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DSCA 07-28

Memo Status : Active
DoD Shield

DEFENSE SECURITY COOPERATION AGENCY
201 12th STREET SOUTH, STE 203
ARLINGTON, VA 22202-5408

8/20/2007

MEMORANDUM FOR :

SEE DISTRIBUTION

SUBJECT :

Revised Mandatory Notes for Category III Missiles, DSCA Policy 07-28 [SAMM E-Change 83]

This memorandum revises the mandatory notes for Category III Missiles in Chapter 5, Table C5.T5., of the Security Assistance Management Manual (SAMM). A separate note will now be used to reflect end-use monitoring (EUM) and security requirements specific to the Air Intercept Missile-9X (AIM-9X) Missile. The existing Category III Missile note for Harpoon Block II and Standoff Land Attack Missile- Expanded Response (SLAM-ER) is revised to delete references to the AIM-9X.

This memorandum revises the mandatory notes for Category III Missiles in Chapter 5, Table C5.T5., of the Security Assistance Management Manual (SAMM). A separate note will now be used to reflect end-use monitoring (EUM) and security requirements specific to the Air Intercept Missile-9X (AIM-9X) Missile. The existing Category III Missile note for Harpoon Block II and Standoff Land Attack Missile- Expanded Response (SLAM-ER) is revised to delete references to the AIM-9X.

Jeffrey B. Kohler
Lieutenant General, USAF
Director

ATTACHMENT :
As stated

DISTRIBUTION :

DEPUTY ASSISTANT SECRETARY OF THE ARMY
DEFENSE EXPORTS AND COOPERATION (DASA-DEC)
DEPARTMENT OF THE ARMY

DEPUTY ASSISTANT SECRETARY OF THE NAVY
INTERNATIONAL PROGRAMS (NAVIPO)
DEPARTMENT OF THE NAVY

DEPUTY UNDER SECRETARY OF THE AIR FORCE
INTERNATIONAL AFFAIRS (SAF/IA)
DEPARTMENT OF THE AIR FORCE

DIRECTOR, DEFENSE LOGISTICS AGENCY

DIRECTOR, NATIONAL GEOSPATIAL-INTELLIGENCE AGENCY

DIRECTOR, DEFENSE THREAT REDUCTION AGENCY

DIRECTOR, DEFENSE REUTILIZATION AND MARKETING SERVICE

DIRECTOR, DEFENSE CONTRACT MANAGEMENT AGENCY

DIRECTOR, DEFENSE INFORMATION SYSTEMS AGENCY

DIRECTOR, DEFENSE LOGISTICS INFORMATION SERVICE

DEPUTY DIRECTOR FOR INFORMATION ASSURANCE,
NATIONAL SECURITY AGENCY

DEPUTY DIRECTOR FOR SECURITY ASSISTANCE,
DEFENSE FINANCE AND ACCOUNTING SERVICE - DENVER CENTER
 

CC :

STATE/PM-RSAT
USDP/GSA
DISAM
USASAC
SATFA TRADOC
NAVICP
NETSAFA
AFSAC
AFSAT
JFCOM
SOCOM
EUCOM
CENTCOM
NORTHCOM
PACOM
SOUTHCOM

Security Assistance Management Manual (SAMM), E-Change 83
AIM-9X Mandatory Note

Note Name Note Usage Note Text
Air Intercept Missile-9X (AIM-9X); Category III Missile Mandatory for LOAs that include AIM-9X missiles, retrofit kits and peculiar support equipment.
Mandatory for Amendments and Modifications that add AIM-9X missiles, retrofit kits, and peculiar support equipment.
See Chapter 8, paragraph C8.3.7.
  1. The AIM-9X weapon system is accorded Category III protection as addressed in Department of Defense (DoD) 5100.76-M (current revision), "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives" with intrusion detection system/alarm system (IDS). AIM-9X maintenance sectionalization spares, specifically the Tactical and Captive Air Training Missile (CATM) Guidance Unit (GU) subsections, are accorded Category II storage protection with an IDS or are continuously manned or under constant surveillance in such a manner that unauthorized entry into and around the storage structures can be detected. Specific physical security requirements shall be documented and agreed upon during the site visit referenced in paragraph 6 of this note and implemented prior to delivery of the missile system. This includes the missile and all specific peculiar support equipment. The Purchaser agrees to adhere to the security requirements as outlined in the following paragraphs. The Purchaser agrees to perform inventory checks and allow United States Government (USG) inventory verifications.

  2. The weapon system shall be stored in facilities that are at least equivalent in strength to USG requirements. Specific requirements for storage shall be agreed upon and met prior to delivery of the missile system. USG representatives shall be allowed to verify security measures and procedures prior to the delivery of the weapon system.

    1. Inventory and Accountability Documentation: Purchaser will have procedures in place that provide a continuous accounting of missile receipt, transfer, storage, shipment, and/or destruction/demilitarization. The Purchaser agrees to inventory 100% of the missiles on this Letter of Offer and Acceptance (LOA) on the following schedule: 1) Unit (Squadron) Level, 100 % quarterly count, and 2) Base Level, 100% semi-annual inventory by serial number. The USG will be permitted, at its discretion, to conduct an assessment of accountability measures and, if required, inventory 100% of all missiles transferred under this LOA. Inventory and accountability documentation maintained by the Purchaser shall be retained throughout the period of ownership and will be made available for review upon USG request. Purchaser will immediately notify the USG (through the Security Assistance Organization (SAO) to the Defense Security Cooperation Agency (DSCA)) of any missile expenditures, compromises, or losses and provide necessary assistance if the USG desires to initiate recovery operations.

    2. Storage of Hardware and Technical Data: Storage of missile hardware and technical data will meet U.S. standards for safeguarding the missile. The Purchaser will maintain strict accountability records on all classified information provided by the USG related to the missiles, including extracts and copies. These records will include documentary evidence of any weapon systems or components that are lost or destroyed. Such records shall, to the extent possible, be centralized.

  3. The Purchaser will report immediately to the SAO or other appropriate USG representative any allegations, confirmed or unconfirmed, of missile hardware, technology or software released or compromised to unauthorized nationals, third country nationals, or a foreign government. The Purchaser will also report any allegation, report, or evidence of unauthorized attempts to collect information on the missile program.

  4. Operational and Intermediate Level Maintenance: Military or civilian employees of the Purchaser at military establishments will accomplish operational and intermediate level maintenance. Third-country nationals, industries, private entities or their representatives cannot perform maintenance functions unless approved in writing by the USG. Such access requires explicit Department of State (PM/RSAT) retransfer approval and appropriate end-use assurances. Upon approval by the USG, the Purchaser's industry access to AIM-9X will be limited to oral and visual information necessary to integrate the AIM-9X on the Purchaser's aircraft. A list of the Purchaser's industry personnel authorized access to AIM-9X will be maintained by the Purchaser and a copy of such list will be provided to the USG, as required.

  5. Depot Level Maintenance: Missiles or subcomponents that require depot level repair will be transported to designated depot level repair facilities in the United States under proper security procedures unless the USG specifically authorizes the Purchaser to accomplish Depot Level maintenance.

  6. Site Survey: In accordance with the Security Assistance Management Manual, Chapter 8, prior to the delivery of the missiles, the USG will conduct an in-country site survey of the physical security measures at all facilities of the Purchaser designated for storage or maintenance of the weapon system. This includes the missile and all specific peculiar support equipment.

    1. The USG will provide to the Purchaser a security checklist that should be referenced during the site survey and throughout the life of the weapon system. The checklist is used to indicate that the integrity of security measures in place for weapon system maintenance and storage will insure the same level of security protection as the USG.

    2. Deficiencies identified during the site survey must be corrected prior to any weapon system deliveries.

    3. The Purchaser agrees to adhere to security requirements associated with the weapon system for the life cycle of the systems. The Purchaser agrees to allow USG verification of security arrangements for the protection of the weapon system on both a scheduled and unscheduled basis.

  7. End Use Monitoring: The Purchaser understands that this weapon system has been designated for Enhanced End-Use Monitoring. This will include, but not be limited to, a USG inventory of missiles listed in this offer by serial number, and a USG review of security controls and procedures, inventory and accountability documentation, distribution of assets (i.e., a plan for in-country movement) or plan for repair and return, transportation, access controls, storage of hardware and technical data.

  8. Transportation of the weapon system will meet U.S. standards for safeguarding classified material in transit. The transportation plan must be coordinated and approved by Naval Air Systems Command (NAVAIR) Security Department prior to delivery of the weapon system to the Purchaser.

  9. The Purchaser will obtain USG disposition instructions that either direct transporting missile sections back to the USG or another designated staging area, and/or provide comprehensive guidance on demilitarization/disposal management for in-country incineration. The USG disposition instructions indicate parties in the USG that must be contacted prior to any demilitarization/disposal effort.

Standoff Land Attack Missile- Expanded Response (SLAM-ER), and Harpoon Block II; Category III Missiles Mandatory for LOAs that include SLAM-ER, Harpoon Block II missiles, retrofit kits and support equipment.
Mandatory for Amendments and Modifications that add SLAM-ER Harpoon Block II missiles, retrofit kits, and support equipment.
See Chapter 8, paragraph C8.3.7.
  1. The [insert missile name] weapon system is accorded Category III protection as addressed in Department of Defense (DoD) 5100.76-M (current revision), "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives." This includes the missile and all specific support equipment, such as loaders, trailers, and cable harnesses. Specific requirements shall be documented and agreed upon during the site visit referenced in paragraph 6 and implemented prior to delivery of the missile system. The Purchaser agrees to adhere to the security requirements as outlined in the following paragraphs. The Purchaser agrees to perform inventory checks and allow United States Government (USG) inventory verifications.

  2. The weapon system shall be stored in facilities that are at least equivalent in strength to USG requirements. Specific requirements for storage shall be agreed upon and met prior to delivery of the missile system. USG representatives shall be allowed to verify security measures and procedures prior to the delivery of weapon system.

    1. Inventory and Accountability Documentation: Purchaser will have procedures in place that provide a continuous accounting of missile receipt, transfer, storage, shipment, and/or destruction/demilitarization. The Purchaser agrees to inventory 100% of the missiles on this LOA (missile to serial number) on a monthly basis. The USG will be permitted, at its discretion, to conduct an assessment of accountability measures and, if required, inventory 100% of all missiles transferred under this LOA. Inventory and accountability documentation maintained by the Purchaser shall be retained throughout the period of ownership and will be made available for review upon USG request. Purchaser will immediately notify the USG (through the Security Assistance Organization (SAO) to DSCA) of any missile expenditures, compromises, or losses and provide necessary assistance if the USG desires to initiate recovery operations.

    2. Storage of Hardware and Technical Data: Storage of missile hardware and technical data will meet U.S. standards for safeguarding the missile. The Purchaser will maintain strict accountability records on all classified information provided by the USG related to the missiles including extracts and copies. These records will include documentary evidence of any weapon systems or components that are lost or destroyed. Such records shall, to the extent possible, be centralized.

  3. The Purchaser will report immediately to the SAO or other appropriate USG representative any allegations, confirmed or unconfirmed, of missile hardware, technology or software released, or compromised to unauthorized nationals, third country nationals, or a foreign government. The Purchaser will also report any allegation, report, or evidence of unauthorized attempts to collect information on the missile program.

  4. Operational and Intermediate Level Maintenance: Military or civilian employees of the Purchaser at military establishments will accomplish operational and intermediate level maintenance. Third-country nationals, industries or their representatives cannot perform maintenance functions unless approved in writing by the USG.

  5. Depot Level Maintenance: Missiles or subcomponents that require depot level repair will be transported to designated depot level repair facilities in the United States under proper security procedures unless the USG specifically authorizes the Purchaser to accomplish Depot Level maintenance.

  6. Site Survey: In accordance with the Security Assistance Management Manual, Chapter 8, prior to the delivery of the missiles, the USG will conduct an in-country site survey of the physical security measures at all facilities of the Purchaser designated for storage or maintenance of the weapon system. This includes the missile and all support equipment such as loaders, trailers, and cable harnesses.

    1. The USG will provide to the Purchaser a security checklist and serial numbers that should be referenced during the site survey and throughout the life of the weapon system. The checklist is used to indicate that the integrity of security measures in place for weapon system maintenance and storage will insure the same level of security protection as the USG.

    2. Deficiencies identified during the site survey must be corrected prior to any weapon system deliveries.

    3. The Purchaser agrees to adhere to security requirements associated with the weapon system for the life cycle of the systems. The Purchaser agrees to allow USG verification of security arrangements for the protection of the weapon system on both a scheduled and unscheduled basis.

  7. End Use Monitoring: The Purchaser understands that this system has been designated for Enhanced End-Use Monitoring. This will include, but not be limited to, a USG inventory of missiles listed in this offer by serial number, and a USG review of security controls and procedures, inventory and accountability documentation, distribution of assets (i.e., a plan for in-country movement) or plan for repair and return, transportation, access controls, storage of hardware and technical data.

  8. Transportation of the weapon system will meet U.S. standards for safeguarding classified material in transit. The transportation plan must be coordinated and approved by [insert appropriate USG office] prior to delivery of the weapon system to the Purchaser.

  9. The Purchaser will obtain USG disposition instructions that either direct transporting missile sections back to the USG or another designated staging area, and/or provide comprehensive guidance on demilitarization/disposal management for in-country incineration. The USG disposition instructions indicate parties in the USG that must be contacted prior to any demilitarization/disposal effort.