DoD Security Clearance and Contracts Guidebook
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“Any person who engages in the United States in the business of either manufacturing or exporting defense articles or furnishing defense services is required to register…” ITAR
“It is the contractor’s responsibility to comply with all applicable laws and regulations regarding export-controlled items.” DFAR
Companies that provide defense goods and services need to know the rules; the ITAR provides the answers.
ITAR $19.95
The International Traffic in Arms Regulation (ITAR) is the defense product and service provider’s guide book for knowing when and how to obtain an export license. This book provides answers to:
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PART 120—PURPOSE AND DEFINITIONS. 11
§ 120.1 General authorities and eligibility. 11
§ 120.2 Designation of defense articles and defense services. 13
§ 120.3 Policy on designating and determining defense articles and services. 13
§ 120.4 Commodity jurisdiction. 13
§ 120.5 Relation to regulations of other agencies. 15
§ 120.6 Defense article. 16
§ 120.7 Significant military equipment. 16
§ 120.8 Major defense equipment. 16
§ 120.9 Defense service. 16
§ 120.10 Technical data. 17
§ 120.11 Public domain. 17
§ 120.12 Directorate of Defense Trade Controls. 18
§ 120.13 United States. 18
§ 120.14 Person. 19
§ 120.15 U.S. person. 19
§ 120.16 Foreign person. 19
§ 120.17 Export. 19
§ 120.18 Temporary import. 20
§ 120.19 Reexport or retransfer. 20
§ 120.20 License. 20
§ 120.21 Manufacturing license agreement. 21
§ 120.22 Technical assistance agreement. 21
§ 120.23 Distribution agreement. 21
§ 120.24 Port Directors. 21
§ 120.25 Empowered Official. 21
§ 120.26 Presiding Official. 22
§ 120.27 U.S. criminal statutes. 22
§ 120.28 Listing of forms referred to in this subchapter. 23
§ 120.29 Missile Technology Control Regime. 24
§ 120.30 The Automated Export System (AES). 24
§ 120.31 North Atlantic Treaty Organization. 24
§ 120.32 Major non-NATO ally. 25
PART 121—THE UNITED STATES MUNITIONS LIST. 27
§ 121.1 General. The United States Munitions List. 27
Category I—Firearms, Close Assault Weapons and Combat Shotguns. 27
Category II—Guns and Armament 29
Category III—Ammunition/Ordnance. 30
Category IV—Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines 32
Category V—Explosives and Energetic Materials, Propellants, Incendiary Agents and Their Constituents 32
Category VI—Vessels of War and Special Naval Equipment. 41
Category VII—Tanks and Military Vehicles. 42
Category VIII—Aircraft and Associated Equipment 43
Category IX—Military Training Equipment and Training. 47
Category X—Protective Personnel Equipment and Shelters. 47
Category XI—Military Electronics. 49
Category XII. 50
Category XIII—Auxiliary Military Equipment 52
Category XIV—Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment 54
Category XV. 60
Category XVI—Nuclear Weapons, Design and Testing Related Items. 63
Category XVII—Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated 64
Category XVIII—Directed Energy Weapons. 64
Category XIX [Reserved]. 66
Category XX—Submersible Vessels, Oceanographic and Associated Equipment 66
Category XXI—Miscellaneous Articles. 66
§ 121.2 Interpretations of the U.S. Munitions List and the Missile Technology Control Regime Annex. 66
§ 121.3 Aircraft and related articles. 67
§ 121.4 [Reserved]. 67
§ 121.5 Apparatus and devices under Category IV(c). 67
§§ 121.6-121.7 [Reserved]. 67
§ 121.8 End-items, components, accessories, attachments ., parts, firmware, software and systems. 67
§ 121.9 [Reserved]. 68
§ 121.10 Forgings, castings and machined bodies. 68
§ 121.11 Military demolition blocks and blasting caps. 69
§§ 121.12-121.14 [Reserved]. 69
§ 121.15 Vessels of war and special naval equipment. 69
§ 121.16 Missile Technology Control Regime Annex. 70
Item 1—Category I. 71
Item 2—Category I. 71
Item 3—Category II. 72
Item 4—Category II. 73
Item 8—Category II. 75
Item 9—Category II. 75
Item 10—Category II. 76
Item 11—Category II. 77
Item 12—Category II. 78
Item 13—Category II. 79
Item 14—Category II. 79
Item 16—Category II. 79
Item 17—Category II. 80
Item 18—Category II. 80
PART 122—REGISTRATION OF MANUFACTURERS AND EXPORTERS. 83
§ 122.1 Registration requirements. 83
§ 122.2 Submission of registration statement. 83
§ 122.3 Registration fees. 85
§ 122.4 Notification of changes in information furnished by registrants. 86
§ 122.5 Maintenance of records by registrants. 87
PART 123—LICENSES FOR THE EXPORT OF DEFENSE ARTICLES. 89
§ 123.1 Requirement for export or temporary import licenses. 89
§ 123.2 Import jurisdiction. 90
§ 123.3 Temporary import licenses. 91
§ 123.4 Temporary import license exemptions. 91
§ 123.5 Temporary export licenses. 93
§ 123.6 Foreign trade zones and U.S. Customs and Border Protection bonded warehouses. 94
§ 123.7 Exports to warehouses or distribution points outside the United States. 94
§ 123.8 Special controls on vessels, aircraft and satellites covered by the U.S. Munitions List. 94
§ 123.9 Country of ultimate destination and approval of reexports or retransfers. 95
§ 123.10 Non-transfer and use assurances. 96
§ 123.11 Movements of vessels and aircraft covered by the U.S. Munitions List outside the United States. 97
§ 123.12 Shipments between U.S. possessions. 97
§ 123.13 Domestic aircraft shipments via a foreign country. 97
§ 123.14 Import certificate/delivery verification procedure. 98
§ 123.15 Congressional certification pursuant to Section 36(c) of the Arms Export Control Act. 99
§ 123.16 Exemptions of general applicability. 100
§ 123.17 Exports of firearms and ammunition. 103
§ 123.18 Firearms for personal use of members of the U.S. Armed Forces and civilian employees of the U.S. Government. 105
§ 123.19 Canadian and Mexican border shipments. 106
§ 123.20 Nuclear related controls. 106
§ 123.21 Duration, renewal, and disposition of licenses. 107
§ 123.22 Filing, retention, and return of export licenses and filing of export information. 107
§ 123.23 Monetary value of shipments. 111
§ 123.24 Shipments by U.S. Postal Service. 111
§ 123.25 Amendments to licenses. 112
§ 123.26 Recordkeeping requirement for exemptions. 112
§ 123.27 Special licensing regime for export to U.S. allies of commercial communications satellite components, systems, parts, accessories, attachments and associated technical data. 112
PART 124—AGREEMENTS, OFF-SHORE PROCUREMENT AND OTHER DEFENSE SERVICES 115
§ 124.1 Manufacturing license agreements and technical assistance agreements. 115
§ 124.2 Exemptions for training and military service. 116
§ 124.3 Exports of technical data in furtherance of an agreement. 118
§ 124.4 Deposit of signed agreements with the Directorate of Defense Trade 119
§ 124.5 Proposed agreements that are not concluded. 119
§ 124.6 Termination of manufacturing license. 120
§ 124.7 Information required in all manufacturing license. 120
§ 124.8 Clauses required both in manufacturing license. 120
§ 124.9 Additional clauses required only in manufacturing license . agreements. 121
§ 124.10 Nontransfer and use assurances. 123
§ 124.11 Congressional certification. 124
§ 124.12 Required information in letters of transmittal. 124
§ 124.13 Procurement by United States persons in foreign countries (offshore procurement). 126
§ 124.14 Exports to warehouses or distribution points outside the United. 128
§ 124.15 Special Export Controls for Defense Articles and Defense Services Controlled under Category XV: Space Systems and Space Launches. 131
§ 124.16 Special retransfer authorizations for unclassified technical data and defense services to member states of NATO and the European Union, Australia, Japan, New Zealand, and Switzerland. 133
PART 125—LICENSES FOR THE EXPORT OF TECHNICAL DATA AND CLASSIFIED DEFENSE ARTICLES 135
§ 125.1 Exports subject to this part. 135
§ 125.2 Exports of unclassified technical data. 135
§ 125.3 Exports of classified technical data and classified defense articles. 136
§ 125.4 Exemptions of general applicability. 137
§ 125.5 Exemptions for plant visits. 142
§ 125.6 Certification requirements for exemptions. 143
§ 125.8 [Reserved]. 144
§ 125.9 Filing of licenses and other authorizations for exports of classified technical data and classified defense articles. 144
PART 126—GENERAL POLICIES AND PROVISIONS. 145
§ 126.1 Prohibited exports, imports, and sales to or from certain countries. 145
§ 126.2 Temporary suspension or modification of this subchapter. 152
§ 126.3 Exceptions. 152
§ 126.4 Shipments by or for United States Government agencies. 152
§ 126.5 Canadian exemptions. 153
§ 126.6 Foreign-owned military aircraft and naval vessels, and the Foreign Military Sales program. 160
§ 126.7 Denial, revocation, suspension or amendment of licenses and other approvals. 162
§ 126.8 [Reserved]. 164
§ 126.9 Advisory opinions and related authorizations. 164
§ 126.10 Disclosure of information. 165
§ 126.11 Relations to other provisions of law. 166
§ 126.12 Continuation in force. 166
§ 126.13 Required information. 166
§ 126.14 Special comprehensive export authorizations for NATO, Australia, Japan, and Sweden. 168
§ 126.15 Expedited processing of license applications for the export of defense articles and defense services to Australia or the United Kingdom. 171
§§ 126.16-126.17 [Reserved]. 172
§ 126.18 Exemptions regarding intra-company, intra-organization, and intra-governmental transfers to employees who are dual nationals or third- country nationals. 172
PART 127—VIOLATIONS AND PENALTIES. 175
§ 127.1 Violations. 175
§ 127.2 Misrepresentation and omission of facts. 176
§ 127.3 Penalties for violations. 177
§ 127.4 Authority of U.S. Immigration and Customs Enforcement 177
§ 127.5 Authority of the Defense Security Service. 178
§ 127.6 Seizure and forfeiture in attempts at illegal exports. 178
§ 127.7 Debarment. 179
§ 127.8 Interim suspension. 180
§ 127.9 Applicability of orders. 181
§ 127.10 Civil penalty. 181
§ 127.11 Past violations. 181
§ 127.12 Voluntary disclosures. 182
PART 128—ADMINISTRATIVE PROCEDURES. 187
§ 128.1 Exclusion of functions from the Administrative Procedure Act. 187
§ 128.2 Administrative Law Judge. 187
§ 128.3 Institution of Administrative Proceedings. 187
§ 128.4 Default. 188
§ 128.5 Answer and demand for oral hearing. 189
§ 128.6 Discovery. 189
§ 128.7 Prehearing conference. 191
§ 128.8 Hearings. 191
§ 128.9 Proceedings before and report of Administrative Law Judge. 192
§ 128.10 Disposition of proceedings. 192
§ 128.11 Consent agreements. 192
§ 128.12 Rehearings. 193
§ 128.13 Appeals. 193
§ 128.14 Confidentiality of proceedings. 195
§ 128.15 Orders containing probationary periods. 195
§ 128.16 Extension of time. 196
§ 128.17 Availability of orders. 196
PART 129—REGISTRATION AND LICENSING OF BROKERS. 197
§ 129.1 Purpose. 197
§ 129.2 Definitions. 197
§ 129.3 Requirement to register. 197
§ 129.4 Registration statement and fees. 198
§ 129.5 Policy on embargoes and other proscriptions. 199
§ 129.6 Requirement for license/approval. 200
§ 129.7 Prior approval (license .). 200
§ 129.8 Prior notification. 202
§ 129.9 Reports. 202
§ 129.10 Guidance. 203
PART 130—POLITICAL CONTRIBUTIONS, FEES AND COMMISSIONS. 205
§ 130.1 Purpose. 205
§ 130.2 Applicant. 205
§ 130.3 Armed forces. 205
§ 130.4 Defense articles and defense services. 205
§ 130.5 Fee or commission. 205
§ 130.6 Political contribution. 206
§ 130.7 Supplier. 206
§ 130.8 Vendor. 207
§ 130.9 Obligation to furnish information to the Directorate of 207
§ 130.10 Information to be furnished by applicant 208
§ 130.11 Supplementary reports. 210
§ 130.12 Information to be furnished by vendor. 211
§ 130.13 Information to be furnished to applicant 212
§ 130.14 Recordkeeping. 212
§ 130.15 Confidential business information. 213
§ 130.16 Other reporting requirements. 213
§ 130.17 Utilization of and access to reports and records. 213
Index. 215
Frequently Used Acronyms. 231
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Other books you might consider for performing under classified contracts. The FSO certification library:
DoD Security Clearance and Contracts Guidebook
Insider’s Guide to Security Clearances
ISP Certification-The Industrial Security Professional Exam Manual
International Traffic In Arms Regulation ITAR
National Industrial Security Program Operating Manual NISPOM
