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Chapter 1

Chapter 1, Security Cooperation Overview and Relationships, defines Security Cooperation and Security Assistance, and summarizes the key legal authorities for, and roles and responsibilities of other agencies in, the provision of security assistance. It also restates the roles and responsibilities of Department of Defense organizations in providing Security Cooperation.

Section Title
C1.1. Security Cooperation
C1.2. Authorities for Security Assistance
C1.3. Responsibilities and Relationships - General

C1.1.1. Definition and Purpose. SC comprises all activities undertaken by the Department of Defense (DoD) to encourage and enable international partners to work with the United States to achieve strategic objectives. It includes all DoD interactions with foreign defense and security establishments, including all DoD-administered Security Assistance (SA) programs, that build defense and security relationships; promote specific U.S. security interests, including all international armaments cooperation activities and SA activities; develop allied and friendly military capabilities for self-defense and multinational operations; and provide U.S. forces with peacetime and contingency access to host nations. It is DoD policy that SC is an important tool of national security and foreign policy and is an integral element of the DoD mission. SC activities shall be planned, programmed, budgeted, and executed with the same high degree of attention and efficiency as other integral DoD activities. SC requirements shall be combined with other DoD requirements and implemented through standard DoD systems, facilities, and procedures. See DoD Directive 5132.03.

C1.1.2. Distinguishing Between Security Cooperation and Security Assistance Programs. As the definition of SC above reveals, there are many types of SC activities. For the purposes of this Manual, it is important to be able to distinguish between SC Programs and SA Programs. Programs of both types are the means by which the United States provides defense articles, military training, and other defense services to our partner nations in support of U.S. National Security objectives, including Building Partner Capacity (BPC). They are distinguished by the statutes by which they are authorized and funded.

C1.1.2.1. Security Cooperation Programs. SC Program authorizations and appropriations are provided to the Secretary of Defense primarily under the annual National Defense Authorization and Appropriations Act. By statute or Executive Order, they are sometimes required to be exercised in coordination with the Secretary of State. These programs vary greatly in terms of the agency or DoD activity responsible and the manner in which they are planned for and funded. See Chapter 15 for more detailed information on individual programs.

C1.1.2.2. Security Assistance Programs. SA is a group of programs, authorized under Title 22 authorities, by which the United States provides defense articles, military education and training, and other defense-related services by grant, loan, credit, cash sales, or lease, in furtherance of national policies and objectives. All SA programs are subject to the continuous supervision and general direction of the Secretary of State to best serve U.S. foreign policy interests; however, programs are variously administered by DoD or Department of State (DoS). Those SA programs that are administered by DoD are a subset of SC.

C1.2.1. Legislative Authorities for Security Assistance (SA). SA authorizations and appropriations are provided primarily under three public laws:

  1. The Foreign Assistance Act (FAA) of 1961, as amended
  2. The Arms Export Control Act (AECA) of 1976, as amended
  3. Annual appropriations acts for Foreign Operations, Export Financing and Related Programs

Each year, the Administration submits a SA appropriations budget request as part of the President’s budget submission. The Administration may also request legislative amendments to authorization and appropriations laws from Congress. Congress reviews requests, authorizes and appropriates funds, and enacts necessary legislative amendments for carrying out SA programs. Appropriations may also be requested to reimburse the DoD for the value of items furnished under Military Assistance Drawdown. In the event appropriations are not enacted prior to the beginning of the fiscal year, essential activities are usually carried out under a Continuing Resolution Authority (CRA). The CRA is a temporary or stopgap appropriation made by Congress and contains special rules for expenditures.

C1.2.2. Legislative Authorities for Security Cooperation (SC). SC authorizations and appropriations are provided primarily under annual Department of Defense Appropriations Acts and Supplementals and a range of other Title 10 provisions. These authorities and programs are discussed in detail in Chapter 15.

C1.2.3. Executive Orders for Security Assistance. Detailed SA delegations are also found in Executive Order (E.O.) 13637. This Executive Order allocates authority and responsibility for SA principally to the Secretary of Defense and the Secretary of State. The Secretary of Defense authority is further delegated to the Deputy Secretary of Defense, to the Under Secretary of Defense for Policy (USD(P)), and finally to the Director, Defense Security Cooperation Agency (DSCA), in DoD Directive 5105.65.

C1.2.4. Regulations, Directives, Instructions, and Manuals for Security Cooperation.

C1.2.4.1. SC activities must be in compliance with law, this Manual and additional policy guidance issued by DSCA, the Secretary of Defense, and the Secretary of State. Implementing Agencies may supplement this Manual with internal regulations or policy guidance covering details unique to their organizations. Supplements must be consistent with this Manual. Information copies of the supplements must be sent to DSCA (Strategy Directorate).

C1.2.4.2. Other DoD regulations and manuals that cover specific program details relating to SC are referenced throughout this Manual. Identify any inconsistencies between these regulations and this Manual to DSCA (Strategy Directorate) for resolution.

Congress authorizes and appropriates funds for the United States Government (USG)-financed portions of Security Assistance (SA). Congress has a keen interest in the sale and transfer of defense articles and services to foreign countries and international organizations. Executive Branch agencies such as the National Security Staff, the Office of Management and Budget, the Department of the Treasury, and others have responsibilities related to SA. However, aside from the President, the principal legislated responsibilities fall to the DoS and the DoD.

C1.3.1. Department of State (DoS).

Department of State Logo Under the FAA, AECA, and Executive Order 13637 the Secretary of State is responsible for continuous supervision and general direction of Security Assistance programs. This includes determining whether (and when) there will be a program or sale for a particular country or activity (to include International Military Education and Training (IMET)) and, if so, its size and scope. It also includes the determination of budget requests and allocation of funds for military assistance. The DoS reviews and approves export license requests for direct commercial sales of items on the United States Munitions List (USML) of the International Traffic in Arms Regulations (ITAR). The DoS also reviews and approves third party transfers of exported defense articles and services. The DoS ensures FAA, section 503 (22 U.S.C. 2311) eligibility and obtains the assurances from recipient countries and organizations required by FAA, section 505 (22 U.S.C. 2314) prior to most grant transfers of defense articles. The DoS prepares the Mission Strategic Resource Plan (MSRP) and reviews and submits to Congress the Congressional Budget Justification (CBJ), which includes an annual estimate of the total amount of sales and licensed commercial exports expected to be made to each foreign nation as required by AECA 25(a)(2) (22 U.S.C. 2765(a)(2)), and annual arms sale proposal (Javits Report) as required by AECA 25(a)(1) (22 U.S.C. 2765(a)(2)).

C1.3.2. Department of Defense Organizations.

Department of Defense Logo The Secretary of Defense establishes military requirements and implements programs to transfer defense articles and services to eligible foreign countries and international organizations. Within DoD, the principal responsible agencies for Security Cooperation (SC) are the Defense Security Cooperation Agency (DSCA), the Combatant Commands (CCMDs), the Joint Staff, the Security Cooperation Organizations (SCOs), and the Military Departments (MILDEPs).

C1.3.2.1. Under Secretary of Defense for Policy (USD(P)). The USD(P) serves as the principal staff assistant and advisor to the Secretary of Defense on SC matters. In that capacity, USD(P) develops and coordinates DoD guidance which disseminates Secretary of Defense SC goals and priorities; develops and coordinates DoD campaign plan policy and assessment guidance; provides oversight and review of regional and functional campaign plans and assessments; oversees and advises the DoD Components on the development of campaign plans and campaign support plans and resource allocation priorities; evaluates completed campaign plan assessments, campaign support plan assessments, and SC program assessments and advises the Secretary of Defense on the effectiveness of DoD SC efforts; articulates Secretary of Defense SC goals, policies, and priorities to other USG agencies to help shape national security objectives and enable greater unity of effort; determines priorities for diversion of materiel and equipment in consultation with the Director, DSCA; develops, coordinates, and disseminates the Guidance for the Employment of the Force (GEF)", including the assessment guidance, which outlines Secretary of Defense SC goals; oversees the direction and administration of DoD-wide policy guidance for the execution of SA and additional DoD SC programs; represents Secretary of Defense interests in SC matters and serves as the DoD point of contact and representative for SC; in coordination with the Director, Cost Assessment and Program Evaluation Office (CAPE), oversees and conducts programmatic level assessments and conducts all SC program assessments; in coordination with the Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)) and the Director, DSCA, as appropriate, leads the development of technology security and foreign disclosure and sales policies and procedures for defense information, technology, and systems via the Director, Defense Technology Security Agency (DTSA). See DoD Directive 5111.11.

C1.3.2.2. Defense Security Cooperation Agency (DSCA).

Defense Security Cooperation Agency Logo DSCA directs, administers, and provides guidance to the DoD Components and DoD representatives to U.S. missions, for the execution of DoD SC programs for which DSCA has responsibility. DSCA ensures Secretary of Defense and USD(P) interests in SA matters are represented; identifies requirements, criteria, and procedures for the selection and training of personnel engaged in SA activities in DoD SC programs over which DSCA has responsibility; communicates directly with the Heads of the DoD Components on SC matters over which DSCA has responsibility; in coordination with the USD(P) and the USD(AT&L), as appropriate, supports the development of technology security and foreign disclosure and sales policies and procedures for defense information, technology, and systems; jointly establishes appropriate agreements and procedures with the Director, Defense Intelligence Agency (DIA), and with the Combatant Commands (CCMDs) for Senior Defense Officials (SDOs) and Defense Attachés (DATTs) to provide guidance and oversees SC programs for which DSCA is responsible, in accordance with applicable laws and regulations; approves, in coordination with the Chairman of the Joint Chiefs of Staff, Security Cooperation Organizations (SCO) joint manpower programs involving the establishment of new SCOs or changes in manpower authorizations or organizational structure; jointly, with the Director of the DIA, approves changes to the grade or Military Department affiliation of the SDO or DATT; reports to the Under Secretary of Defense for Personnel and Readiness (USD(P&R)) in the Defense Readiness Reporting System (DRRS) readiness of personnel for SA activities in DoD SC programs over which DSCA has responsibility; and acts as the Executive Agent for DoD Regional Centers for Security Studies. Authorities conferred on the Secretary of Defense by the FAA and AECA pertaining to SA and authorities under those acts delegated by the President to the Secretary of Defense are redelegated through the USD(P) to the Director, DSCA. See DoD Directive 5105.65.

C1.3.2.3. Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)). The USD(AT&L) is the principal staff assistant and advisor to the Secretary of Defense for all matters relating to the DoD Acquisition System; research and development; production; logistics; command, control, communications, and intelligence activities related to acquisition; military construction; and procurement. The USD(AT&L) is responsible for co-development, co-production, co-procurement, logistics support, wartime host-nation support, and research interchange with allied and friendly foreign nations. The USD(AT&L) coordinates on SC policy guidance and campaign plans; ensures conformance with international armaments cooperation, industrial collaboration, and technology release policies; ensures that DoD logistics policy and procedures are effectively integrated with SC campaign plans and program implementation; provides advice and technical assistance to the USD(P) and the Director, DSCA, to accomplish the objectives of SC programs; in coordination with the USD(P) and the Director, DSCA, as appropriate, supports the development of technology security and foreign disclosure and sales policies and procedures for defense information, technology, and systems; establishes policies, in coordination with the USD(P), for the effective development of international acquisition, technology, and logistics programs that support current SC goals. See DoD Directive 5134.01.

C1.3.2.4. Under Secretary of Defense, Comptroller (USD(C)). USD(C) establishes policies and procedures for SC activities involving financial management, fiscal matters, accounting, pricing, budgeting for reimbursements to DoD appropriation accounts and revolving funds, international payments, and matters affecting the DoD budget. See DoD Directive 5132.03.

C1.3.2.5. Under Secretary of Defense, Personnel and Readiness (USD(P&R)). The USD(P&R) assists the Director, DSCA and the Chairman of the Joint Chiefs of Staff by developing and coordinating relevant input on SCO joint manpower programs involving the establishment of new SCO or changes in SCO manpower authorizations, organizational structure, or the grade, rank, or MILDEP affiliation of the Chief of the SCO; coordinates efforts to build regional, cultural, and language expertise among U.S. forces, including DoD international military and civilian personnel exchange programs, with the USD(P); and identifies, tracks, and assesses readiness of personnel with regional, cultural, and language expertise.

C1.3.2.6. The Military Departments (MILDEPs). In coordination with the USD(P), the MILDEPs develop campaign support plans, as appropriate, serve as IAs to conduct SC programs and activities, and complete campaign support plan assessments contributing to CCMD campaign plans, as appropriate. In coordination with the USD(P), they serve as advisors to the Secretary of Defense on all matters of SC affecting or related to their respective Departments’ support to the CCDRs; and provide recommendations to the Secretary of Defense to ensure the successful conduct of SC programs. They conduct international armaments cooperation with eligible friendly foreign countries and international organizations in accordance with policies and criteria established by the USD(AT&L). They conduct military education and training and sales of defense articles and defense services to eligible foreign countries and international organizations in accordance with policies and criteria established by the USD(P) and the Director, DSCA and provide the technical information and data, upon request, on weapons systems, tactics, doctrine, training, capabilities, logistic support, price, source, availability, and lead-time for developing and reviewing SC programs. They maintain appropriate records and furnish prescribed reports as requested. They provide qualified military and civilian personnel to carry out SC assignments according to approved tables of distribution and other authorizations, directives, and requests. They ensure conformance with technology transfer, classified military information release, and disclosure policies for their respective areas of responsibility while conducting SC activities. They assist USD(AT&L) and the Director, DSCA, as requested, in government-to-government or interdepartmental discussions or negotiations involving SC.

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C1.3.2.7. Other Implementing Agencies (IAs). In addition to the MILDEPs, certain other agencies also prepare and execute FMS cases. In coordination with the USD(P), IAs serve as advisors to the Secretary of Defense on all matters of SC affecting or related to their respective support to the CCDRs and provide recommendations to the Secretary of Defense to ensure the successful conduct of SC programs. They conduct military education and training and sales of defense articles and defense services to eligible foreign countries and international organizations in accordance with policies and criteria established by the USD(P) and the Director, DSCA and provide the technical information and data, upon request, on weapons systems, tactics, doctrine, training, capabilities, logistic support, price, source, availability, and lead-time for developing and reviewing SC programs. They maintain appropriate records and furnish prescribed reports as requested. They ensure conformance with technology transfer, classified military information release, and disclosure policies for their respective areas of responsibility while conducting SC activities. They assist the USD(AT&L) and the Director, DSCA, as requested, in government-to-government or interdepartmental discussions or negotiations involving SC. See Table C5.T2. for a list of IAs.

C1.3.2.8. Defense Logistics Agency (DLA).

Defense Logistics Agency Logo The Director, DLA advises the Secretary of Defense on all SC matters impacting DLA and acts for the Secretary of Defense when responsibility has been delegated. DLA prepares FMS cases for cataloging services, disposal services, and Excess Defense Articles (EDA) at the DLA Disposition Services. DLA coordinates on MILDEP FMS cases exclusively for medical equipment and supplies (except for U.S. Army cases prepared by U.S. Army Medical Materiel Agency (USAMMA)), clothing and textiles, subsistence, and bulk petroleum. As the item manager for consumable stock-funded secondary items, DLA supply centers work with the MILDEPs to fill requisitions, process Supply Discrepancy Reports (SDRs)), and close cases when supply is complete.

C1.3.2.9. Defense Contract Management Agency (DCMA).

Defense Contract Management Agency Logo DCMA performs contract administration and management, quality assurance, and inspection for the DoD, other federal agencies, foreign governments, international organizations, and others, as authorized. This includes contracts that support FMS cases. See DoD Directive 5105.64.

C1.3.2.10. Defense Contract Audit Agency (DCAA).

Defense Contract Audit Agency Logo DCAA performs all necessary contract auditing for the DoD and provides accounting and financial advisory services regarding contracts and subcontracts to all the DoD Components responsible for procurement and contract administration. These services are provided in connection with negotiation, administration, and settlement of contracts and subcontracts. This includes contracts that support FMS cases. See DoD Directive 5105.36.

C1.3.2.11. Defense Finance and Accounting Service (DFAS).

Defense Finance and Accounting Service Logo DFAS performs accounting, billing, disbursing, and collecting functions for SC programs. DFAS also issues accounting procedures. The primary site for SA is DFAS Indianapolis. See DoD Directive 5118.05.

C1.3.2.12. The Joint Chiefs of Staff.

The Joint Chiefs of Staff Logo The Joint Chiefs of Staff provide implementation guidance for U.S. military plans and programs and provide the Secretary of Defense with military advice concerning SC; review, in conjunction with the USD(P), CCMD campaign plans (including SC aspects) and oversee deconfliction of the campaign plans as necessary; and collect and review the campaign plan assessments completed by the CCDRs through the Comprehensive Joint Assessment and advise the USD(P) on the effectiveness of DoD SC efforts. They produce the annual DoD campaign plan assessment template in consultation with the USD(P), to be completed by the DoD Components, and review Service campaign support plans and enable deconfliction, coordination, and/or integration of Service support of CCMD campaign plans, as necessary. They modify Global Force Management Board processes and procedures to account for force requirements for SC. The Joint Chiefs of Staff also assign force and activity designators (FAD) for priorities in the allocation of stocked defense articles, defense services, and military education and training between and among partner countries and organizations and the U.S. Armed Forces and recommend priorities for allocation of materiel and equipment for partner countries when competing needs cannot be resolved by Director, DSCA. The Joint Chiefs of Staff are responsible for assigning Chairman of the Joint Chiefs of Staff (CJCS) project codes that identify a project, operation, force, or activity sanctioned by the Chairman that requires heightened logistic infrastructure visibility and support, or identify a unique military project or operation when a CJCS project code is warranted for tracking purposes but normal materiel allocation is to remain unaffected. See CJCSI 4110.01D.

C1.3.2.13. Combatant Commanders (CCDRs). The CCDRs develop campaign plans to conduct SC programs and activities; coordinate on seam issues for CCMDs with geographic responsibility; coordinate on their individual functional responsibilities for CCMDs with a global focus; complete campaign plan and campaign support plan assessments, as appropriate; provide appropriate assistance as requested by the USD(P) or the Director, DSCA; and supervise the SCOs in matters related to execution of the Guidance for Employment of the Force, including the provision of necessary technical assistance and administrative support to the SCOs. See DoD Directive 5132.03.

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C1.3.3. Department of Commerce (DoC).

Department of Commerce Logo The DoC is the lead organization for the USG’s Defense Advocacy Program, a means by which U.S. Defense industry can submit requests for the USG’s support when competing in foreign markets. DoC works closely with the DoS, DoD, and U.S. missions to engage foreign decision makers on the strategic, military, and economic issues associated with major defense procurements. It also reviews EDA allocations, materiel surveys, and international agreements. The DoC regulates the export of sensitive dual-use goods and technologies and also administers the Defense Priorities and Allocations System, which assures the timely availability of industrial resources to meet current national defense and emergency preparedness program requirements and supports rapid industrial response in a national emergency.