program Organization (IPO) or local Foreign Disclosure Officer (FDO) regarding potential use of the revised ITAR 126.4 provisions in support of your Int'l Acquisition program's implementation.


4/25/2019 10:41 AMReference
Conventional Arms Transfer Policy Implementation Plan Update (Nov 18).aspxUSG Conventional Arms Transfer Policy (CAT) Implementation Plan Update (Nov 18)
  
The USG CAT Policy Implementation Plan addresses the increasingly competitive global arms sales environment described in the National Security Strategy, and seeks to modernize the U.S. Government’s policies and processes regarding arms transfers.

This updated Dept of State Fact Sheet describes three ongoing CAT Policy Implementation Plan Lines of Effort (LOE) designed to achieve USG CAT Policy goals. Each LOE is supported by a number of tasks that are currently being pursued by the relevant U.S. Government agencies, including USD(A&S), USD(R&E) and the Defense Acquisition Workforce.
11/9/2018 2:15 PMReport
FY2019 NDAA - Defense Exportability (Excerpt) Sec 223 pdf.pdfFY2019 NDAA - Defense Exportability (Section 223) Excerpt
  
Fiscal Year 2019 National Defense Authorization Act (NDAA) Section 223 (excerpt) that established permanent defense exportability features legislative authority in Title 10 U.S.C. 2358.
10/7/2018 3:40 PMReference
DAU Tech Security Foreign Disclosure (TSFD) Teaching Note - DSMC-I.pdfDAU Tech Security Foreign Disclosure (TSFD) Teaching Note - Feb 2018
  
Defense Acquisition University (DAU) Teaching Note on DoD Technology Security and Foreign Disclosure (TSFD) updated by the Defense Systems Management College (DSMC) International Acquisition Center in February 2018.  This DAU Teaching Note is used in various DAU International Acquisition Career Path (IACP) course and is a useful reference on this subject.
2/8/2018 5:45 PMReference
USA000140-19 TAB A USD(AS) Cybersecurity in KRs 1-21-19.pdfUSD(A&S) Memo on Cybersecurity in DoD Contracts (Jan 19)
  
This Under Secretary of Defense (Acquisition & Sustainment) Memo of Jan 21. 2019 provides updated guidance to the DoD acquisition workforce on incorporation and implementation of DoD cybersecurity requirements in DoD contracts with private sector entities.  It assigns DCMA primary responsibility for oversight and validation of contractor compliance, noting that (in specific circumstances) other DoD Component organizations may also have oversight and validation responsibilities in contractor cybersecurity oversight.
3/1/2019 9:15 PMReference
USA003377-18 ASD(A) Cyber Security in DoD KRs 12-17-18.pdfASD(A) Memo on Cybersecurity in DoD Contracts (Dec 18)
  
This Assistant Secretary of Defense (Acquisition) Memo of Dec 17, 2018 provides updated guidance to the DoD acquisition workforce on incorporation and implementation of DoD cybersecurity requirements in DoD contracts with private sector entities.  This memo provides guidance and a Statement of Work (SOW) template that should be used by the PM/IPT and Contracting Officer to implement OUSD(A&S) Defense Pricing and Contracting guidance issued on Nov 6, 2018 re: how to assess compliance and ensure the enhanced cybersecurity protections required by DFARS 252.204-7012 are implemented by DoD contractors.
3/1/2019 9:14 PMReference
DEI Policy Reference List R2 - 7-13-17 w-links final.docxDefense Exportability Integration (DEI) Policy Reference List - July 2017
  
Defense Exportability Integration (DEI) Policy reference list for use by Defense Acquisition Workforce personnel.
10/17/2017 2:56 PMReference
DoDD 5111.21.aspxDoDD 5111.21 - Tech Security and Foreign Disclosure (TSFD)
  
This DoD Directive formally established the DoD Arms Transfer and Technology Release Senior Steering Group (ATTR SSG) and Technology Security and Foreign Disclosure Office (TSFDO), and also provides overall DoD policy regarding DoD-level TSFD activities.  It replaced DTM-11-053 (Technology Security and Foreign Disclosure (TS&FD) Processes).
10/17/2017 4:08 PMReference
DTIC Website DTM 15-002 on FOCI National Interest Determinations NIDs PDF Download.aspxDTM 15-002 on FOCI National Interest Determinations NIDs
  
Directive-type Memorandum (DTM) 15-002, "Policy Guidance for the Processing of National Interest Determinations (NIDs) in Connection with Foreign Ownership, Control, or Influence (FOCI)" This DTM provides DoD acquisition workforce personnel, other DoD personnel, and supporting contractors with policy and procedural guidance on processing of DoD NIDs.  DTM 15-002 Change 2 was issued on July 31, 2017.
10/17/2017 2:59 PMReference
Non Transfer and Use Certification NT UC Format Template DSMC I 7 31 14.docxNon-Transfer and Use Certification NT and UC Format - Template
  
NT&UC format - template for use in DoD pre-contract award situations where U.S.-origin Export-Controlled Controlled Unclassified Information (EC-CUI) will be provided to authorized foreign entities (see ACQuipedia Article entitled "Release of Export-Controlled (EC) Controlled Unclassified Information (CUI) to Foreign Industry by DoD Personnel during the DoD Contracting Process").
 
10/16/2017 1:58 PMReference
DISAM ITAR 101 Learning Guide for FMS Personnel.aspxDISAM ITAR 101 Learning Guide for FMS Personnel
  
This DISAM learning guide presents an introduction to the International Traffic in Arms Regulations (ITAR), managed by the Political-Military Affairs Bureau of the Department of State. It is designed primarily for State Department and DoD personnel who work in support of Foreign Military Sales. It is also beneficial for U.S. defense contractor personnel who engage in international sales.
Provides DoD acquisition workforce, DoD personnel, and supporting industry with FMS-related ITAR information.
6/14/2016 12:38 PMLearning Material
DEF Implementation Best Practices - DAU DSMC-I -- 5-26-2020.pdfDesign for Exportability - Defense Exportability Integration BPs (May 20)
  
This DAU DFE -DEI Best Practices info paper provides a summary of current perspectives, insights, and advice on the "how to" aspects of building in defense exportability at the Program Management Office (PMO)/Integrated Product Team (IPT) level.
5/27/2020 9:54 PMLearning Material
OUSD-I Memo on NOFORN Markings 4-2-18.pdfOUSD(I&S) Memo on DoD Use of NOFORN Markings (Apr 18)
  
This Office of the UnderSecDef (Intel & Security) Memo provides policy guidance on appropriate use of NOFORN markings on DoD information.  Only four categories of information are eligible for use of the NOFORN marking: Intelligence; Naval Nuclear Propulsion; National Disclosure Policy (NDP-1); and, DoD Cover and Cover Support.
3/29/2020 11:21 PMReference
USD R-E Ltr to Sen Grassley on Foreign Threats to Taxpayer Funded Research 7-1-2019.pdfUSD(R&E) Letter on Foreign Threats to DoD-Funded Research (Jul 19)
  
Under SecDef (Research & Engineering) Michael Griffin sent this letter to Senator Grassley on behalf of the Acting SecDef on July 1, 2019 to summarize ongoing and planned DoD actions in response to the FY 2019 NDAA Section 1286 provisions on this subject.
10/18/2019 10:54 AMReference
DoD Protecting Critical Technology Task Force Memo 10-24-18.pdfSecDef Memo on Protecting Critical Technology (Oct 18)
  
Then-SecDef Mattis emphasized the importance of protecting DoD critical technology in his Oct 24, 2018 memo on this subject.

This memo also established a DoD-level Protecting Critical Technology Task Force (PCTTF) responsible for implementing this initiative.
10/18/2019 10:43 AMReference
USD-RE (DoD) letter to Universities10102019.pdfUSD(R&E) Letter to Universities on Research Protection (Oct 19)
  
UnderSecDef (Research & Engineering) Michael Griffin wrote a letter to the U.S. university academic community on October 10, 2019 asking for their help to improve research protection to guard against foreign government exploitation that intentionally targets U.S. and allied partner research and intellectual capital.

The letter encourages U.S. universitites and research centers to partner with DoD and USG organizations to identify and take action against illegal activities and unethical practices across the U.S. research enterprise.
10/15/2019 9:53 PMReference
CRS Report on Export Control Reform - 3-5-2019.pdfCongressional Research Service Report on Export Control Reform (Mar 2019)
  
The CRS published a comprehensive report on the successes and failures of the former SecDef Gates/Obama Administration Export Control Reform (ECR) efforts conducted from 2009 onward.

The CRS Reports focuses on the progress (or lack thereof) made on acheiving the "Four Singles" of ECR:

- A single export control licensing agency for dual-use, munitions exports, and Treasury-administered embargoes
- A unified control list
- A single primary enforcement coordination agency
- A single integrated information technology (IT) system

None of these "Four Singles" were fully achieved, but substantial progress was made in several areas.
3/31/2019 6:27 PMReport
Cybersecurity in Program Acquisition-DSMC Faculty Brown Bag Oct 17.pdfDAU Presentation - Cybersecurity in Progarm Acquisition (Oct 17)
  
Dr Chris D’Ascenzo gave a DAU ‘Brown Bag’ presentation on Cybersecurity in Program Acquisition (Oct 17).  It provides comprehensive information on Program Manager/Integrated Product Team level cybersecurity requirements, responsibilities, and policies/procedures.

A Video of Dr. C's Brown Bag presentation on this subject is available on the DAU.mil media website at URL

https://media.dau.mil/channel/CyberSecurity/62925431 
1/29/2019 2:03 PMLearning Material
DFARS on Cyber Protection -- DoD DPAP Memo USA002829-17 (9-17-17).pdfOSD(A&S) DPAP Memo - DFARS on Cyber Protection (Sep 17)
  
Office of SecDef (Acquisition & Sustainment) Defense Procurement and Acquisition Policy (DPAP) issued a memo on "Implementation of DFARS Clause 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting" in September 2017. 

This memo includes a 6 page attachment which provides Program Manager/Integrated Product Team level on the implementation of this DFARS provision, the requirements of which are largely based on the cyber protection and reporting requirements contained in NIST SP 800-171.
1/29/2019 1:46 PMReference