MEMORANDUM FOR :
THE DEPUTY UNDER SECRETARY OF THE AIR FORCE
FOR INTERNATIONAL AFFAIRS
DEPUTY ASSISTANT SECRETARY OF THE ARMY
FOR DEFENSE EXPORTS AND COOPERATION
DEPUTY ASSISTANT SECRETARY OF THE NAVY
FOR INTERNATIONAL PROGRAMS
DIRECTOR, DEFENSE CONTRACT MANAGEMENT AGENCY
DIRECTOR FOR SECURITY ASSISTANCE,
DEFENSE FINANCE AND ACCOUNTING SERVICE - INDIANAPOLIS OPERATIONS
DIRECTOR, DEFENSE INFORMATION SYSTEMS AGENCY
DIRECTOR, DEFENSE LOGISTICS AGENCY
DIRECTOR, DEFENSE LOGISTICS INFORMATION SERVICE
DIRECTOR, DEFENSE REUTILIZATION AND MARKETING SERVICE
DIRECTOR, DEFENSE THREAT REDUCTION AGENCY
DIRECTOR, NATIONAL GEOSPATIAL-INTELLIGENCE AGENCY
DEPUTY DIRECTOR FOR INFORMATION ASSURANCE,
NATIONAL SECURITY AGENCY
Procedures for Handling Draft and Informal 36(b) Notifications For Official Use Only, DSCA Policy 09-37 [SAMM E-Change 142]
Effective October 3, 2009, Chapter 5 of the Security Assistance Management Manual (SAMM) is updated to include instructions on the handling of Letter of Offer and Acceptance (LOA) documents that may require notification under Section 36(b)(1) of the Arms Export Control Act, as amended (AECA).
For many years, draft and informal 36(b) notifications have been coordinated in classified form until they are formally notified to Congress, at which time they normally become unclassified. The Department of State (DoS) has recently directed that it will determine on a case-by-case basis whether some draft and informal notifications may be handled as For Official Use Only (FOUO) until formal notification. New regulations establishing the handling designation Controlled Unclassified Information (CUI) will eventually replace the FOUO designation. We have already begun implementing this direction, but the first opportunity to update the Defense Security Assistance Management System (DSAMS) will occur with a new software release slated for October 3, 2009. Concurrent with that update, the attached change will be included in the automated version of the SAMM found on the Defense Security Cooperation Agency (DSCA) webpage, as SAMM E-Change 142, to reflect changes in handling procedures summarized below.
Implementing Agencies (IA) will continue to treat all details related to a draft response to a Letter of Request (LOR) that meets 36(b) thresholds as classified and prepare them on the Secret Internet Protocol Router Network (SIPRNET) until advised by DSCA that DoS has approved FOUO handling.
The IA will provide the following information to DSCA (DBO/CFM) via SIPRNET as soon as enough detail exists to provide reliable data: 1) Purchaser, 2) Description of Major Defense Equipment or other main items being sold, 3) Quantity, 4) Total Case Value, and 5) whether annexes classified for other reasons (e.g., Sensitivity of Technology, Offset Certification) will be attached to the notification. DSCA (DBO/CFM) will forward this data to the DoS, which will advise in writing whether the draft notification may be prepared as FOUO.
DSCA (DBO/CFM) will notify the IAs of DoS' decision by email. If DoS does not approve FOUO handling, case details must remain classified until formal notification. If FOUO handling is authorized for the draft and formal notification, details of the case may be marked and handled as FOUO. Any annexes to the notification classified for other reasons will remain classified and will be handled separately via SIPRNET. IAs must maintain internal procedures to ensure all documents are handled appropriately.
IAs will continue to enter all cases requiring 36(b) notification in to DSAMS using a masking country code, even if DSCA (DBO/CFM) has advised that FOUO handling has been approved, and will forward the masked case designator to DSCA (DBO/CFM) when it forwards the statutory notification data or by separate email. DSCA (DBO/CFM) will enter one of two new milestones in DSAMS, FOUO Approved (FOUOAPPROV) or FOUO Disapproved (DISAPFOUOU), to indicate whether DoS has authorized FOUO handling or not for the draft and informal notification.
If the milestone indicates DoS has approved FOUO handling for the draft and informal notification:.
The IA may replace the masking country code with the actual country code.
DSCA (DBO/CFM) enters the milestone indicating that formal notification has been made.
If the milestone indicates DoS has not approved FOUO handling, the IA will not be able to update the case with the actual country code until DSCA (DBO/CFM) has entered the milestone indicating that the formal notification has been delivered to Congress. The case will remain classified through staffing and the informal notification period, if one is required.
If you have any questions concerning the 36(b) processing, please contact Brenda English, DSCA (DBO/CFM), at (703) 601-3740 or email email@example.com. If you have any questions concerning this policy or the SAMM, please contact Mike Slack, DSCA (STR/POL), at (703) 601-3842 or email firstname.lastname@example.org.
Jeffrey A. Wieringa
Vice Admiral, USN