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: |
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a | Presidential waiver of statutory limitation of six armed forces personnel in country | 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 | 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) | 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. | 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. 7045) | 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 | 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(A&S). | |
12 | Billing upon delivery from stock with 120-day interest-free period after delivery | 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 | SHR, HAC, SAC, HASC, SASC, HFAC, SFRC | U.S. conclusion of any standard-ization agreement on training for identified purchaser | DSCA (Front Office, Strategic Outreach (FO/DAG/STO)) and DSCA (Office of International Operations, Regional Execution Directorate (IOPS/REX)) | |
14 | Report on sales from stocks that could have a significant adverse impact on the combat readiness of U.S. Armed Forces | 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 | 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 | SFRC, HFAC, HAC, SAC | 15 days in advance | DSCA (OPS/CPD) | |
17 | Annual Estimate and Justification for Sales Program | SHR, Pres. of Senate, HAC, SAC, [HFAC, SFRC, HASC, SASC, HBC, SBC, CBO] 1/ | NLT February 1st of each year |
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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 |
| Reported to DoS (PM) and submitted separately from the CBJ. | DSCA (PGM/WPN) | |
b | Estimate of total sales and licensed commercial exports |
| 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 |
| Reported to DoS (PM) for inclusion in the CBJ. | DSCA (DBO/CFM) | |
d | Report on Cash Flow Financing |
| 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. 22 U.S.C. 2792(b) or 22 U.S.C. 2761(a)) |
| Reported separately and not part of CBJ | DSCA (DBO/CFM) | |
f | Status of each loan and contract of guaranty or insurance |
| Reported separately and not part of CBJ. | DSCA (DBO/CMP) | |
18 | Quarterly Report of Security Assistance Surveys | 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: | 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 |
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| 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 |
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| DSCA (DBO/FPA) | |
c | Cumulative dollar amounts of FMS direct credit and guaranty agreements made during the fiscal year |
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| DSCA (DBO/FPA) | |
d | Dollar amounts of export licenses and approvals for commercially sold defense articles and services sold during the quarter |
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| 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) |
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| DSCA (DBO/FPA) | |
f | Projection of all sales expected to be made to each country and organization for the remainder of the fiscal year |
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| DSCA (DBO/FPA) | |
g | Payment of political contributions and fees or commissions in connection with sales during the quarter |
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| 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 million or more |
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| 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 |
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| DSCA (DBO/FPA) | |
j | Report on FMS and DCS Co-production agreements not previously reported. |
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| 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)) |
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| 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:
| Sec. 36(b)(1), AECA (22 U.S.C. 2776) | SHR, SFRC, HFAC, [HAC SAC if recipient has received grant assistance in past 10 years] | 15 days before issuance of an LOA to NATO organizations and NATO+5 countries, or 30 days before issuance of an LOA to other purchasers | DSCA (IOPS/GEX) |
21 | Report of enhancement or upgrade of capability or sensitivity of technology of items previously notified under Sec. 36(b)(1), AECA, when the value of the new requirement(s) falls below CN value thresholds | Sec. 36(b)(5)(A), AECA (22 U.S.C. 2776) | SFRC, HFAC, [HAC SAC if recipient has received grant assistance in past 10 years] | 45 days before delivery of previously notified item(s) | DSCA (IOPS/GEX) |
22 | Notification of enhancement or upgrade of capability or sensitivity of technology of items previously notified under Sec. 36(b)(1), AECA, when the value of the new requirement(s) meet or exceed CN value thresholds | Sec. 36(b)(5)(C), AECA (22 U.S.C. 2776) | SHR, SFRC, HFAC, [HAC SAC if recipient has received grant assistance in past 10 years] | 15/30 days prior to a proposed enhancement or upgrade that meets 36(b)(1) thresholds | DSCA (IOPS/GEX) |
23 | Report on reciprocal no-rent leases | 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 | 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 Foreign Affairs 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