This Chapter contains an overview of security cooperation (SC) and security assistance (SA), explains the relationship between the two, and describes various authorities.
Section | Title |
|---|---|
C11.1. | |
C11.2. | The Security Cooperation and Security Assistance Relationship |
C11.3. |
C11.1.1. Security cooperation (SC) is a key tool for achieving national security and foreign policy objectives. SC advances the DoD’s mission of defending the homeland, building security globally, and projecting power while preparing to win decisively against any adversary. SC encompasses all DoD interactions (programs, activities, and exercises) with the security establishment of a partner to build and develop allied and friendly security capabilities for self-defense and multinational operations. DoD SC includes, but is not limited to, military engagements with foreign defense and security establishments (including those governmental organizations that primarily perform disaster or emergency response functions), DoD-administered security assistance (SA) programs, DoD-funded training and equipping programs, exercises and other force development activities, international armaments cooperation, and information sharing and collaboration (10 U.S.C. 301). Chapter 11 provides guidance on the SC and SA programs and authorities administered and executed by DSCA. In addition to the State Department’s Title 22 Security Assistance Foreign Military Sales (FMS) program, under which DoD facilitates transfers of defense articles and services to international defense partners in support of foreign policy, other well-known SA and SC programs include Overseas Humanitarian, Disaster, and Civic Aid (OHDACA) (Chapter 12), Section 333, Foreign Military Financing (FMF) (Section C9.7.2.), etc. Information on individual programs listed in Table C11.T2. can be found at Appendix 8.
C11.1.2. Security Cooperation Benefits. SC is a force multiplier for the DoD, developing and fostering a network of partners and allies, as well as improving the effectiveness of those partnerships. SC activities improve the DoD’s ability to promote global security and achieve strategic ends in a cost-effective manner by supporting programs that enable partners to contribute to global security. SC programs and activities strengthen bilateral and multilateral relationships between the United States and partners, enhance military-to-military cooperation, and enable greater interoperability. The United States ensures partner readiness, bolsters partners’ ability to self-defend, and addresses mutual security challenges by providing capability through SC activities. In turn, SC enables the United States to focus non-SC resources elsewhere, increasing overall U.S. readiness.
C11.1.3. Director, Defense Security Cooperation Agency. Pursuant to 10 U.S.C. 382(b), the Director of DSCA is responsible for execution and administration all DoD SC programs and activities involving the provision of defense articles, military training, and other defense-related services by grant, loan, cash sale, or lease. The Director may designate an element of an armed force, combatant command, Defense Agency, DoD Field Activity, or other element or organization of the DoD to execute and administer SC programs and activities if the DSCA Director determines another entity is able to execute and administer the SC program or activity more effectively, efficiently, or economically. DSCA also executes a subset of the Department of State’s (State’s) Title 22 SA Programs via Interagency Agreements (IAAs). Upon agreement, these programs are considered a part of DoD’s portfolio of SC Programs.
C11.1.3.1. Delegation of Authority. If the DSCA Director designates execution and administration of an SC program or activity, the Director must conclude either a memorandum of understanding (MOU) with the head of the designee organization or delegation memorandum if an MOU is not required. The designee reviews the MOU to ensure understanding and agreement on the scope, duration, and key deliverables that must be provided to DSCA.
C11.2.1. The DoD executes security cooperation (SC) activities through multiple legislative authorities and appropriations. SC includes any program, activity (including an exercise), or interaction of the DoD with the security establishment of a partner to build and develop allied and friendly security capabilities for self-defense and multinational operations; to provide the U.S. armed forces with access to the partner during peacetime or a contingency operation; or to build relationships that promote specific U.S. security interests.
C11.2.2. Security Assistance. Security Assistance (SA) is a group of U.S. State Department (State) programs authorized by the Foreign Assistance Act (FAA) of 1961, as amended, and the Arms Export Control Act (AECA) of 1976, as amended, or other related statutes by which the U.S. provides defense articles, military training, and other defense-related services by grant, loan, credit, or cash sales to its international partners in furtherance of national policies and objectives. SA programs provide an effective avenue for interfacing with foreign governments and are a key tool of U.S. foreign policy. These SA programs promote U.S. security by increasing the ability of U.S. allies and partners to deter and defend against possible aggression, promote defense burden-sharing, and foster regional stability. SA programs can be administered by the DoD or the State.
C11.2.3. Security Force Assistance. In accordance with Department of Defense Instruction (DoDI) 3000.11, Security Force Assistance (SFA) is a set of DoD activities that contribute to unified action by the USG to support the development of the capacity and capability of foreign security forces and their supporting institutions, whether of a partner or an international organization (i.e., regional security organization). As a subset of SC, DoD utilizes SFA to support U.S. strategic objectives as part of a crisis response or contingency operation.
C11.2.4. Legislative Authority. A legislative authority is temporary or permanent and allows USG entities to perform specific activities for a stated purpose. A single authority may be used as the legal justification for multiple SC Programs, projects/programs, and activities. To the extent permitted by the terms and restrictions, multiple authorities may be combined to form a full spectrum approach to deliver a comprehensive capability that a partner can absorb, apply, and sustain. The formal federal spending process consists of two sequential steps: authorization and appropriation. The authorization legislation does not independently provide funding. Congress must then separately appropriate USG funds to support a program enacted under the authorizing legislation in an annual spending bill.
C11.2.4.1. Permanent Authority. Legislative authorities that are codified in either Title 10 or Title 22 of the U.S. Code and do not require renewed authorization legislation each year are permanent authorities. Congress may use annual authorizing legislation or the appropriation authorization to modify the permanent authorities that exist within the U.S. Code.
C11.2.4.2. Temporary Authority. The DoD receives temporary authorities from acts of Congress, such as the annual National Defense Authorization Act (NDAA). These temporary authorities identify the expiration timeline. When a temporary authority reaches expiration, Congress may elect not to extend the authorization, extend the temporary authority, or add the authority to U.S. Code thereby creating a new permanent authority.
C11.2.5. Relationship of Terminology. See Figure C11.F1. for the relationship between an SC authority, appropriation, named SC Program, and activity.
C11.2.5.1. Named Security Cooperation Program. The DoD uses legislative authorities, temporary or permanent, to provide articles, services, training, and engage in other military-to-military activities with partners. A named SC Program refers to a collection or set of individual SC programs, projects or activities that are centrally managed to support a higher-level objective to provide a partner with particular capabilities (See Figure C11.F1.). Typically, named SC programs are implemented by several organizations using processes that meet the authority-specific regulatory requirements and may cut across international public policy sectors (e.g. health, energy, agriculture), themes, and geographic areas. A named SC program may use a permanent or temporary authority and the named SC program may reflect the title or section of the authorizing legislation. Examples include the Section 333 Program named after 10 U.S.C. 333 (See Figure C11.F2.) and the Regional Defense Fellowship Program (RDFP) named after 10 U.S.C. 345. Other named SC Programs received by DoD will generate unique names that reflect a specific execution and management process (See Figure C11.F3.). See Table C11.T2. for a list of named SC Programs that DSCA executes and administers.
C11.2.5.2. Individual Security Cooperation Programs. An individual SC program is a specific temporary endeavor undertaken over a defined period (i.e., program has a clear start and end), through which resources are mobilized to produce specific outputs. If required by the authorizing legislation, the lead USG entity requests congressional approval to use appropriated funds to support a specific stated purpose for an individual SC program using a unique name. An example of an individual SC program title might be “Fiscal Year (FY) 20XX Border Security for Bandaria.” An individual SC program may require multiple activities, which may include multiple Building Partner Capacity (BPC) cases (see guidance from Chapter 15) executed by multiple Implementing Agencies (IAs) and multiple program offices.
C11.2.5.3. Security Cooperation Lines of Activity. SC Lines of Activities or SC activities include a wide range of engagements with the partner over a period of time. Some named SC programs may use the term SC lines of activities, or more generally SC activities, to describe transfers of defense articles and services, military to military exercises, institutional capacity building, and training using both State and DoD authorities to deliver full-spectrum capabilities to partners. An SC line of activity can be a sub-component of an individual SC program, project, or process. For example, one training case, one workshop, and a BPC case that transfers equipment are all SC activities. When a BPC case is used to provide the partner with the desired capability, the partner will be referred to as the Benefitting Partner on the BPC case.
Figure C11.F1. Relationship of Security Cooperation Terminology
Figure C11.F2. - One Authority Specific Example Pursuant to 10 U.S.C. 333
Figure C11.F3. - Authority-Specific Example of a Security Cooperation Program Executed Pursuant to 10 U.S.C. 332
C11.2.5.4. International Agreements and Treaties in Force. The USG uses international agreements and arrangements with partners, which are required to execute BPC programs. These agreements can be binding as the USG and partners determine the need, or nonbinding if there is not time to complete the binding agreement. See Section C11.3.3.1. for a definition of BPC program funding. Once the agreements and arrangements are in place, the Requesting Authorities (RAs) may plan BPC programs for execution in accordance with these applicable bilateral and multilateral international agreements and arrangements. The appropriate USG entity initiates specific agreements and arrangements with each partner. See Table C11.T1. for a listing of the more common agreements. The Security Cooperation Organization (SCO) will maintain copies of these documents, as applicable, and be familiar with their contents. See Chapter 2 for SCO responsibilities. SCOs should share copies with the Combatant Command (CCMD), USG planners, and partner Ministry of Defense (MoD) counterparts, as necessary, to ensure all contributors are cognizant of the contents. SCOs also forward a copy of any international agreement to DSCA (Front Office, Office of the General Counsel (FO/OGC)) for its Agreements Repository. The SCO obtains a copy of the partner's Section 505 Agreement (as amended by any diplomatic notes) from the Political/Military Officer within the U.S. Embassy. Some SC authorities, like 10 U.S.C. 333 and the Indo-Pacific Maritime Security Initiative (MSI) (P.L. 117-81 (FY22 NDAA)) require compliance with Section 505 as a legal matter. As a matter of policy, the DoD requires 505 agreements for all BPC train and equip programs.
Table C11.T1. Binding International Agreements in Support of Building Partner Capacity Programs
International Agreement | Purpose |
|---|---|
A bilateral exchange of diplomatic notes initiated by State in which the partner provides end-use, security, and re-transfer assurances with respect to U.S. defense articles and services transferred via grant. Section 505 Agreements are a requirement of law for grant transfers pursuant to the FAA, AECA, or Title 10 transfer authority that requires compliance with all other provisions of law (such as 10 U.S.C. 333). A BPC program may be planned and notified to Congress concurrent with the Section 505 Agreement development. A ratified Section 505 Agreement must be in place prior to release of appropriated funds to execute a BPC program. | |
Diplomatic Note amending the Section 505 Agreement and BPC planning | An amendment to the original Section 505 Agreement to apply to the U.S. efforts under consideration. Generally, State Bureau of Political-Military Affairs (State (PM)) initiates the diplomatic note from the U.S. Embassy when a partner is approved to benefit from a BPC program. A BPC program may be planned and notified to Congress contingent upon an amended Section 505 Agreement. State (PM) must amend the Section 505 Agreement prior to release of appropriated funds to execute a BPC program. |
Status of Forces Agreement (SOFA) | The legal framework under which DoD military and civilian personnel operate within a partner’s territory, addressing matters such as taxation, criminal jurisdiction, claims, drivers’ licenses, privileges, and immunities. The U.S. does not pursue a SOFA with all partners and allies, and a SOFA is not required before a partner may receive BPC program assistance. |
General Security of Military Information Agreements (GSOMIA) | A legally binding international agreement that establishes terms for the protection and handling of classified military information provided by either partner to the other. Agreements that handle other types of classified information in addition to classified military information are referred to as General Security of Information Agreements (GSOIAs). |
Communications Interoperability and Security Memorandum of Agreement (CISMOA) | An agreement that establishes terms for secure communications interoperability and security. |
Bi-Lateral or Multi-Lateral Treaties | Various: e.g. North Atlantic Treaty Organization (NATO) Treaty, NATO SOFA, U.S.-United Kingdom Defense Trade Cooperation Treaty. |
Acquisition and Cross-Servicing Agreements (ACSA) | A reimbursable, bilateral support program which allows logistics exchanges between the United States and military forces of eligible partners |
Other Agreements and Memorandum of Understanding (MOU) | Various: e.g. Research, Development, Test, & Evaluation Agreements, Reciprocal Defense Procurement MOUs, coproduction agreements. |
C11.3.1. Partner Funds. Partners may purchase defense articles and defense services paid for using partner funds allocated for defense spending based on the partner’s internal budget authority and processes. The partner in this instance is the Foreign Military Sales (FMS) purchaser. In some instances, partner funds of a third partner may fund activities for a mutual partner.
C11.3.2. United States Government Appropriated Funds. An appropriation is a provision of law conferring authority to incur obligations for a specified purpose. An appropriation usually provides budget authority, which is authority provided by law to incur financial obligations that will result in outlays. The provision of funds, through an annual appropriations act or a permanent law, allows federal agencies to make payments out of the U.S. Department of the Treasury for specific authorized purposes. The appropriation legislation permits the actual expenditure of public funds for a specific purpose and specifies to a certain limit. Many security cooperation (SC) programs are funded by USG appropriated funds.
C11.3.3. United States Government Funds. USG funds can be used for Building Partner Capacity Programs (BPC), or Foreign Military Financing (FMF) (see Section C9.7.2.9.2.)
C11.3.3.1. Building Partner Capacity Program Funding. BPC programs and projects are funded from either a DoD Title 10 or Department of State (State) Title 22 appropriation, depending on the authority. See the specific authority or SC Program description in Appendix 8 to determine the appropriation.
C11.3.3.1.1. Title 10 Appropriations (Department of Defense Appropriations). The annual DoD budget includes funding for Title 10 programs. These programs are funded either through DoD-specific authorization and appropriation bills, or through an omnibus spending bill. Once DSCA receives its allocation from DoD Comptroller, funds are available for new obligations for Title 10 programs. The appropriation specifies the amount of funds available for the authorized purpose and the length of time those funds are available to incur new obligations. Title 10 programs have varying lengths of appropriations availability, typically one to two years with some exceptions.
C11.3.3.1.1.1. Defense Security Cooperation Agency Execution of Title 10 Security Cooperation Programs. While DoD continues to operate under the BPC interim accounting solution, DoD appropriated funds are made available to DSCA to fund BPC articles and services cases. DSCA’s baseline budget includes amounts required to implement some of the major programs such as Section 333 and the Ukraine Security Assistance Initiative (USAI), which is disbursed to DSCA from the Office of the Under Secretary of Defense (Comptroller) (OUSD(C)). DSCA may also receive sub-allotments from the U.S. Army to fund some BPC programs such as USAI and the Counter-Islamic State of Iraq and Levant/Counter-Islamic State of Iraq and Syria Train and Equip Fund (CTEF).
C11.3.3.1.1.2. Title 10 Obligations. Title 10 appropriations are considered obligated when contracts, or other legal liabilities described above, are established. The Implementing Agency (IA) receives obligation authority upon case implementation and is then responsible for obligating the funds and executing the case to meet the Requesting Authority’s (RA's) timelines. See Section C15.5.2. Funds Obligations for additional restrictions for BPC case obligations.
C11.3.3.1.1.3. Title 10 Expenditures. Once obligated, Title 10 funds are available for expenditure for five years after the appropriation expires. Agencies may liquidate existing obligations by making expenditures, but they must not incur any new obligations if the appropriation has expired. Expired funds are available for in-scope obligation adjustments per Section C15.6.2.1.1.
C11.3.3.1.2. Title 22 Appropriations (State Appropriations) for Security Cooperation. Certain programs funded through Title 22 appropriation, may use an Interagency Agreement (IAA) under 632(b) of the Foreign Assistance Act (FAA) to transfer funding that the State receives from the State, Foreign Operations, and Related Programs Appropriations bill to DSCA to have DoD implement specific requirements on behalf of State. Other State programs implemented by DSCA rely on the transfer of funds via apportionment by the Office of Management and Budget (OMB).
C11.3.3.1.2.1. Title 22 Obligation. Certain State appropriations are considered obligated when officials from both the RA and the servicing agency sign the IAA. Funds are not required to be placed on cases or contracts in order to obligate the funds. Rather, the signed IAA is the obligating document. The obligation remains payable in full from the appropriation initially charged, regardless of when performance occurs, in the same manner as contractual obligations. Each individual IAA has a specific Period of Performance (POP) that describes how long the funds are available for execution and disbursement.
C11.3.3.1.2.2. Title 22 Disbursement. For certain State programs, once obligated upon signature of the IAA, funds are available for disbursement based on the specific POP listed in the IAA. During the POP of the IAA, DoD can create and amend Letters of Offer and Acceptance (LOAs), execute new contracts, and disburse funds to liquidate obligations. Funds remain available in accordance with the appropriation in which they were funded as described in the IAA. DSCA’s disbursements must be consistent with the purposes for which the funds were appropriated and obligated. This includes any residual funds that may remain after closing or otherwise amending a case. The IAs address the State contact listed in the IAA with questions about any case including availability of funds.
C11.3.3.1.2.3. Title 22 De-obligation and Re-obligation Authority. Funds appropriated to State, per Section 511 of the Fiscal Year (FY) 2005 Foreign Operations, Export Financing, and Related Programs Appropriations Act (FOAA) (P.L. 108-447) and subsequent appropriations, such as Peacekeeping Operations (PKO) and other funds, may be subject to a unique four-year de-obligation and re-obligation period after the appropriation’s initial period of availability and before the appropriation enters into expired status. During the four-year period, State may de-obligate any funds obligated during the initial period of availability and re-obligate the funds for new purposes (within the scope of the program that State notified to Congress), or State may de-obligate and send these funds back to State for reclassification through Treasury, which extends the availability of the funds by 4 years (such funds may be re-obligated for other purposes either through DSCA or other obligation mechanisms). After the initial four-year period ends, the funds remain available for an additional year for expenditure only for adjustment or disbursement against obligations entered into during the initial period of availability and the four-year de-obligation/re-obligation period. In the event the funds are reclassified, these funds are then available for an additional 4 years for expenditure with one final year for adjustments and bills. Because the obligation of funds occurs upon execution of the 632(b) agreement, new LOAs, contracts, or modifications executed during the five-year time period constitute a liquidation of this pre-existing obligation. Throughout the five-year expenditure period, these new cases or contracts (“liquidations”) must be within the scope of the original obligation pursuant to the terms of the 632(b) agreement or amendments in effect for the particular funds at the end of the four-year de-obligation/re-obligation period. Five years after the end of the initial period of availability, or nine years should the funds be reclassified, the funds cancel and are no longer available for any purpose.
C11.3.4. Socium. Socium is the system of record for SC activities. Lifecycles of such programs and their accompanying activities are to be logged and monitored in Socium, the DoD’s activity lifecycle management information system. DSCA (Office of Administration, Performance, Improvement, and Effectiveness Directorate (ADM/PIE)) and DSCA (Office of Business Operations, Information Management & technology Directorate (OBO/IM&T)) provides guidance for the use of Socium (See Section C13.3.2.2.).
Table AP8.T2. Security Assistance and Security Cooperation Programs