Burea of Political Military Affairs

Department of StateBureau of Political Military AffairsBruce M. Carswell Jr.Directorate of Defense Trade Controls : 

Department of StateBureau of Political Military AffairsBruce M. Carswell Jr.Directorate of Defense Trade Controls

AGENDA : 

AGENDA US Export Organization Structure DDTC Responsibilities Agreements Review Process

U.S. Exports Organizational Structure : 

U.S. Exports Organizational Structure

Slide 4: 

Licensing & Compliance U.S. Responsible Agencies Department of State Department of Commerce Department of Homeland Security (Customs) Department of Justice (BATF) Department of Defense DTSA, Armed Services, DSS

Department of State: Bureau of Political Military Affairs (PM) : 

Department of State: Bureau of Political Military Affairs (PM) Regional Stability Diplomacy is More Cost Effective Than Military Action PM is the Principal Link Between the Department of State and the Department of Defense

Bureau of Political Military Affairs Responsibilities : 

Bureau of Political Military Affairs Responsibilities Diplomatic Support for the War on Terrorism Security Assistance Programs World-Wide Humanitarian Mine Action Critical Infrastructure Protection International Crime Courts/Article 98 Consequence Management U.S. Export Controls

PM: Directorate of Defense Trade Controls (DDTC) : 

PM: Directorate of Defense Trade Controls (DDTC) Mission Statement Advance National Strategic Objectives and U.S. Foreign Policy Goals through timely enforcement of defense trade controls and the formulation of defense trade policy.

Directorate of Defense Trade Controls Responsibilities : 

Directorate of Defense Trade Controls Responsibilities

DTC Responsibilities : 

DTC Responsibilities Ensure Compliance With the ITAR and Take Into Consideration National Security and Foreign Policy Concerns Provide Guidance and Information to the Licensing Community Facilitate U.S. Defense Trade World-Wide, While Safeguarding National Security Concerns

Purpose of Arms Sales : 

Purpose of Arms Sales Per The Foreign Assistance Act (FAA) & The Arms Export Control Act (AECA) Defense Articles and Services Shall Be Furnished or Sold Solely For: Internal Security Legitimate Self-Defense To Permit Recipient Country to Participate in Regional or Collective Arrangements Consistent With the Charter of the UN In Less Developed Friendly Countries for Public Works

What DDTC Controls : 

What DDTC Controls Policy for Designating/Determining Defense Articles on the USML Specifically Designed, Developed, Configured, Adapted, or Modified for Military Application AND HAS Significant Military or Intelligence Applicability Such That ITAR Control is Warranted

U.S. Export Control Concerns : 

U.S. Export Control Concerns Foreign Policy National Security Human Rights Regional Stability Proliferation

Slide 13: 

Licensing Directorate T2C Naval Vessels, Military Vehicles __ ________________________________________ __ T3D Space & Missiles __ ________________________________________ __ T4M Military Electronics __ ________________________________________ __ T5Z Aircraft (Helos) & Engines __ ________________________________________ __ T6F Small Arms ___________________________________________ __

Defense Trade Agreements : 

Defense Trade Agreements

What is an Export? : 

What is an Export? Sending or Taking a Defense Article or Technical Data Out of the United States Disclosing, by Any Means, or Transferring a Defense Article or Technical Data to a Foreign Person in the United States or Abroad. Performing a Defense Service on Behalf of, or for the Benefit of, a Foreign Person in the United States or Abroad.

What is Technical Data? : 

What is Technical Data? Information which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions and documentation. This DOES NOT include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities or information in the public domain.

What is a Defense Service? : 

What is a Defense Service? Furnishing of Assistance (Including Training) to Foreign Persons Encompasses design, development, engineering, manufacture, production, assembly, testing, repair, modification, operation, demilitarization, destruction, processing, installation, integration, training, or use of defense articles Furnishing to Foreign Persons Any Technical Data Controlled Under the USML Military Training of Foreign Units and Forces

DDTC Export Mechanisms : 

DDTC Export Mechanisms License Exports Hardware or Technical Data Agreement Exports Technical Data, Defense Services with Possible Hardware

Types of Agreements : 

Types of Agreements Technical Assistance Agreement (TAA) Discloses Technical Data and Provides Technical Assistance Can Include Low-Level Assembly of Defense Articles No Manufacturing or Production Rights Are Provided Manufacturing License Agreement (MLA) Authorizes Manufacture of Defense Articles Abroad Automatically Includes Technical Assistance Must Provide Manufacture Know-How & Result in Production

Activities Requiring Agreements : 

Activities Requiring Agreements Marketing Products to Foreign Parties Support Sales to Foreign Parties Providing Overseas Maintenance or Training Support Technical Studies or Evaluations with Foreign Parties Release of Manufacturing Data and/or Rights Efforts to Import Technology from Abroad Supporting a Foreign Military Sales Case Supporting USG-Sponsored Contracts ** Exemptions Exist for Some of the Above Examples

DTC Guidelines : 

DTC Guidelines Guidelines for Agreements, Oct 03 Contains Formats and Policies (updated now and again for regulatory changes) Guidelines for Licenses Contains Submission Information Located on DTC Home Page www.pmddtc.state.gov

U.S. Exports Review Process Policies & Guidelines : 

U.S. Exports Review Process Policies & Guidelines

What is Reviewed? : 

What is Reviewed? Applicant Eligibility End Use and End Users Retransfer Requests Commodity and Quantity Value of Exports Proper Procedures and Precautions are Followed Shipping Details Congressional Thresholds/Interests

How is It Assessed? : 

How is It Assessed? Risk Assessment Conducted Against National Security Issues Foreign Policy Issues Regional Stability Human Rights Multilateral Control Regimes Arms Proliferation Concerns

Slide 25: 

National of a Third Country (includes “dual” nationals) The Countries these Employees are Nationals of Need to be Listed and Approved Non-Disclosure Agreements (NDAs) must be Executed “Globalization” and the future of the national of a third country: Australia and Canada

Slide 26: 

Congressional Oversight The Arms Export Control Act Requires that DDTC: Provide Annual and Quarterly Reports of Authorizations to Congress Obtain Congressional Approval of Certain Proposed Exports Notify Congress of Unauthorized Transfers

Contact Information : 

Contact Information Bruce M. Carswell Jr. Directorate of Defense Trade Controls PM/DTCL, SA-1 Room 1200 2401 E Street, NW Washington, DC 20522-0112 Phone: +1-202-663-2733 Fax: +1-202-663-3788 E-mail: carswellbm@state.gov