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Appendix 5 - 1

 

Table AP5.T1. Security Assistance Statutory Reports Submitted to Congress DSCA

# Report Item Authorizing Legislation Recipient* Trigger Responsible DoD Component
1

Notification to Congress of defense articles, services, education and training provided under unforeseen emergency or national interest drawdown authority

Sec. 506(b)(2), Foreign Assistance Act of 1961, as amended (FAA)(22 U.S.C. 2318(b)(2))

SHR, Pres. of Senate, HFAC, SFRC, HAC, SAC

Any provision of aid under Sec.506, FAA

DSCA (Business Operations Directorate (DBO)/Financial Policy and Analysis (FPA))

2

U.S. Armed Services Personnel Assigned to SCOs:

a

Presidential waiver of statutory limitation of six armed forces personnel in country

Sec. 515(c)(1), FAA (22 U.S.C. 2321i(c)(1))

HFAC, SFRC

30 days prior to introduction of additional personnel

DSCA (DBO/ Country Financial Management (CFM))

b

Notification of increase in U.S. armed forces personnel over levels indicated in the Congressional Budget Justification (CBJ) for the fiscal year in which the increase occurs

Sec. 515(c)(2), FAA (22 U.S.C. 2321i(c)(2))

HFAC, SFRC

30 days prior to introduction of additional personnel

DSCA (DBO/Comptroller Division (CMP))

3

Notification of grant transfer of Excess Defense Articles (EDA) (See also Item #11)

Sec. 516(f), FAA (22 U.S.C. 2321j(f))

HAC, SAC, SFRC, HFAC

30 days prior to transfer of Significant Military Equipment (SME) or EDA valued at $7M or more in original acquisition value

DSCA (Programs Directorate (PGM)/Building Partner Capacity (BPC))

4

Notification of program changes (dollar levels)

Sec. 634A, FAA (22 U.S.C. 2394 1) and Sec. 515, Annual Foreign Operations, Export Financing and Related Appropriations Act

HFAC, SFRC, HAC, SAC

15 days prior to obligation of funds not justified, or in excess of amounts justified, to the Congress for obligation under the FAA and the AECA

DSCA (Operations Directorate (OPS)) Country Program Directors (CPD), DSCA Legislative and Public Affairs Office (LPA)

5

Annual Military Assistance Report: Aggregate dollar value and quantity of defense articles (including EDA), defense services, and International Military Education and Training (IMET) authorized or furnished to each foreign country and international organization.

Sec. 655(b), FAA (22 U.S.C. 2415)

SHR, SFRC, HFAC

NLT 1 February each year

DSCA (DBO/FPA) for items under FAA, Chapters 2, 5, and 6 and AECA, Chapter 2

6

Availability of funds for Non-North Atlantic Treaty Organization (NATO) countries participating in Partnership for Peace (PfP)

Annual Foreign Operations, Export Financing and Related Programs Appropriations Act, Title III, Foreign Military Financing (FMF) Heading

HAC, SAC

15 days in advance of making funds available

DSCA (OPS/CPD)

7

Status of Loans and Guarantees Authorizing Legislation: Section 25(a)(11) AECA

Annual Foreign Operations, Export Financing and Related Programs Appropriations Act, Title III, FMF Heading

HAC, SAC

NLT 1 February of each year

DSCA (DBO/ CMP)

8

FMS Administrative Fund Obligation Ceiling Cap

Annual Foreign Operations, Export Financing and Related Programs Appropriations Act, Title III, FMF Heading

HAC, SAC

15 day prior notification required to exceed cap

DSCA (DBO/CMP)

9

Program Content Notification

Annual Foreign Operations, Export Financing and Related Programs Appropriations Act, (Sec.515, first proviso)

HAC, SAC

15 days prior to committing loan or grant funds appropriated for purposes of Sec. 23, AECA for provision of MDE, or MDE not previously justified, or 20% in excess of that previously justified

DSCA (OPS/CPD)

10

FMS to Haiti

Annual Foreign Operations, Export Financing and Related Programs Appropriations Act, (Sec. 562)

HAC, SAC

15 days prior notification

DSCA (OPS/CPD)

11

Sale of U.S. Prepositioned War Reserve Stocks, or Prepositioned Material Configured to Unit Sets (POMCUS), as decrement stock to non NATO purchasers

10 U.S.C. 2390

SHR, Pres. of Senate, [HASC, SASC] 1/

No later than 60 days after Presidential Determination of an “international crisis” affecting the security of the U.S. and that sale is in the best interests of the U.S., a report on a plan to replenish stocks and the planned budget request to begin implementation of the plan.

DSCA (OPS/CPD) in coordination with USD(AT&L)

12

Billing upon delivery from stock with 120-day interest-free period after delivery

Sec. 21(d) (last sentence), AECA (22 U.S.C. 2761(d))

SHR, Pres. of Senate, [HAC, SAC] 1/

Presidential determination and budget request for emergency funds

DSCA (OPS/CPD)

13

Report on FMS Training Standardization Agreements with NATO and with other countries that are major non NATO allies

Sec. 21(g), AECA (22 U.S.C. 2761(g))

SHR, HAC, SAC, HASC, SASC, HFAC, SFRC

U.S. conclusion of any standard-ization agreement on training for identified purchaser

DSCA (LPA and PGM/BPC)

14

Report on sales from stocks that could have a significant adverse impact on the combat readiness of U.S. Armed Forces

Sec. 21(i), AECA (22 U.S.C. 2761 (i))

SHR, SASC, SFRC, [HFAC, HASC] 1/

In the event a proposed sale from stocks that could have a significant adverse impact on combat readiness of U.S. forces

DSCA (OPS/CPD)

15

Billing upon delivery for defense articles and services or for payment 120 days after delivery

Sec. 22(b), AECA (22 U.S.C. 2763(g))

SHR, Pres. of Senate, [HAC, SAC] 1/

Presidential determination and budget request for emergency funds

DSCA (OPS/CPD)

16

Notification of cash flow financing arrangements for procurements in excess of $100M

Sec. 23(g), AECA (22 U.S.C. 2765)

SFRC, HFAC, HAC, SAC

15 days in advance

DSCA (OPS/CPD)

17

Annual Estimate and Justification for Sales Program

Sec. 25, AECA (22 U.S.C. 2765)

SHR, Pres. of Senate, HAC, SAC, [HFAC, SFRC, HASC, SASC, HBC, SBC, CBO] 1/

NLT February 1st of each year

a

“Javits” Report; covering all sales of major weapons or weapons related equipment for $7M or more, or of any other weapons or weapons related equipment for $25M or more, which are considered eligible for approval during the current calendar year. Also an indication of which sales are most likely to result in issuance of an LOA during such year

Sec. 25(a)(1), AECA (22 U.S.C. 2765(a)(1))

Reported to DoS (PM) and submitted separately from the CBJ.

DSCA (PGM/WPN)

b

Estimate of total sales and licensed commercial exports

Sec. 25(a)(2), AECA (22 U.S.C.2765(a)(1))

Reported to DoS (PM) for inclusion in the CBJ.

DSCA (STR/PLN)

C

Estimate of aggregate dollar value and quantity of defense articles and defense services, IMET, MAP, credits and guaranties to be furnished in the next fiscal year

Sec. 25(a)(5)(A), AECA (22 U.S.C. 2765(a)(5)A))

Reported to DoS (PM) for inclusion in the CBJ.

DSCA (DBO/CFM)

d

Report on Cash Flow Financing

Sec. 25(a)(5)(B), AECA (22 U.S.C. 2765(a)(5)(B))

Reported separately and not part of CBJ.

DSCA (DBO/CFM)

e

Analysis and description of USG services for which reimbursement is provided under AECA section 43(b) or 21(a) (22 U.S.C. 2792(b) or 2761(a))

Sec. 25(a)(6), AECA (22 U.S.C. 2765(a)(6))

Reported separately and not part of CBJ

DSCA (DBO/CFM)

f

Status of each loan and contract of guaranty or insurance

Sec. 25(a)(11), AECA(22 U.S.C. 2765(a)(11))

Reported separately and not part of CBJ.

DSCA (DBO/CMP)

18

Quarterly Report of Security Assistance Surveys

Sec. 26(b), AECA (22 U.S.C. 2766(b))

SHR, SFRC

NLT 60 days after end of each quarter. Included in reports required by Sec. 36(a), AECA. See Report Item #26.

DSCA (DBO/FPA)

19

Quarterly Reports on Commercial and Governmental Military Exports:

Sec. 36(a), AECA (22 U.S.C.2776)

SHR, SFRC

NLT 60 days after end of each quarter.

DSCA (DBO/FPA)

a

List of unaccepted LOAs valued at $1M or more for MDE

Sec. 36(a)(1), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA)

b

List of all accepted LOAs valued at $1M or more for MDE; total value of all defense articles and services sold during year

Sec. 36(a)(2), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA)

C

Cumulative dollar amounts of FMS direct credit and guaranty agreements made during the fiscal year

Sec. 36(a)(3), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA)

d

Dollar amounts of export licenses and approvals for commercially sold defense articles and services sold during the quarter

Sec. 36(a)(4), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA) based on input from DoS (PM/DDTC)

e

Dollar amounts of Foreign Military and Construction Sales Agreements concluded during the quarter, projections for remaining quarters (FMCS stated separately)

Sec. 36(a)(5) and (6), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA)

f

Projection of all sales expected to be made to each country and organization for the remainder of the fiscal year

Sec. 36(a)(6), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA)

g

Payment of political contributions and fees or commissions in connection with sales during the quarter

Sec. 36(a)(7), AECA (22 U.S.C.2776)

DSCA (DBO/FPA) based on input from DoS (PM/DDTC)

h

Third party transfer of defense articles or services whose value (in terms of original acquisition cost) is $1,000,000 or more

Sec. 36(a)(9), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA) based on input from DoS (PM/RSAT)

i

Transfers to non DoD USG agencies of munitions list items worth $250,000 or more

Sec. 36(a)(10), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA)

j

Report on FMS and DCS Co-production agreements not previously reported.

Sec. 36(a)(11), AECA (22 U.S.C. 2776)

DSCA (DBO/FPA) based on input from DoS (PM/DDTC)

k

Report on all exports of Significant Military Equipment for which information has been provided pursuant to AECA section 38(i) (22 U.S.C. 2778(i))

Sec. 36(a)(12) AECA (22 U.S.C. 2776)

DSCA (DBO/FPA) based on input from DoS (PM/DDTC)

l

Waivers of non recurring recoupment charges (NRC)

HGOC Report No. 97 214, 31 July 1981

SHR, SFRC

Included in reports required by Sec. 36(a), AECA (22 U.S.C. 2776).

DSCA (PGM/BPC)

20

Reports of proposed FMS:

  1. For defense articles or services valued at $50M or more ($100M or more for NATO members, Japan, Australia, the Republic of Korea, Israel, New Zealand (NATO +5), or

  2. For design and construction services valued at $200M or more ($300M or more for NATO+5), or

  3. MDE valued at $14M or more ($25M or more for NATO as an organization or any country or international organization not a member of NATO+5)

Sec. 36(b)(1), AECA (22 U.S.C. 2776)

SHR, SFRC, HFAC, HAC, SAC, [HASC, SASC] 1/

15 days before issuance of an LOA to NATO and NATO+5, or 30 days before issuance of an LOA to other purchasers

DSCA (DBO/CFM)

21

Report of enhancement or upgrade or sensitivity of technology of items previously notified under Sec. 36(b)(1), AECA

Sec. 36(b)(5)(A), AECA (22 U.S.C. 2776)

SHR, HFAC, SFRC, SAC, [HASC, SASC, HAC] 1/

45 days before delivery of previously notified item(s)

DSCA (DBO/CFM)

22

Notification of enhancement or upgrade of capability or sensitivity of technology

Sec. 36(b)(5)(C), AECA (22 U.S.C. 2776)

SHR, SFRC, [HFAC, HASC, SASC, HAC, SAC] 1/

15/30 days prior to a proposed enhancement or upgrade that meets 36(b)(1) thresholds

DSCA (DBO/CFM)

23

Report on reciprocal no-rent leases

Sec. 61(a), AECA (22 U.S.C. 2796)

SAC, HAC, SFRC, HFAC

NLT 30 days before entering into or renewing any lease for one year or longer; 15 days for NATO+5

DSCA (PGM/BPC)

24

Report on proposed leases of defense articles

Sec.62, AECA (22 U.S.C. 2796a)

SHR, SFRC, SASC, [HFAC, HASC] 1/

NLT 30 days before entering into or renewing any lease for one year or longer; 15 days for NATO +5

DSCA (PGM/BPC)

25

National security interest determination for DoD direct participation in air shows or trade exhibitions held outside the United States

Sec.1082, National Defense Authorization Act, FY 1993, (Public Law 102 484) (10 U.S.C. 113 note)

HASC, SASC, HAC, SAC

45 days prior to the opening of the air show or trade exhibition

DSCA (PGM/WPN)

26

Drawdowns

Sec. 1247 of the NDAA for FY 2010

SAC, HAC, HFAC, SFRC, SASC, HASC

Annually

DSCA (DBO/FPA)

Notes:

  • 1/Recipients in brackets are not required by law.

  • *Abbreviations:

    • CBO -- Congressional Budget Office
    • HAC -- House Appropriations Committee
    • HASC – House Armed Services Committee
    • HBC -- House Budget Committee
    • HFAC -- House International Relations Committee
    • HGOC -- House Government Operations Committee
    • SAC -- Senate Appropriations Committee
    • SASC -- Senate Armed Services Committee
    • SBC -- Senate Budget Committee
    • SFRC -- Senate Foreign Relations Committee
    • SHR -- Speaker of the House of Representatives

Page Updated 04-24-2012