Defense Technology Security Reviews
Technology Review of Munitions and Dual-Use Export Licenses
DTSA reviews requests to export munitions items under the
licensing
authority of the Department of State and dual-use items
under the
licensing authority of the Department of Commerce.
Important factors in the review include an assessment of the
technology proposed for export, the completeness of the license
application, the accuracy and consistency of the technical
information, the details of the transaction, the appropriateness
of the technology for the proposed end use, the bona fides of
the end user, and any risks to national security associated with
the transaction. DTSA has implemented rigorous internal
controls and processes to ensure provisos and limitations
imposed on the transaction are consistent with DoD policy and
technology security objectives. The DTSA staff works
closely with industry, the interagency, our international
partners, and with DoD stakeholders, to resolve complex
technology transfer issues and ensure national security
objectives are met.
Technology Control Plan
DTSA may impose requirements for a technology security plan
(TSP) or technology transfer control plan (TTCP) during the
review process to mitigate risks associated with an
international transfer conducted via a Direct Commercial Sale
(DCS) or Foreign Military Sale (FMS). TSPs and TTCPs help
organizations and/or foreign recipients establish the plans and
procedures that foster compliance with export laws, regulations
and license provisions. Industry often refers to a TSP for
internal, company-specific plans and procedures, and a TTCP when
referring to a document submitted to the U.S. Government in
order to meet licensing requirements imposed by the U.S.
Government. A TTCP is mandatory under the law for the
provision of defense services involving the integration and
launch of a satellite from a non-NATO+ country. An
accountability plan is usually imposed to ensure the applicant
is confident that the end user or customer has a process in
place to account for and use the export-controlled items as
stated in the approved license. The most common plan is a
parts accountability and control plan used to account for the
use of radiation-hardened or radiation-tolerant parts. A
complete plan typically addresses the following topics:
- Responsible POCs in the organization for security and/or
export controls
- Training requirements for U.S. and foreign personnel
- Internal processes and procedures to ensure compliance
with license provisions
- Access controls for foreign nationals
- Internal processes and procedures for appropriate
marking, accessing, and storing of documents (e.g. ITAR,
classified, sensitive, proprietary, etc.)
- Processes and procedures for obtaining approval to
transfer or release information
- IT security measures for protection of infrastructure
and data
- Description of integration and launch operation security
for satellite-based activities
- Handling and accountability of damaged or destroyed
parts
- Foreign participant roles, responsibilities, and
interactions, foreign locations and activities
- Identification of technical data to be released and/or
defense services provided with specific prohibitions
This documentation helps industry understand the scope of an
approved transfer and control mechanisms that mitigate risk of
unauthorized release.
End User Checks
In order to mitigate risk associated with an international
technology transfer, it is important to understand who is
receiving the U.S. technology and verify the bona fides of the
end user and other foreign parties to the transaction.
DTSA performs end user checks as part of the technology transfer
review process in order to provide a more complete picture of
the nature of the transaction and the potential risks to
national security that may result from unauthorized use,
proliferation, or diversion. The track record of the
foreign recipient and effectiveness of the export controls in
the country of destination are considered during the process of
preparing a recommendation for approval and appropriate
provisions or limitations for an export license. End user
checks provide information that is used by licensing analysts,
technical reviewers, and senior decision-makers in the license
review process to mitigate technology transfer risk. This
information is important for tailoring the licensing conditions
to best fit the given transaction rather than imposing a
one-size-fits-all approach that may be over-restrictive in some
cases and under-restrictive in others.