DAU IA NW Workshop -- ICP IA Basics (July 19)

DAU IA NW Workshop -- ICP IA Basics (July 19)

International Cooperative Program (ICP) International Agreements (IAs) Basics Lesson Outline DoD International Acquisition & Exportability (IA&E) What are International Cooperative Programs (ICPs) What are ICP International Agreements (IAs)? What is the OUSD/A&S ICP IA Business Process? 2 International Acquisition and Exportability Elements Assess early Develop and implement a combined domestic and international acquisition plan Pursue ICP opportunities and plan for Defense Sales &

Transfers IA&E Assessment (Early in Program Development ) Acquisition Strategy (Intl Involvement Section) International Business Plan (IBP) (Mature Programs) International Cooperative Program (ICP) An international cooperative program (ICP) is any acquisition program or technology project that includes participation by the U.S. and one or more foreign nations, through an international agreement, during any phase of a systems life cycle. DoDI 5000.02, Operation of the Defense Acquisition System, Enclosure 2, para 7. b. (1) 4

Intl Coop Program (ICP) Process Opportunity Identification & Assessment Request Authority to Develop (RAD) International Agreement Negotiation Request Final Approval (RFA) International Agreement Signature Cooperative Program Execution

OUSD(A&S) International Agreements (IA) Process Opportunity identification & Assessment Identifying a potential cooperative opportunity, conducting exploratory or technical discussions, and assessing viability of the effort Request Authority to Develop (RAD) Staffing of the RAD/Summary Statement of Intent (SSOI) business case within Component OSD to obtain approval to negotiate IA Negotiation Negotiating the International Agreement (IA) with partner nation(s) after obtaining authority through RAD approval Request Final Approval (RFA) Obtaining approval to sign the IA based on Component and OSD staffing of the IA text and an updated SSOI IA Signature

Obtaining U.S. and partner nation(s) signature of the IA ICP Execution Executing the cooperative project/program in accordance with the signed IA 5 ICP Identification & Assessment Conceptual & Less Formal Identify Define U.S. ICP trade space Engage potential partner nation(s) Normally PMOLed Efforts Explore Identify potentially viable partners Consider scope alternatives

Arrange exploratory discussions Increasing DoD Component IPO Involvement Validate Conduct tech discussions Define rough scope of ICP Confirm viability and level of commitment Documented & Formal Led by DoD Component IPO & Managed by OUSD/IC/ A&S ICP IA Process Request for

Authority to Develop (RAD) Request for Final Approval (RFA) Approval, Signature & Implementation Use DAU ICP Job Support Tool (JST) to plan and organize your efforts 6 S&T, R&D or System Cooperation? Generic ICP Model Data Exchange DEA/IEA Cooperative S&T or R&D Projects RDT&E MOU PA S&T community makes this transition System Level

Cooperation Program-Specific MOU How does PMO make this transition? Scope alternatives include S&T cooperative projects Program-related cooperative R&D projects Full scope system level cooperative program Bilateral or multilateral or parallel U.S. partner bilaterals? 7 Nature of International Agreements Each International Agreement (IA) is unique Not a Treaty, but much more than an international handshake An Executive Department Agreement that may have a Congressional reporting requirement Often legally binding for the U.S. (but not always) Only politically, morally binding for some partners Enforceable if terms violated? Reciprocal 8

International Agreement Definition Any agreement concluded with one or more foreign governments (including their agencies, instrumentalities, or political subdivisions) or with an international organization, that: (1) Is signed or agreed to by personnel of any DoD Component, or by representatives of the DoS or any other Department or Agency of the U.S. Government; (2) Signifies the intention of its parties to be bound in international law; (3) Is denominated as an international agreement or as a memorandum of understanding, memorandum of agreement, memorandum of arrangements, exchange of notes, exchange of letters, technical arrangement, protocol, note verbal, aide memoire, agreed minute, contract, arrangement, statement of intent, letter of intent, statement of understanding, or any other name connoting a similar legal consequence. DoDD 5530.3, International Agreements 9 Intl Coop Program (ICP) Process Opportunity Identification & Assessment Request Authority to Develop (RAD) International Agreement Negotiation

Request Final Approval (RFA) International Agreement Signature Cooperative Program Execution OUSD(A&S) International Agreements (IA) Process Opportunity identification & Assessment Identifying a potential cooperative opportunity, conducting exploratory or technical discussions, and assessing viability of the effort Request Authority to Develop (RAD) Staffing of the Summary Statement of Intent (SSOI) business case within Component and OSD to obtain approval to negotiate

IA Negotiation Negotiating the International Agreement (IA) with partner nation(s) after obtaining authority through RAD approval Request Final Approval (RFA) Obtaining approval to sign the IA based on Component and OSD staffing of the IA text and an updated SSOI IA Signature Obtaining U.S. and partner nation(s) signature of the IA ICP Execution Executing the cooperative project/program in accordance with the signed IA 10 The Streamlined ICP IA Process Streamlines OSD portion of the ICP IA process In effect since the mid-1990s; mature and well understood; designed to OSDInteragency coordination (staffing) time Significantly changes DoDD 5530.3 process

Applies to all A&S/R&E-related IAs ICP IA process details in Defense Acquisition Guidebook (DAG) Chapter 1, Supplement 1, Section 6 published February 2017 https://www.dau.mil/guidebooks/Shared%20Documents%20HTML/Chapter%201%20Program%20Management.aspx#toc322 ICP IA development, negotiation, and approval process best practice advice contained in in DAUs ICP Job Support Tool https://www.dau.mil/tools/t/International-Cooperative-Programs-(ICPs)-Job-Support-Tool-(JST) 11 ICP IA Process Overview Exploratory Discussions SSOI Development Request Authority to Develop (RAD) A&S is Process Owner Director of International Cooperation, USD(A&S)/IC Responsible for international cooperation policy & providing international agreement approvals to DoD Components

Negotiations Request for Final Approval (RFA) Timeline Highly dependent on international agreement complexity For simple Project Agreements (PAs), ~6-9 months from RAD to agreement signature (but it can be faster) Complex multilateral MOUs can take significantly longer Sign Agreement Execute ICP 12 ICP IA Process Roles DoD Component IPO Role PMO Role Reviews and coordinates

RAD and RFA within Component and through A&S/IC (incl. OSD, Interagency, and Congress) Develops the IA using the International Agreement (IA) Generator or PA template Staffs the IA for Component and higher level approvals Leads development of IA negotiation positions Serves as chief IA negotiator Prepares the draft SSOI (esp. program/funding and TSFD/EC-related content) Provides management and technical aspect of the IA Supports development of IA negotiating positions and negotiations for complex IAs DoD Component General Counsel Role Advice on RAD/RFA & IA legal and policy aspects

13 ICP IA Process Draft Text Development Generation of MOU Text DOD IA Generator Internal Component Staffing US-Only Document/System 14 DoD Intl Agreements Generator A&S-maintained MS Word document, normally referred to as IA Gen Standard and alternative text for common types of ICP IAs Conforms to ICP-related U.S. laws, regulations, and policies as well as many of those of most partner nations Two basic versions -- Non-Chapeau and Chapeau

Contains instructions for ICP IA development and negotiations and key DoD policy references associated with each IA Section 15 IA Gen Drafting Considerations (1) Many IA Gen sections are interdependent Some key IA Gen sections (e.g., Management, Financial, Contracting, Third Party Sales & Transfers) require a choice among alternative section texts DoDs opening position on ICP IA scope of work and cost sharing arrangements has a major impact on the choice of alternatives in these key sections The choice of alternative text in one of these sections impacts the alternative text choices in other sections 16 IA Gen Drafting Considerations (2) DoDs opening position on ICP IA scope of work and cost sharing must be aligned with DoD legal authorities cited in RAD SSOI Legal authority choices require use of specific text alternatives in key IA Gen sections (e.g., Management, Financial, Contracting, Project Equipment, Disclosure and Use of Information) ICP IA scope of work and cost sharing arrangements may change during negotiations if so, realignment between ICP IA negotiated text and RAD SSOI legal authorities may be affected

Legal authority choices also affect RFA and signature process timeline (e.g., 2350a certification, Sec 27 notification to Congress) 17 DAU IA&E and ICP IA Courses/Tools Todays IA NW Workshop focuses on selected aspects of ICP IA formulation, development, negotiation, and implementation For more comprehensive training on ICP IAs, please take advantage of the following ACQ 120, Fundamentals of Intl Acquisition, lessons 7, 8, and 9 DAU ICP Job Support Tool (JST) ACQ 340, Advanced International Management Workshop (AIMW), prior to actual IA development and negotiation 18 ACQ 340 Exercise Simulations OUSD(A&S) International Agreements (IA) Process Opportunity Identification & Assessment Request Authority to

Develop (RAD) Tues PM Tues AM Thurs PM DoD IA Review Exercise RAD/SSOI Review Exercise IA Schedule Planning Exercise Tues AM Request Final Approval (RFA)

International Agreement Negotiation Wed PM SSOI Drafting Exercise International Agreement Signature Cooperative Program Execution Fri AM International IA Negotiation Exercise DoD IA Drafting Exercise

19 Questions? 20

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