Letters of Request · 1 of 3
Most descriptions of the process start with a letter of request. The manual does not. "The Foreign Military Sales (FMS) system begins with the pre-Letter of Request (pre-LOR) phase, which may entail the USG engaging with the partner to assist with activities such as LOR development" (SAMM C5.1.1).
That phase is optional and unbounded. "Pre-LOR work is not required for a partner to submit a LOR, and the type of pre-LOR activities will vary based on the partner and specific circumstances" (SAMM C5.1.1). It also has no clock: "While the pre-LOR phase does not have prescribed timeframes, SCOs should keep the relevant IAs and the DSCA (IOPS) CPD aware of discussions and planned milestones" (SAMM C5.1.2.1).
It begins on one of three triggers: a partner asking for help with a capability gap, a partner identifying money and asking how to spend it well, or the American office in country submitting an assessment request. It ends when a letter of request arrives (SAMM C5.1.1.1).
The work is requirement definition rather than salesmanship. Partners may ask for help assessing "their strategic demand, current capabilities, and gaps in operational requirements" before submitting anything (SAMM C5.1.2). The support runs to technical expertise, alignment with regional plans, and a gap analysis across doctrine, organization, training, materiel, leadership, personnel, facilities and policy.
Two of the listed considerations are unusually candid. One asks about political will to use the capability and the legal framework around it. Another asks about the ministry's capacity to sustain it (SAMM C5.1.2). A requirement failing either test produces an expensive case and an idle fleet.
The phase can also end without a sale. "IAs may opt to end pre-LOR discussions based on feasibility assessments" (SAMM C5.1.2.1).
One rule catches out partners running two procurement routes at once. "If the SCO becomes aware of the partner seeking to pursue a DCS option, they must stop work on any FMS case or Price and Availability/Rough Order of Magnitude development" (SAMM C5.1.2.2.1). The two routes are set out in government sale or direct commercial sale.
Some requests cannot move without a document the partner never sees. "The Country Team Assessment (CTA) presents the coordinated position of senior U.S. Embassy leadership in support of a proposed sale and provides key information necessary to evaluate and explain it" (SAMM C5.1.5).
It is required on four triggers. A request likely to cross the congressional notification threshold on cost needs one. So does a request that would introduce a new capability to the country, whatever it costs, one for articles of a sensitive nature, and one where the agency asks (SAMM C5.1.5). Where a system or capability is being introduced to a region for the first time, the combatant commander's concurrence is needed as well.
Twelve elements must be addressed. They include the reason the buyer wants the articles and how it intends to use them, and the appropriateness of the sale against legitimate security needs. They also cover the source of financing, the risk of adverse economic or political impact, and "The human rights, terrorism, and proliferation record of the proposed recipient and the potential for misuse of the defense articles in question" (SAMM Table C5.T1).
Two more are worth knowing about. One is "The availability of comparable systems from foreign suppliers" (SAMM Table C5.T1). The last asks what training would reduce the risk of the recipient inadvertently causing civilian harm, and whether it should be added to the request. Timing is the practical point: the assessment is drafted early so that it travels with the letter, and a request that needs one and arrives without it waits (SAMM C5.1.5).
There is no form. "Although no specific format is required for an LOR, it must be in writing and partner nations are strongly encouraged to work with SCOs to ensure LORs address the items identified using the Generic Letter of Request Checklist in Figure C5.F3. to avoid delays during the development of the Letter of Offer and Acceptance (LOA) document" (SAMM C5.2.1.1).
A conversation counts, provided somebody writes it down. "If the request is received verbally, a memorandum for record (MFR) must document the conversation and outline the required information" (SAMM C5.2.2).
Eight published guidelines say what a good letter contains. It gives enough detail for an accurate cost estimate, says which kind of response is wanted, and states the case value where the order is open ended. It names the proposed method of financing, any involvement by someone outside the requesting government, and the originator with a traceable reference number. Where possible it identifies the units intended to receive the equipment (SAMM Table C5.T2). That last item exists for vetting, and naming a service or a ministry is not enough.
A letter of request passes through two named states, and the difference between them governs how long everything takes.
The first is actionable, which means case development may begin. Thirteen mandatory criteria have to be met: the buyer is eligible, the article may be sold at all, the request came through proper channels, no sanction blocks an offer, and "The LOR is from a source with the authority to submit requests on behalf of the requesting country or international organization" (SAMM Table C5.T4A). The last criterion is the parallel negotiation rule: "Ensure the country is not in negotiation directly with a company to obtain the item via DCS" (SAMM Table C5.T4A).
There is an expectation rather than a deadline. "While no performance standard is set for this time period, IAs are encouraged to conduct additional research or follow-up with purchasers if an LOR does not reach actionable status within 30 days of receipt" (SAMM C5.2.5.2.2).
The second state is complete, which means everything needed to finish the offer is in hand. Seven further criteria apply, including the term of sale, any sole source request, any waiver request, and the test that matters most for pricing: "The request is specific enough to enable a responsible organization (e.g., a program office) to obtain all pricing data" (SAMM Table C5.T4B).
A buyer that revises its requirement after the letter is actionable can reset its own clock. Where the change is significant, the agency may enter a new actionable date, and the development standard runs from there (SAMM C5.2.5.3).
Seven changes count as significant. They include anything that breaks the actionable criteria, and a value increase that pushes a case over the congressional notification threshold or past a value already notified. They also cover country specific software needing integration, and sole source or capped pricing that restarts the pricing work (SAMM Table C5.T5).
The lesson is cheap to state and expensive to learn. Detail supplied before the letter goes in costs nothing. The same detail supplied afterwards restarts a clock that was already running. What comes back is set out in the three kinds of answer to a letter of request.
| Pre-LOR | The optional phase before a request is submitted, funded from the administrative surcharge. SAMM C5.1.1. |
|---|---|
| LOR | Letter of request, the written request that starts a case. No prescribed format. |
| CTA | Country team assessment, the embassy's coordinated written position on a proposed sale. |
| Actionable | The state at which case development may begin, set by thirteen criteria. |
| Complete | The state at which everything needed to finish the offer is in hand. |
Every statement above links to the document behind it. The full source list for this piece is on the sources page.
This page describes public United States government programs for general information. It is not legal, regulatory or procurement advice, and it does not address the facts of any particular case.
A request written well is a program that starts on time. Sentfore provides secure transport, protective security, facilities and life support around defense programs in difficult environments, and its principals have worked on overseas defense and security programs. Requirements can be sent through the contact page.