International Acquisition & Exportability (IA&E) Assessment

1. International Acquisition & Exportability (IA&E) Assessment

2. Learning Objectives • Examine program characteristics and conduct an IA&E Assessment for an acquisition program under development • Analyze allied and friendly nation interoperability requirements • Analyze program protection issues • Analyze international cooperative opportunities • Analyze potential international markets

3. IA&E Assessment Concept • Program Managers should conduct an IA&E Assessment as early as possible to collect information and assess factors related to potential international involvement throughout their program’s life-cycle • Addresses Title 10 and DoDI 5000.02 requirements to consider both international cooperative program and foreign sales potential • Best practice recommended in Defense Acquisition Guidebook (DAG) Chapter 1 Helps define a program’s “international acquisition strategy” rather than bolting on international in latter phases without prior consideration

4. Initial IA&E Assessment • An initial IA&E Assessment should be conducted prior to the Materiel Development Decision (MDD) • Identify potential existing foreign solutions, International Cooperative Program (ICP) opportunities, foreign technology, or potential for future foreign sales • Identify potential coalition requirements to gain an understanding of coalition interoperability and exportability requirements Refer to DAG Chapter 1, paragraph 4.2.8.3 and IA&E Supplement

5. Comprehensive IA&E Assessment • A comprehensive IA&E Assessment should be conducted during the Materiel Solution Analysis (MSA) phase • Assess procurement or modifications of existing U.S. or foreign solutions as part of the Analysis of Alternatives (AoA) • Inform 10 U.S.C. 2350a cooperative opportunity analysis • Comply with 2016 NDAA (10 U.S.C. 2431) requirement to consider both ICPs and foreign sales potential in a program’s Acquisition Strategy • Collect information to complete International Involvement section of the Acquisition Strategy (or equivalent document) • Inform MDA’s Milestone A decisions on how program should address international involvement during the TMRR phase Foreign Solutions Design for Exportability Coalition Interoperability Foreign Sales ICP Participation

6. IA&E Assessment Interoperability Requirements Program Protection Cooperative Opportunities International Markets Assessment Inform MDA Decisions Inform Acquisition Strategy Foreign Solutions Design for Exportability Coalition Interoperability Foreign Sales ICP Participation 6

7. Interoperability Requirements • Program Protection • Cooperative Opportunities • International Markets • Conducting an Assessment • Summary

8. Interoperability Definitions, DoD (Joint Pub 3-0, Joint Operations) The ability to act together coherently, effectively, and efficiently to achieve tactical, operational, and strategic objectives NATO The ability of military forces to train, exercise and operate effectively together in the execution of assigned missions and tasks Materiel Interoperability (DoDI 2010.06) Ability for systems, units, and forces, to provide and accept data, information, materiel, and services to and from other systems, units and forces to effectively interoperate with those of allies and coalition partners

9. Achieving Materiel Interoperability • Foreign purchase of DoD operated equipment • International Cooperative Programs (ICPs) Operate Same Equipment • International Standardizations Agreements (ISAs) • Open system architectures Control Critical Interfaces

10. DoD Standardization Program (DSP) • DSP promotes standardization of materiel, information technology, facilities, and engineering practices per Title 10 legislation • Non-government standards used in preference to Government specifications with some exceptions • USD(R&E) DASD Systems Engineering serves as DoD Standardization Executive • Defense Standardization Program Office (DSPO) is the focal point for materiel standardization DoDI 4120.24, “Defense Standardization Program (DSP)” DoD 4120.24-M, “Defense Standardization Program (DSP) Procedures”

11. Int’l Standardization Agreements (ISAs) • ISAs are developed by multinational treaty organizations to promote equipment interoperability and commonality • North Atlantic Treaty Organization (NATO) • NATO Standardization Office (NSO) • Conference of National Armaments Directors (CNAD) groups • Australia, Canada, New Zealand, UK, and U.S. (AUSCANZUKUS) • American, British, Canadian, Australian, and New Zealand (ABCANZ) Armies’ Program • AUSCANZUKUS Naval C4 Organization • Air and Space Interoperability Council (ASIC) • Combined Communication Electronics Board (CCEB)

12. DoD ISA Policies • DoD complies, to the maximum extent feasible, with applicable ISAs ratified by the U.S., subject to systems engineering tradeoffs (DoDI 2010.06) • Information technology that DoD Components use must interoperate with systems of joint, combined, and coalition forces (DoDI 8330.01) • Derived system requirements to support systems that may be used in allied, partner-nation, coalition, or multinational operations relating to U.S.-ratified international standardization agreements (JCIDS Manual) • PMOs and procuring activities must cite ISAs and/or their implementing documents in solicitations and contracts (DoD 4120.24-M)

13. How would you determine interoperability requirements for a specific program?

14. Determining Requirements • Review JCIDs documents, CONOPS, and Operational View (OV-1) for interoperability requirements • Answer the following standardization questions considering the system, subsystems, assemblies, equipment, components, etc • Must the system or subsystem interoperate with other systems, subsystems, or equipment? • Must form, fit, function, or interfaces be defined to permit interoperability or connectivity? • Does a U.S.-ratified ISA exist that is applicable? Discuss requirements with user to get correct tradeoff balance

15. Where Can I find ISAs? • NATO STANAGs available through the NATO Standardization Office (NSO) web site • Requires registration - not open to industry • Locating other ISAs will require networking with personnel involved in the forums Try requesting assistance through the Defense Standardization Program web site

16. Interoperability Requirements • Program Protection • Cooperative Opportunities • International Markets • Conducting an Assessment • Summary

17. Factors to Consider Differential Capability Requirements Program Protection Issues Anti-Tamper Level TSFD Guidance TSFD = Technology Security & Foreign Disclosure

18. Program Protection Considerations What are we talking about? Identify expected limits on the transfer of information required to conduct a cooperative development or production program, transfer or sell a defense system, or the release of specific capabilities to a foreign partner or customer Can this be done before a system design is established?

19. Conducting an Initial Analysis • Other Factors • Technology • Capabilities • Risks and Benefits Relevant Precedence (including inherited CPI) + + TSFD Guidance Program Planning & Design

20. Relevant Precedence • Delegation of Disclosure Authorization Letters (DDLs) • National Disclosure Policy Committee (NDPC) Record of Actions • Low Observable/Counter Low Observable (LO/CLO) EXCOM decisions • NSA COMSEC release decisions • Export license provisos • Intelligence community products release • Overall USG/DoD program protection policies and practices related to protection of sensitive system design-related information Research decisions on comparable programs/technologies

21. Expected Result of Analysis • Situational awareness of TSFD boundaries that should be factored into the program’s acquisition strategy • Areas where foreign involvementin cooperative development/production would be difficult • Technology that would need to be black-boxed or require additional AT measures • Extent of design for exportability effort • Extent of foreign industry participation • Areas where differential capabilities would likely be required Avoid Updateanalysis as program definition matures

22. Interoperability Requirements • Program Protection • Cooperative Opportunities • International Markets • Conducting an Assessment • Summary

23. Why Cooperative Programs? • Technical • Access to best global technologies and equipment • Industrial • Access to industrial capabilities and products • Economic • Share development costs and achieve economies of scale • Operational • Promote interoperability and enhance coalition capabilities • Political • Strengthen alliances and relationships

24. Cooperative Opportunity ID Are there any foreign off-the-shelf systems that satisfy the requirement (or with modification)? Does any country have a planned or ongoing acquisition program addressing similar requirements? Ask These Questions Is there relevant foreign technology that will reduce development risk? Are there allied and/or friendly countries with common or similar requirements?

25. How would you identify foreign off-the-shelf systems, acquisition programs, or technologies that might meet DoD requirements?

26. Foreign Off-the-Shelf Systems How do you identify foreign off-the-shelf equipment that might meet DoD requirements or could be modified to do so? • Ensure market research examines foreign alternatives • Requests for Information (RFI) • Trade shows • Internet searches • Manufacturer catalogs

27. Foreign Acquisition Programs • How do you identify planned or ongoing foreign acquisition programs that might meet DoD requirements or could be modified to do so? • Community knowledge • Discussions within NATO • Defense trade journals • Security Cooperation Organizations • Foreign embassy officials

28. Foreign Technology How do you identify foreign technology that might reduce the program’s technical risk? Identify Global Leaders Identify Needed Technology (Low TRL) • Service lab experts • Service overseas offices • DARPA • NATO STO panel participants • TTCP panel participants • Intel community • Industry ONR Global AFOSR International Office Combat Capabilities Development Command, (CCDC) Science and Technology Organization (STO) The Technology Cooperation Program (TTCP)

29. Common Requirements • How do you identify other countries that have similar operational requirements? • Security Cooperation Organizations (SCOs) have knowledge of partner plans, requirements, & capabilities • Partner Washington, DC embassies have POCs to discuss cooperation • NATO, OSD, Joint Staff, COCOM, and MILDEP international forums • U.S. industry tracks foreign requirements for business development purposes

30. International Forums • Military Departments • Senior National Representatives • Cooperation Reviews • OUSD(A&S) • Defense Coop Committees • MOU Reviews • Joint Staff & COCOMs • Variety of mil-to-mil engagements • NATO • Conference of National Armaments Directors (CNAD) • Panels, sub-panels, capability groups, etc MILDEP IPOs can help identify appropriate international forums

31. Interoperability Requirements • Program Protection • Cooperative Opportunities • International Markets • Conducting an Assessment • Summary

32. How would you identify a potential sales market for a system just beginning development?

33. Identifying the Potential Int’l Markets • If the system will replace an existing system • Identify operators of current system and estimate potential demand • Identify operators of comparable foreign systems and estimate potential demand based on remaining service life • If the system is a new capability rather than a replacement • Determine countries who could be interested based on self defense needs, typical role in coalition operations, past procurement decisions, and budget availability Develop a likely range of number of systems that could be sold

34. Combatant Commander Views • Program teams must understand Geographic Combatant Commanders (GCCs) views on providing the capability to foreign countries in their AoR • May be difficult to determine in early acquisition phases • GCC support will be essential to the ultimate sale of the equipment

35. Who Can Help With These Estimates? • Early in a Program • Service International Program Offices (IPOs) • U.S. industry • Later in a Program • GCCs • Security Cooperation Organizations (SCOs) • Prime contractor High Estimate range will need to be updated/refined over time Low

36. Interoperability Requirements • Program Protection • Cooperative Opportunities • International Markets • Conducting an Assessment • Summary

37. Conducting an IA&E Assessment • PMO-led effort with support from Component IPO and other organizations as required Identify Experts Collect & Analyze Data Document Results • Tailor level of effort to program’s international acquisition potential • Conduct in coordination with the AoA for programs in MSA phase Refer to DAU IA&E Assessment Job Support Tool (JST)

38. Interoperability Requirements • Program Protection • Cooperative Opportunities • International Markets • Conducting an Assessment • Summary

39. Summary • Conducting an IA&E Assessment supports deliberate consideration and planning of a program’s international aspects • Program team should lead effort with expert assistance • Effort should be tailored consistent with program’s international potential • JST available on International Acquisition Management Community of Practice (ICOP)

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