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DSCA 08-15

Memo Status : Active
DoD Shield

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

6/3/2008

MEMORANDUM FOR :

SEE DISTRIBUTION

SUBJECT :

Revised Mandatory Enhanced End Use Monitoring (EUM) Notes for Navy Category III Missiles in Chapter 5, Table C5.T5. of the Security Assistance Management Manual (SAMM) (DSCA 08-15) [SAMM E-Change 107]

This memorandum revises Chapter 5, Table C5.T5., of the SAMM by adding new mandatory security and accountability notes for SM-3 Missiles and the Joint Standoff Weapon (JSOW) and by revising the current mandatory note used for both Harpoon Block II and SLAM-ER into two separate notes. The revision is necessary to clarify Enhanced EUM requirements that apply to specific components, rather than to generic support equipment, and to provide greater detail to reflect current Navy security requirements. The revised notes for Harpoon Block II and SLAM-ER should be applied to Amendments of cases that previously transferred those missiles, retrofit kits, or Guidance Control Units (GCUs) or Guidance Navigational Units (GNUs) even when the Amendment does not transfer those items; however, there is no need to amend an LOA only to add this note.

Effective 30 days from the date of signature, Chapter 5 of the SAMM is updated as attached. This change will be included in the automated version of the SAMM found on the Defense Security Cooperation Agency (DSCA) Web Page as SAMM E-Change 107. If you have any questions concerning EUM for these systems, please contact Ms. Jill Fong, DSCA/PGM/MGT, at 703-601-36765 or e-mail: jill.fong@dsca.mil, or CAPT Ed O'Callaghan, DSCA/PGM/WPN, at (703) 604-6601, or e-mail: edmund.ocallaghan@dsca.mil. For questions relating to the SAMM, please contact Mr. Mike Slack, DSCA/STR-POL, at 703-601-3842 or e-mail: michael.slack@dsca.mil.

Freda J. Lodge
Principal Director
Strategy

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 - INDIANAPOLIS OPERATIONS

CC :

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

Security Assistance Management Manual (SAMM), E-Change 107
Additions and Revisions to Table C5.T5.

Standard Missile 3 (SM-3) - Category III Missiles

Note Usage
Mandatory for LOAs that include SM-3 missiles.
Mandatory for Amendments and Modifications that add SM-3 missiles.
See Chapter 8, paragraph C8.3.7.
Note Text
  1. Requirement. The SM-3 missile is accorded Category III protection as addressed in Department of Defense (DOD) 5100.76-M "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives," current version. The SM-3 missile end item is accorded Category III storage protection and intrusion detection system (IDS)/alarm system or 24-hour guard, that are continuously manned and under constant surveillance in such a manner that unauthorized entry into and around the storage structures can be detected. Specific 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. 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 and photography of canisters and missiles. The purchaser will ensure that these requirements are conveyed to any unit and/or personnel having custody of these items and to their higher headquarters.

  2. Storage. The SM-3 missiles 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 missiles. USG representatives shall be allowed to verify security measures and procedures prior to and following the delivery of the missiles.

    1. Inventory and Accountability Documentation. Purchaser shall have procedures in place that provide a continuous accounting of SM-3 missile receipt, transfer, storage, shipment, and destruction or demilitarization. The purchaser agrees to inventory 100% of the missiles on this LOA. Canister quantity shall be inventoried monthly. Canisters shall be inventoried to serial number on a quarterly basis. The USG shall be permitted, at its discretion, to conduct an assessment of the physical security and accountability measures and inventory 100% of all missiles transferred under this LOA, to include photography of missile canisters and missiles. Inventory and accountability documentation by the purchaser shall be retained throughout the period of ownership and shall be made available for review upon USG request. Purchaser shall 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 shall meet USG standards for safeguarding the missile. The purchaser shall maintain strict accountability records on all classified information provided by the USG related to the missiles including extracts and copies. These records shall include documentary evidence of any missiles or components that are lost or destroyed. These records shall be made available for review upon USG request. Such records shall, to the extent possible, be centralized.

  3. Reporting. The purchaser shall 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 shall 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 USG will accomplish operational and intermediate level maintenance. Maintenance by the purchaser is prohibited. Upon approval by the USG, military or civilian employees of the purchaser, or the purchaser's industry, shall be limited to oral and visual information necessary to integrate the SM-3 missile on the purchaser's ship.

  5. Depot Level Maintenance. Missiles that require depot level repair shall be transported to designated depot level repair facilities in the United States under the proper security procedures.

  6. Site Survey. In accordance with the Security Assistance Management Manual (SAMM), Chapter 8, prior to the delivery of the missiles, the USG will conduct an in-country site survey of the physical security measures and logistic chain for all facilities of the purchaser designated for storage of the SM-3 missiles.

    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 SM-3 missiles. The checklist is used to indicate that the integrity of the security measures in place for the storage of missiles will ensure the same level of security protection as the USG.

    2. Deficiencies identified during the site survey must be corrected prior to delivery of any SM-3 missiles.

    3. The purchaser agrees to adhere to the security requirements associated with the life cycle of the SM-3 missile. The purchaser agrees to allow USG verification of security arrangements for the protection of the SM-3 missiles on both a scheduled and unscheduled basis.

  7. End Use Monitoring. The purchaser understands that the SM-3 missile has been designated for Enhanced End Use Monitoring. This will include, but not be limited to, a USG inventory of missiles within manufacturer-sealed canisters listed in the 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, and storage of hardware and technical data.

  8. Transportation. Transportation of the SM-3 missiles shall meet U.S. standards for safeguarding classified material in transit. Prior to delivery of missiles to the purchaser, the transportation plan must be coordinated and approved by the Missile Defense Agency (MDA), Aegis BMD Program Office (PD452).

  9. Disposition. The purchaser will obtain USG disposition instructions that either direct transporting SM-3 missile back to the USG or another designated staging area, and that provide comprehensive guidance on demilitarization or disposal management. The USG disposition instructions will indicate parties in the USG that must be contacted prior to any demilitarization or disposal effort.

  10. Destruction Reporting. Missile destruction reports shall be completed by the purchaser for all SM-3 firings. The format for missile destruction reports shall be provided by the USG."

Harpoon Block II - Category III Missile

Note Usage
Mandatory for LOAs that include Harpoon Block II missiles, retrofit kits, and Guidance Control Unit (GCU) spares.
Mandatory for Amendments and Modifications that add Harpoon Block II missiles, retrofit kits, and GCU spares.
See Chapter 8, paragraph C8.3.7.
Note Text
  1. Requirement. The Harpoon Block II missile weapon system is accorded Category III protection as addressed in Department of Defense (DoD) 5100.76-M "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives," current version. The Guidance Control Unit (GCU) is accorded Category II storage protection with an Intrusion Detection System (IDS) or is 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. 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 verification. The purchaser will ensure that these requirements are conveyed to any unit and/or personnel having custody of these items and to their higher headquarters.

  2. Storage. 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 LOA (missile to serial number) and verify from the logbook that the appropriate serial number GCU is contained in the associated missile on a semi-annual 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. Reporting. 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 nations, third country nationals, or a foreign government. The purchaser will also report any allegations, 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 authorized 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 system. 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. 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), AIR-7.4.2, prior to delivery of the weapon system to the purchaser.

  9. Disposition. 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) - Category III Missile

Note Usage
Mandatory for LOAs that include SLAM-ER missiles, retrofit kits and Guidance Navigational Unit (GNU) spares.
Mandatory for Amendments and Modifications that add SLAM-ER missiles, retrofit kits, and GNU spares.
See Chapter 8, paragraph C8.3.7.
Note Text
  1. Requirement. The SLAM-ER missile weapon system is accorded Category III protection as addressed in Department of Defense (DoD) 5100.76-M "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives," current version. The Guidance Navigational Unit (GNU) is accorded Category II storage protection with an Intrusion Detection System (IDS) or is 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. 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 verification. The purchaser will ensure that these requirements are conveyed to any unit and/or personnel having custody of these items and to their higher headquarters.

  2. Storage. 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 LOA (missile to serial number) and verify from the logbook that the appropriate serial number GNU is contained in the associated missile on a semi-annual 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. Reporting. 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 nations, third country nationals, or a foreign government. The purchaser will also report any allegations, 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 authorized 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 system. 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. 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), AIR-7.4.2, prior to delivery of the weapon system to the purchaser.

  9. Disposition. 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."

Joint Standoff Weapon System (JSOW) - Category III Missile

Note Usage
Mandatory for LOAs that include JSOW missiles, Captive Flight Vehicles (CFV), and Missile Simulator Units (MSU).
Mandatory for Amendments and Modifications that add JSOW missiles, Captive Flight Vehicles (CFV), and Missile Simulator Units (MSU).
See Chapter 8, paragraph C8.3.7.
Note Text
  1. Requirement. The JSOW missile weapon system is accorded Category III protection as addressed in Department of Defense (DoD) 5100.76-M "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives," current version. The Guidance Electronic Unit (GEU) is accorded Category II storage protection with an Intrusion Detection System (IDS) or is 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. 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 verification. The purchaser will ensure that these requirements are conveyed to any unit and/or personnel having custody of these items and to their higher headquarters.

  2. Storage. 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, Captive Flight Vehicles (CFV), and Missile Simulator Units (MSU) on this LOA (missile to serial number) on a semi-annual 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. Reporting. 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 nations, third country nationals, or a foreign government. The purchaser will also report any allegations, 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 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 authorized 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 system. 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. 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), AIR-7.4.2, prior to delivery of the weapon system to the purchaser.

  9. Disposition. 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."