The
policy that establishes the guidelines for transfer of Army Modeling and
Simulation (M&S) systems/technology is outlined in Army Regulation 5-11,
chapter 8 (shown below).
Army
Regulation 5-11, Management of Army Models and Simulations
Chapter
8
Model
and Simulation Release
8-1.
Concept
M&S
is considered intellectual property. Accordingly, it is prohibited to place
M&S in the public domain. This chapter describes policies applicable to the
release of all Army M&S covered by this regulation. Policies to prescribe
the Foreign Military Sales (FMS) of M&S data are described in paragraph 8-8.
Procedures for the release of M&S data through other than FMS are described
paragraph 7-6. The factors to determine releasability (i.e., requirement,
technical competence, and security) and the levels of release authority are
listed in Appendix
B.
All requests must be initiated by a government organization, either foreign or
domestic. The procedure to be followed is determined by the category of the
M&S recipient. The three categories of M&S recipients are-
a.
Other U.S. government organizations;
b.
Contractors and Federally Funded Research and Development Centers (FFRDC); and
c.
Foreign governments and international organizations.
8-2.
Background
The
need to control the release of M&S becomes ever more important as the
technology matures. The Army has a responsibility to examine each release from
both a security and a legal/fiscal aspect. Many of today's M&S have weapon
system performance and force structure information directly embedded; therefore
a release request must be analyzed to determine if the requester has a valid
requirement and if the information is releasable. Additionally as software
techniques become more sophisticated, the need to safeguard our investment in
emerging technologies increases. For M&S that contain proprietary software,
guidance from the Contracting Officer and supporting legal office regarding the
legality of such a release must be sought.
8-3.
Release approval authority
For
release of M&S to other U.S. government agencies, U.S. contractors, and
FFRDCs, the release approval authority is the Major Army Command (MACOM)
commander or agency head of the organization that is the M&S proponent of
the requested M&S. Designation of release approval authority can be
delegated to lower levels as defined in appendix B, paragraph B-2. For release
of M&S to a foreign government or an international organization, the Deputy
Under Secretary of Army for Operations Research (DUSA (OR)) is the final release
approval authority; this will not be delegated to a lower level. For release of
M&S with multi-service proponency, release approval must be coordinated with
each Service concerned prior to release by the Army approval authority.
8-4.
Release to other U.S. Government agencies
a.
Requests to release Army M&S to other U.S.
Government agencies including inter- and intra-Service are made directly to the
Army M&S proponent organization. The M&S proponent and the
receiving organization will negotiate conditions of release, including any fees
associated with the transfer.
b.
The M&S proponent organization will obtain approval
from the MACOM release approval authority.
c.
After approval has been granted the M&S proponent
organization will prepare a Memorandum of Agreement (MOA), which states the
following minimum conditions, that the U.S. government organization receiving
the M&S will--
(1)
Not release it to third parties without written approval from the release
authority.
(2)
Use the M&S only for the purpose(s) stated in the MOA.
(3)
Abide by all configuration control procedures established by the Configuration
Manager.
(4)
Provide copies to the M&S proponent of any modifications or enhancements
made or proposed.
(5)
Return to the Configuration Manager or otherwise erase all code associated with
the M&S upon completion of the work for which the M&S was requested.
8-5.
Release to U.S. contractors and FFRDCs
a.
Requests to release Army M&S to a U.S. contractor
or FFRDC must be made by the government agency sponsoring the work of the U.S.
contractors or FFRDC. The request is made directly to the Army M&S proponent
organization. In the event the requesting organization is the same as the
proponent organization, the same procedures will be followed. Each request will
state the government's specific requirement for the contractor to have access to
the M&S and an assessment or impact of not releasing the M&S. Requests
for Army M&S will not be accepted directly from a contractor or FFRDC. If
the proponent requires reimbursement of costs or fees associated with the
release or transfer, these will be negotiated with the requesting organization
prior to requesting MACOM approval for transfer.
b.
The M&S proponent organization will obtain approval
from the MACOM release approval authority.
c.
After approval has been granted, the U.S. Government
organization sponsoring the contractor or FFRDC work will execute one of the
following--
(1)
A modification to the original contract stating the conditions under which the
M&S is released. The minimum conditions are in paragraph 8-5c (2).
(2)
An MOA with the M&S proponent that states the following minimum conditions,
that the contractor or FFRDC receiving the M&S will--
(a)
Not release it to
third parties without written approval from the release authority.
(b)
Use the M&S only
for the purpose(s) stated in the MOA.
(c)
Abide by all
configuration control procedures established by the Configuration Manager.
(d)
Provide copies to the
M&S proponent of any modifications or enhancements made or proposed.
(e)
Return to the
Configuration Manager or otherwise erase all code associated with the M&S
upon completion of the work for which the M&S was requested.
(f)
Acknowledge the U.S.
Government retains the rights to any M&S provided and to modifications or
enhancements developed by the contractor or FFRDC. The extent of these rights
will be specifically described in the agreement and reviewed by the supporting
legal officer.
8-6.
Release to media
Requests
for Army M&S information from journalists should be referred to the
appropriate MACOM or installation Public Affairs Officer (PAO) for coordination.
a.
PAOs, after coordination with appropriate agencies and
subject- matter experts, will assist journalists in obtaining information in a
manner that appropriately represents the U.S. Army.
b.
Release of information will be approved at the lowest
appropriate level.
c.
National-level media requests or those requests deemed
un-usual at the local level will be referred to the WEAPONS AND TECHNOLOGY TEAM,
OFFICE OF THE CHIEF OF PUBLIC AF-FAIRS, ROOM 2E637, THE PENTAGON, WASHINGTON, DC
20310-1500.
8-7.
Release to foreign governments and international organizations
a.
Release of Army M&S and data to foreign governments
and international organizations can be accomplished through one of the
following--
(1)
FMS.
(2)
Cooperative Research and Development (R&D) International Agreements/Data
Exchange Agreements/International Exchange Agreements (IA/DEA/IEA).
(3)
On a strict case-by-case basis, when neither of the above are applicable.
b.
Neither Army M&S nor data will be released directly
to foreign contractors. Requests for release to foreign contractors must be
initiated by the government or organizations requiring the Army M&S to
support an existing effort.
8-8.
Procedure for Foreign Military Sales (FMS
a.
A foreign government or international organization
interested in purchasing Army M&S or data through FMS may submit a request
for Price and Availability (P&A) data for preliminary planning or a Letter
of Offer and Acceptance (LOA) to the U.S. Army Security Assistance Command (USASAC),
Alexandria, VA. USASAC will--
(1)
Obtain a recommendation concerning the release of the re-quested M&S and/or
data from the M&S proponent. This recommendation must identify other
countries or international organizations to which this information has
previously been released, and include a system description of the requested
M&S and/or data and a Sensitivity of Technology Statement. The Sensitivity
of Technology Statement should include foreign disclosure approval from the
proponent security office; the classification level of the M&S and/or data
requested, and the requested M&S and/or data version number.
(2)
Provide this recommendation to the Deputy Under Secretary of the Army
(International Affairs) (DUSA (IA)) Directorate for Inter-national Development
and Security Assistance (SAUS-IA-DSA-C) with the request that approval to
release the M&S will be sought from the DUSA(OR) or approval for the release
of the data from the data proponent.
b.
SAUS-IA-DSA-C will coordinate the recommended sale with
other appropriate Headquarters, Department of Army (HQDA) elements, to include
as a minimum, Deputy Chief of Staff for Intelligence (DCSINT) (DAMI-POC) and
Office of the Secretary of the Army (OSA), and the Office of the General Counsel
(OGC). If the DUSA(OR) approves the release of the M&S or the proponent
approves the release of the data to the foreign purchaser, USASAC will be
advised by SAUS-IA-DSA-C that the P&A data or Letter of Agreement (LOA) may
be developed and provided to the foreign purchaser. An LOA must include notes,
which specify the following minimum conditions--
(1)
That the M&S/data will only be used for the purpose approved.
(2)
That the foreign purchaser will abide by all configuration control procedures
established by the Configuration Manager.
(3)
That the U.S. government will be provided copies of any modifications or
enhancements made or proposed to the Configuration Manager.
(4)
That the M&S or data will not be released to anyone who is not an officer,
employee, or agent of the purchaser, without the prior written consent of the
U.S. Government.
8-9.
Procedure to request the transfer of Army M&S through other than FMS
a.
All requests for non-FMS release of Army M&S should
be initiated by the foreign government or international organization and
submitted directly to the DUSA(OR), 102 ARMY PENTAGON,
ATTN: SAUS-OR, WASHINGTON, DC 20310-0102.
b.
Upon receipt by the DUSA(OR) the request will be
forwarded to the AMSO for action. AMSO will designate a release sponsor for the
purpose of coordinating concurrence with the organizations which have proponency
for and/or are the originator of the re-quested M&S. Any fees associate with
the M&S release will be negotiated by the release sponsor and the foreign
government, with participation by AMSO, as representative of the DUSA(OR).
Requests for M&S data will be handled separately and will follow the
procedures specified in paragraph 7-6.
c.
The release sponsor will first contact the M&S
proponent organization to obtain approval from the MACOM release approval
authority. The MACOM approval authority must obtain appropriate foreign
disclosure approval from the MACOM security office. d. If the request is
being made under an existing IA/DEA/IEA the release sponsor will then coordinate
with the Technical Project Officer (TPO) or appropriate Action Officer
designated in the IA/DEA/IEA. The TPO will provide written concurrence for
release if the--
(1)
M&S is releasable under the IA/DEA/IEA.
(2)
DEA/IEA DDL paragraph 5 clearly specifies this type of M&S will be released
to the requesting foreign government or that paragraph 6 does not state that
this type of M&S will not be released to the requesting foreign government.
e.
If the request falls outside the scope of an existing
IA/DEA/ IEA, the release sponsor obtains concurrence by forwarding the request
sequentially through--
(1)
U.S. ARMY MATERIEL COMMAND, INTERNATIONAL COOPERATIVE PROGRAMS ACTIVITY, ATTN:
AMXIP-OM, 5001 EISENHOWER AVE., ALEXANDRIA, VA 22333-0001.
(2)
DUSA(IA), DIRECTORATE FOR INTERNATIONAL DEVELOPMENT AND SECURITY ASSISTANCE,
INTERNATIONAL COOPERATION DIVISION, ATTN: SAUS-IA-DSC, 102 ARMY PENTAGON,
WASHINGTON, DC 20310-01023, WHO WILL COORDINATE WITH--
(a)
HQDA DEPUTY CHIEF OF
STAFF FOR INTELLIGENCE, 1000 ARMY PENTAGON, ATTN: DAMI-POC, WASHINGTON,
20310-1000.
(b)
HQDA OFFICE OF THE
GENERAL COUNSEL, 104 ARMY PENTAGON, ATTN: OSAGC, WASHINGTON, DC, 20310-0104.
f.
Once the process defined above is completed the package
is then returned to AMSO for final review and a recommendation for
approval/denial is sent to the DUSA(OR). AMSO will notify the re-lease sponsor
and the requesting government on the disposition of the request. If approval is
granted, the release sponsor will notify the above offices and forward the
release through prescribed Army/MACOM command channels/procedures for the
release of information to foreign governments.
