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

4/27/2021

MEMORANDUM FOR :

DEPUTY UNDER SECRETARY OF THE AIR FORCE FOR INTERNATIONAL AFFAIRS
DEPUTY ASSISTANT SECRETARY OF THE ARMY FOR DEFENSE EXPORTS AND COOPERATION
DEPUTY ASSISTANT SECRETARY OF THE NAVY FOR INTERNATIONAL PROGRAMS
DIRECTOR, DEFENSE CONTRACT MANAGEMENT AGENCY
DIRECTOR FOR SECURITY ASSISTANCE, DEFENSE FINANCE AND ACCOUNTING SERVICE - INDIANAPOLIS OPERATIONS
DIRECTOR, DEFENSE INFORMATION SYSTEMS AGENCY
DIRECTOR, DEFENSE LOGISTICS AGENCY
DIRECTOR, DEFENSE THREAT REDUCTION AGENCY
DIRECTOR, MISSILE DEFENSE AGENCY
DIRECTOR, NATIONAL GEOSPATIAL - INTELLIGENCE AGENCY
DIRECTOR OF CYBERSECURITY DIRECTORATE AND DEPUTY NATIONAL MANAGER FOR NATIONAL SECURITY SYSTEMS, NATIONAL SECURITY AGENCY

SUBJECT :

Security Assistance Management Manual (SAMM), Administrative Changes, Defense Security Cooperation Agency (DSCA) Policy 21-11 [SAMM E-Change 500]

This memorandum updates the SAMM with clerical and administrative changes. This memorandum does not contain contextual policy changes. DSCA will issue contextual changes to the SAMM under a separate policy memo/SAMM E-change. These administrative changes will be included in the online version of the SAMM at https://samm.dsca.mil.

The SAMM changes identified in this memorandum are effective immediately. For questions, please contact Erienne Terpak, Erienne.N.Terpak.civ@mail.mil, 571-294-9118.

Alan Gorowitz
Assistant Director
Strategy, Plans and Policy

ATTACHMENT :
- SAMM E-Change 500

CC :

STATE/PM-RSAT
AFRICOM
CENTCOM
EUCOM
INDOPACOM
NORTHCOM
SOCOM
SOUTHCOM
TRANSCOM
USASAC
TRADOC/SATFA
USACE
NAVSUP WSS
NETSAFA
AFSAC
AFSAT
DSCU
MARCOR IP
SCETC
USCG International Affairs (G-CI)

Security Assistance Management Manual (SAMM), E-Change 500
Administrative Change

Notice: Changes are highlighted in RED TEXT for each SAMM Admin change below

  1. In accordance with DoD Directive (DoDD) 5137.02, update SAMM C1.3.2.1. and C1.3.2.2. to reflect the organization name change from "Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L))," to "Under Secretary of Defense for Research and Engineering (USD(R&E))."

    • Current Wording:

      • 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)... 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).

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

    • Revised Wording:

      • 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) ... in coordination with the Under Secretary of Defense for Research and Engineering (USD(R&E)) 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).

      • C1.3.2.2. Defense Security Cooperation Agency (DSCA). "DSCA ... in coordination with the USD(P) and the USD(R&E), as appropriate, supports the development of technology security and foreign disclosure and sales policies and procedures for defense information, technology, and systems

  2. In accordance with DoDD 5135.02, update SAMM to reflect the organization name change from "Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L))," to "Under Secretary of Defense for Acquisition and Sustainment (USD(A&S))."

    • Current Wording:

      • 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.

    • Revised Wording:

      • C1.3.2.3. Under Secretary of Defense for Acquisition and Sustainment (USD(A&S)). The USD(A&S) is the principal staff assistant and advisor to the Secretary of Defense for all matters relating to acquisition and sustainment in the DoD, including the DoD Acquisition System; system design and development; production; logistics and distribution; installation maintenance, management, and resilience; military construction; procurement of goods and services; materiel readiness; maintenance; environment and energy resilience (including renewable energy, as appropriate); utilities, renewable energy, and energy management; business management modernization; document services; nuclear, chemical, and biological defense programs; nuclear command, control and communications; and related matters. The USD(A&S) coordinates on all applicable DoD guidance; ensures conformance with international armaments cooperation and industrial collaboration; ensures that DoD logistics policy and procedures are effectively integrated with all applicable DoD guidance; provides advice to the USD(P) and the Director, DSCA, to accomplish the objectives of SC programs; establishes policies, in coordination with the USD(P), for the effective development of international acquisition and sustainment programs that support current SC goals. See DoD Directive 5135.02.

  3. In accordance with DoDD 5135.02, update SAMM to reflect the organization name change from "Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L))," to "Under Secretary of Defense for Acquisition and Sustainment (USD(A&S))" in all of the following instances:

    • C5.1.8.3. Pre-Operational Test and Evaluation (OT&E) Sales Policy (Yockey Waiver). Replace "USD(AT&L)" with "USD(A&S)."

    • Table C6.T5. Frequency and Timing of Reviews Matrix. Replace "OUSD(AT&L)" with "OUSD(A&S)."

    • C9.4.5.1. NC Approval Process. Replace "Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L))" with "Under Secretary of Defense for Acquisition and Sustainment (USD(A&S))."

    • C9.6.2.1. Replace "USD(AT&L)" with "USD(A&S)."

    • C9.6.3.2.1. Replace "Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L))" with "Under Secretary of Defense for Acquisition and Sustainment (USD(A&S))."

    • Table AP5.T1. Security Assistance Statutory Reports Submitted to Congress DSCA. Replace "USD(AT&L)" with "USD(A&S)."

    • Acronyms List. Replace "USD (AT&L): Under Secretary of Defense for Acquisition, Technology, and Logistics" with "USD (A&S): Under Secretary of Defense for Acquisition and Sustainment."

    • Glossary. Update "Defense Contract Management Agency (DCMA)" to read: "An agency under the direction of the Under Secretary of Defense for Acquisition and Sustainment [USD(A&S)], which provides unified contract administration services to DoD components and NASA, for all contracts except those specifically exempted."

  4. Update SAMM C2.1.7.2.2. to align with current organizations.

    • Current Wording:

      • C2.1.7.2.2. While oversight for the FMS and other traditional SA is the responsibility of the Under Secretary of Defense for Policy (USD(P)), IAC is the responsibility of the Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)) who also serves as the U.S. National Armaments Director (NAD).>

    • Revised Wording:

      • C2.1.7.2.2. While oversight for the FMS and other traditional SA is the responsibility of the Under Secretary of Defense for Policy (USD(P)), IAC is the responsibility of the Under Secretary of Defense for Acquisition and Sustainment who also serves as the U.S. National Armaments Director (NAD).

  5. Update SAMM C2.1.7.2.4. to align with current organizations and update hyperlink for "OSD (A&S) International Armaments Cooperation Handbook."

    • Current Wording:

      • C2.1.7.2.4. SCOs with IAC responsibilities should maintain and review the OSD (AT&L) International Armaments Cooperation Handbook. Chapter 10, Section 10.4 of the handbook addresses the role of the SCO in IAC.

    • Revised Wording:

  6. Update SAMM Table C9.T4. with current links/references to FMR paragraphs for each charge as follows:

    Charge

    References

    Acceleration Rates

    DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 072001.A

    Attrition / Liability Statement

    DoD FMR, Volume 15, Chapter 3 (Jul 2020), 030408.D, and Chapter 7 (Jan 2021), 072203.A, 072303.C.1, and 072304.C.1.

    FMS Administrative Surcharge

    AECA, sections 21(e)(1)(A) (22 U.S.C. 2761(e)(1)(A)) and 43(b)(22 U.S.C. 2792(b))

    DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 0705

    BPC: The cost of administering these cases is no different than FMS cases. However, effective 14 Aug 2020, BPC Title 10-funded cases will not be assessed the FMS Surcharge

    Contract Administration Services (CAS) Surcharge

    AECA, section 21(h) (22 U.S.C. 2761(h)) and DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 071603

    BPC: Applicable CAS charges are no different than FMS cases. However, effective 14 Aug 2020, BPC Title 10-funded cases will not be assessed the CAS Surcharge.

    Logistics Support Charge (LSC)

    DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 0706

    BPC: Same as FMS.

    Nonrecurring Cost (NC)

    AECA, section 21(e)(1)(B)

    (22 U.S.C. 2761(e)(1)(B))

    DoD FMR, Volume 15, Chapter 7

    (Jan 2021), paragraph 071505

    DoD Directive 2140.02

    BPC: NC does not apply.

    Packing, Crating and Handling (PC&H)

    DoD FMR, Volume 15, Chapter 7

    (Jan 2021), paragraph 070401 BPC:

    DoD FMR, Volume 11A, Chapter 1

    (Jul 2020), paragraph 010204.J

    Note: effective 14 Aug 2020, BPC Title 10-funded cases will not be assessed the PC&H Accessorial Charge.

    Royalty

    DoD FMR, Volume 15, Chapter 7

    (Jan 2021), paragraph 071902

    BPC: DoD FMR, Volume 11A, Chapter 1

    (Jul 2020), paragraph 010204.J

    Storage (FMSO)

    DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 070804

    BPC: Does not apply

    Storage (Other)

    DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 0709

    BPC: DoD FMR, Volume 11A, Chapter 1 Addendum 1

    Transportation

    DoD FMR, Volume 15, Chapter 7 (Jan 2021), paragraph 070402

    BPC: DoD FMR, Volume 11A, Chapter 1 Addendum 1

    Note: effective 14 Aug 2020, BPC Title 10-funded cases will not be assessed the Transportation Surcharge.

  7. Update SAMM Table C11.T20. with current U.S. Army organization. This change is because FADs are now sent to ASA (ALT), DASA DE&C, SAAL-NP rather than ASA/FM&C, BU, BUR.

    Table C11.T20. - SDAF Funds Distribution

    MILITARY DEPARTMENT

    FUNDS ISSUED TO:

    U.S. Army

    Assistant Secretary of the Army (Acquisition, Logistics and Technology) (ASA (ALT)), Deputy Assistant Secretary of the Army for Defense Exports and Cooperation (DASA DE&C), Policy, Training, and Resources Directorate (SAAL-NP)

  8. Update SAMM C11.9.6.8. to align with current organizations. This change is because coordination needs to occur with organizations in addition to the IAs and this change aligns with DSCA Policy 21-15 Attachment A.

    • Current Wording:

      • C11.9.6.8. Reimbursement to the SDAF. SDAF reimbursement responsibilities for the sale of SDAF assets transferred to a foreign purchaser resides with the Implementing Agency responsible for the LOA. The SDAF sales price is the amount that must be reimbursed to the SDAF. The DSCA Directorate for Business Operations, Comptroller-Security Assistance (CMP-SA), in coordination with the Implementing Agency, assures reimbursement of the appropriate amount to the SDAF. Exceptions to full reimbursement can be directed to CMP-SA.

    • Revised Wording:

      • C11.9.6.8. Reimbursement to the SDAF. SDAF reimbursement responsibilities for the sale of SDAF assets transferred to a foreign purchaser resides with the Implementing Agency responsible for the LOA. The SDAF sales price is the amount that must be reimbursed to the SDAF. The DSCA Directorate for Business Operations, Comptroller-Security Assistance (CMP-SA), in coordination with the Military Department and Implementing Agency, assures reimbursement of the appropriate amount to the SDAF. Exceptions to full reimbursement can be directed to CMP-SA.

  9. Update SAMM C11.9.6.8.5. to align with current organizations. This change is because coordination needs to occur with organizations in addition to the IAs and this change aligns with DSCA Policy 21-15 Attachment A.

    • Current Wording:

      • C11.9.6.8.5. Reimbursement Reporting. The Implementing Agencies will be required to provide monthly input to DSCA's Comptroller Security Assistant reimbursement report. IAs will be required to provide a status update to DSCA on all implemented FMS case lines where a case line is eligible to reimburse the SDAF account, but the SDAF package has not been submitted to DSCA. The IAs will be required to identify when DSCA can expect to receive the complete SDAF reimbursement package for review. Responses to the report are due by the third Wednesday of the month.

    • Revised Wording:

      • C11.9.6.8.5. Reimbursement Reporting. The Military Departments and Implementing Agencies will be required to provide inputs to the reimbursement report monthly. Military Departments and IAs are required to provide a status update on all implemented FMS case lines eligible to reimburse the SDAF account. The Military Departments and IAs are required to identify all reimbursement packages that have not been submitted and an estimated date of submission. Responses to the report are due by the third Wednesday of the month.

  10. Update SAMM Section C8.T2. "DoD End-Use Monitoring Responsibilities" to align with term used in C8.4.3.1. This change is to mitigate confusion with use of term "site survey" and instead provides consistent use of term used in C8.4.3.1.

    • Current Wording:

      C8.T2. DoD End-Use Monitoring Responsibilities

      ORGANIZATION

      RESPONSIBILITY

      MILDEPS and Implementing Agencies (IAs)

      Provide DSCA a copy of all site survey certification reports within 30 calendar days of conducting the site certification by ensuring the reports are uploaded to the site certification repository within the SCIP-EUM database.

    • Revised Wording:

      C8.T2. DoD End-Use Monitoring Responsibilities

      ORGANIZATION

      RESPONSIBILITY

      MILDEPS and Implementing Agencies (IAs)

      Provide DSCA a copy of all site certification reports within 30 calendar days of conducting the site certification by ensuring the reports are uploaded to the site certification repository within the SCIP-EUM database.

  11. Update SAMM Section C8.T2. with administrative correction.

    • Current Wording:

      C8.T2. DoD End-Use Monitoring Responsibilities

      ORGANIZATION

      RESPONSIBILITY

      MILDEPS and Implementing Agencies (IAs)

      Coordinate with DSCA DSA and DBO regarding funding options for sites that are in but have not been certified. Ensure the cost of physical security inspections are case funded going forward.

    • Revised Wording:

      C8.T2. DoD End-Use Monitoring Responsibilities

      ORGANIZATION

      RESPONSIBILITY

      MILDEPS and Implementing Agencies (IAs)

      Coordinate with DSCA DSA and DBO regarding funding options for sites that are in use but have not been certified. Ensure the cost of physical security inspections are case funded going forward.

  12. Update C15.1.1. to include verbiage regarding the use of Socium.

    • Current Wording:

      • C15.1.1. General. Building Partner Capacity (BPC) programs encompass security cooperation and security assistance activities that are funded with U.S. Government (USG) appropriations and administered as cases within the Foreign Military Sales (FMS) infrastructure. These programs may provide defense articles and/or services to other USG departments and agencies under the authority of the Economy Act or other transfer authorities for the purpose of building the capacity of partner nation security forces and enhancing their capability to conduct counterterrorism, counter drug, and counterinsurgency operations, or to support U.S. military and stability operations, multilateral peace operations, and other programs. They are crucial tools used by the Department of Defense (DoD) and other USG agencies in furtherance of U.S. national security objectives. To enable BPC program execution through existing security assistance automated systems, the DoD Implementing Agency (IA) develops a pseudo Letter of Offer and Acceptance (LOA) in the Defense Security Assistance Management System (DSAMS). The pseudo LOA is not signed by the partner nation that will ultimately receive the articles and/or services, but serves to document the transfer of articles and services to the USG Requesting Authority.

    • Revised Wording:

      • C15.1.1. General. Building Partner Capacity (BPC) programs encompass security cooperation and security assistance activities that are funded with U.S. Government (USG) appropriations and administered as cases within the Foreign Military Sales (FMS) infrastructure. These programs may provide defense articles and/or services to other USG departments and agencies under the authority of the Economy Act or other transfer authorities for the purpose of building the capacity of partner nation security forces and enhancing their capability to conduct counterterrorism, counter drug, and counterinsurgency operations, or to support U.S. military and stability operations, multilateral peace operations, and other programs. They are crucial tools used by the Department of Defense (DoD) and other USG agencies in furtherance of U.S. national security objectives. Lifecycles of such programs and their accompanying activities are to be logged and monitored in Socium, the DoD's activity lifecycle management information system. To enable BPC program execution through existing security assistance automated systems, the DoD Implementing Agency (IA) develops a pseudo Letter of Offer and Acceptance (LOA) in the Defense Security Assistance Management System (DSAMS). The pseudo LOA is not signed by the partner nation that will ultimately receive the articles and/or services, but serves to document the transfer of articles and services to the USG Requesting Authority.

  13. Update C15.1.3.4. to include verbiage regarding the use of Socium.

    • Current Wording:

      • C15.1.3.4. Defense Security Cooperation Agency. DSCA administers BPC programs under the direction of the USD(P) and provides guidance to DoD components and SCOs on the administration and execution of BPC program activities. DSCA oversees program-level logistics planning, provides financial management, develops and implements program policies, and otherwise assists Requesting Authorities in achievement of BPC program objectives.

    • Revised Wording:

      • C15.1.3.4. Defense Security Cooperation Agency. DSCA administers BPC programs under the direction of the USD(P) and provides guidance to DoD components and SCOs on the administration and execution of BPC program activities. DSCA oversees program-level logistics planning, provides financial management, develops and implements program policies, operates and maintains applicable BPC activity monitoring within "Socium" and other information management systems, and otherwise assists Requesting Authorities in achievement of BPC program objectives.

  14. Update Table C15.T1. "SCO Responsibilities for BPC Programs" to add a row to include verbiage regarding the use of Socium.

    Table C15.T1. SCO Responsibilities for BPC Programs

    #

    RESPONSIBILITY

    10

    Enter all information related to planning, execution, and evaluation into information management system "Socium" for historical and future planning purposes.

  15. Update SAMM C16.1.6.2. to include verbiage regarding the use of Socium.

    • Current Wording:

      • C16.1.6.2. DSCA. Publishes and updates reconciliation and closure policy, chairs various FMS reconciliation and closure meetings, serves as final arbiter for case reconciliation and closure issues raised by IAs and DFAS Indianapolis, and chairs the Executive Committee (EXCOM) for case reconciliation and closure. For information on the EXCOM, refer to Section C16.3.

    • Revised Wording:

      • C16.1.6.2. DSCA. Publishes and updates reconciliation and closure policy, chairs various FMS reconciliation and closure meetings, serves as final arbiter for case reconciliation and closure issues raised by IAs and DFAS Indianapolis, and chairs the Executive Committee (EXCOM) for case reconciliation and closure. Operates and maintains security cooperation management system Socium, to be used for logging applicable information. For information on the EXCOM, refer to Section C16.3.

  16. Update SAMM C16.2.12.2. to include verbiage regarding the use of Socium.

    • Current Wording:

      • C16.2.12.2. SSC Status Application. Once the conditions for SSC are reached, lines and/or cases shall be coded by the Implementing Agency (IA) with this status and the actual date of SSC within 5 business days in the appropriate security cooperation information management systems. This coding shall not be delayed under any circumstance. The management of blanket order case/line items is generally conducted based on their value. Therefore, the application of SSC status on blanket order cases and/or lines may be accomplished based on the amount of unused value, when appropriate, rather than the absence of open orders. The reconciliation condition of data (other than that which is preventing item delivery or actual completion of services), the allocation of resources (funding and/or manpower), or the distribution/transfer of workload has no application in determining when supply/services completion occurs. To the extent possible, the SSC status of lines and sublines should be coded in the Defense Security Assistance Management System (DSAMS) as either completed (CMPLTD) or shipped (SHPD).

    • Revised Wording:

      • C16.2.12.2. SSC Status Application. Once the conditions for SSC are reached, lines and/or cases shall be coded by the Implementing Agency (IA) with this status and the actual date of SSC within five (5) business days in Socium and the appropriate security cooperation information management systems. This coding shall not be delayed under any circumstance. The management of blanket order case/line items is generally conducted based on their value. Therefore, the application of SSC status on blanket order cases and/or lines may be accomplished based on the amount of unused value, when appropriate, rather than the absence of open orders. The reconciliation condition of data (other than that which is preventing item delivery or actual completion of services), the allocation of resources (funding and/or manpower), or the distribution/transfer of workload has no application in determining when supply/services completion occurs. To the extent possible, the SSC status of lines and sublines should be coded in the Defense Security Assistance Management System (DSAMS) as either completed (CMPLTD) or shipped (SHPD).

  17. Update C5.1.4. Country Team Assessment (CTA) to include verbiage on publishing CTAs as cables or memos on embassy letterhead, and signed by a member of the country team.

    • Current Wording:

      • C5.1.4. Country Team Assessment (CTA). The CTA presents the coordinated position of senior U.S. Embassy leadership in support of a proposed sale and provides key information necessary to evaluate and explain it. See Chapter 2 for a description of the Country Team. It should be viewed as an important opportunity to provide valuable information that will expedite the decision process and should be unclassified to the greatest extent possible. Any classified information should be confined to separate, individually marked paragraphs. The CTA must accompany any LOR that:

    • Revised Wording:

      • C5.1.4. Country Team Assessment (CTA). The CTA presents the coordinated position of senior U.S. Embassy leadership in support of a proposed sale and provides key information necessary to evaluate and explain it. See Chapter 2 for a description of the Country Team. CTAs can be published as cables or memos on embassy letterhead and signed by a member of the country team. It should be viewed as an important opportunity to provide valuable information that will expedite the decision process and should be unclassified to the greatest extent possible. Any classified information should be confined to separate, individually marked paragraphs. The CTA must accompany any LOR that:

  18. Update C5.T1. Country Team Assessment - Common Required Elements to include verbiage on publishing CTAs as cables or memos on embassy letterhead, and signed by a member of the country team.

    Add the following note to the bottom of the table:

    #

    REQUIRED ELEMENT

    Note: CTAs can be published as cables or memos on embassy letterhead and signed by a member of the country team.