1998 Congressional Hearings
Special Weapons
Nuclear, Chemical, Biological and Missile


Miller: Export Control Process Remains Essential Part of U.S. National Security Focus

Prepared statement by Franklin C. Miller, Principal Deputy Assistant Secretary of Defense for Strategy and Threat Reduction, before the Senate Committee on Government Affairs, June 25, 1998

Mr. Chairman, I am here today in response to a request by the committee to discuss how the Office of the Secretary of Defense is organized to review the national security implications of the potential export of arms and dual-use goods, technologies and services from the United States under licenses granted by the Department of State and the Department of Commerce, respectively. In my opening remarks today, I would like to summarize my responsibilities within the Office of the Under Secretary of Defense for Policy since 1993 and outline the reporting chain during that time for the Defense Technology Security Administration, which has the principal responsibility with the department for developing and coordinating Department of Defense positions on exports controls.

From mid-1993 until September 1996 I served as the Principal Deputy Assistant Secretary of Defense for International Security Policy. Dr. Ashton B. Carter was the Assistant Secretary for International Security Policy. The portfolio of that office was broad and included: nuclear forces policy; counterproliferation policy, which includes export control policy; DoD-MoD interaction in Russia, Ukraine and Eurasia; and threat-reduction policy, including arms control and cooperative threat reduction.

From September 1996 until November 1997 I was the Acting Assistant Secretary of Defense for International Security Policy. The position of Assistant Secretary for International Security Policy was eliminated under [the] Defense Reform Initiative announced by Deputy Secretary of Defense [John J.] Hamre in December 1997. At that time the functions of the Office of International Security Policy were combined with other functions to form the Office of the Assistant Secretary of Defense for Strategy and Threat Reduction. I became a Principal Deputy Assistant Secretary of Defense for Strategy and Threat Reduction in November 1997. The Assistant Secretary is Dr. Edward L. Warner, III.

Mr. Chairman, DoD plays an active role in the development and implementation of U.S. export control policy. Within DoD, this role is undertaken by the Defense Technology Security Administration (DTSA). With a staff of less than 120, DTSA performs this role in a variety of ways including reviewing over 21,000 export licenses per year referred by the State and Commerce Departments, ensuring that items and technologies that are important to our security interests are adequately controlled by reviewing export control lists and regulations, and assisting U.S. government efforts to enforce export controls through safeguards. DTSA is an active and vociferous spokesman in the interagency process for protecting national security interests. DTSA is respected by other agencies and the exporting business community as an organization that brings solid technical analyses to bear on export control matters in a manner that is effective in protecting U.S. national security interests.

From 1993 until November 1997, the DTSA, which is a field organization of the Department of Defense, reported ultimately to the Assistant Secretary for International Security Policy. In the same manner, DTSA now reports to its successor, the Assistant Secretary for Strategy and Threat Reduction. Under the Defense Reform Initiative, DTSA is scheduled to become part of the new Defense Threat Reduction Agency reporting directly to the Under Secretary of Defense for Acquisition and Technology, with day-to-day oversight provided by the Director for Defense Research and Engineering. Policy oversight and direction will continue to be provided from the office of the Under Secretary of Defense for Policy, especially for export control matters primarily by the Assistant Secretary for Strategy and Threat Reduction.

When Dr. Carter reorganized the Office of International Security Policy shortly after he became Assistant Secretary in 1993, DTSA was assigned to report to Dr. Carter through the Deputy Assistant Secretary for Counterproliferation, Dr. Mitchel Wallerstein. This was done to provide greater day-to-day oversight of export control policy directly from International Security Policy. Dr. Wallerstein, with a more limited span of responsibility than Dr. Carter, could devote a greater part of his time to export control issues than Dr. Carter. When difficult or controversial issues arose, Dr. Carter -- and I, on occasion -- were consulted on the issues by Dr. Wallerstein in order for Dr. Carter to provide direction. When Dr. Carter departed in 1996 and I assumed the position of Acting Assistant Secretary, any controversial issues were brought to me by Dr. Wallerstein.

Following the Defense Reform Initiative's changes and until DTSA is moved to the Defense Threat Reduction Agency, DTSA reports to Dr. Warner through the Deputy Assistant Secretary of Defense for Cooperative Threat Reduction, Dr. Susan Koch, and then through me. In the reorganization, Dr. Koch assumed Dr. Wallerstein's responsibility for non-proliferation issues. Mr. David Tarbell, the Current Director of DTSA, assumed that position in August 1994.

Mr. Chairman, this concludes my summary of organizational and individual responsibilities for export controls within the Department of Defense and the role of the Department in protecting United States national security interests in the interagency export control process.

I will be pleased to answer questions by the members of the Committee.