TITLE 22\--Foreign Relations

CHAPTER I\--DEPARTMENT OF STATE

SUBCHAPTER M\--INTERNATIONAL TRAFFIC IN ARMS REGULATIONS

PART 120\--PURPOSE AND DEFINITIONS

**Section Contents**\
§ 120.1   General authorities and eligibility.\
§ 120.2   Designation of defense articles and defense services.\
§ 120.3   Policy on designating and determining defense articles and
services.\
§ 120.4   Commodity jurisdiction.\
§ 120.5   Relation to regulations of other agencies.\
§ 120.6   Defense article.\
§ 120.7   Significant military equipment.\
§ 120.8   Major defense equipment.\
§ 120.9   Defense service.\
§ 120.10   Technical data.\
§ 120.11   Public domain.\
§ 120.12   Directorate of Defense Trade Controls.\
§ 120.13   United States.\
§ 120.14   Person.\
§ 120.15   U.S. person.\
§ 120.16   Foreign person.\
§ 120.17   Export.\
§ 120.18   Temporary import.\
§ 120.19   Reexport or retransfer.\
§ 120.20   License.\
§ 120.21   Manufacturing license agreement.\
§ 120.22   Technical assistance agreement.\
§ 120.23   Distribution agreement.\
§ 120.24   Port Directors.\
§ 120.25   Empowered Official.\
§ 120.26   Presiding Official.\
§ 120.27   U.S. criminal statutes.\
§ 120.28   Listing of forms referred to in this subchapter.\
§ 120.29   Missile Technology Control Regime.\
§ 120.30   The Automated Export System (AES).\
§ 120.31   North Atlantic Treaty Organization.\
§ 120.32   Major non-NATO ally.

**Authority:**   Secs. 2, 38, and 71, Pub. L. 90--629, 90 Stat. 744 (22
U.S.C. 2752, 2778, 2797); 22 U.S.C. 2794; E.O. 11958, 42 FR 4311; E.O.
13284, 68 FR 4075; 3 CFR, 1977 Comp. p. 79; 22 U.S.C. 2651a; Pub. L.
105--261, 112 Stat. 1920.

**Source:**   58 FR 39283, July 22, 1993, unless otherwise noted.

##### § 120.1   General authorities and eligibility.

\(a\) Section 38 of the Arms Export Control Act (22 U.S.C. 2778)
authorizes the President to control the export and import of defense
articles and defense services. The statutory authority of the President
to promulgate regulations with respect to exports of defense articles
and defense services was delegated to the Secretary of State by
Executive Order 11958, as amended. This subchapter implements that
authority. By virtue of delegations of authority by the Secretary of
State, these regulations are primarily administered by the Deputy
Assistant Secretary for Defense Trade Controls and Managing Director of
Defense Trade Controls, Bureau of Political-Military Affairs.

(b)(1) *Authorized officials.* All authorities conferred upon the Deputy
Assistant Secretary for Defense Trade Controls or the Managing Director
of Defense Trade Controls by this subchapter may be exercised at any
time by the Under Secretary of State for Arms Control and International
Security or the Assistant Secretary of State for Political-Military
Affairs unless the Legal Adviser or the Assistant Legal Adviser for
Political-Military Affairs of the Department of State determines that
any specific exercise of this authority under this paragraph may be
inappropriate.

\(2\) In the Bureau of Political-Military Affairs, there is a Deputy
Assistant Secretary for Defense Trade Controls (DAS---Defense Trade
Controls) and a Managing Director of Defense Trade Controls
(MD---Defense Trade Controls). The DAS---Defense Trade Controls and the
MD---Defense Trade Controls are responsible for exercising the
authorities conferred under this subchapter. The DAS---Defense Trade
Controls is responsible for oversight of the defense trade controls
function. The MD---Defense Trade Controls is responsible for the
Directorate of Defense Trade Controls, which oversees the subordinate
offices described in paragraphs (b)(2)(i) through (b)(2)(iv) of this
section.

\(i\) The Office of Defense Trade Controls Management and the Director,
Office of Defense Trade Controls Management, which have responsibilities
related to management of defense trade controls operations, to include
the exercise of general authorities in this part 120, and the design,
development, and refinement of processes, activities, and functional
tools for the export licensing regime and to effect export
compliance/enforcement activities;

\(ii\) The Office of Defense Trade Controls Licensing and the Director,
Office of Defense Trade Controls Licensing, which have responsibilities
related to licensing or other authorization of defense trade, including
references under parts 120, 123, 124, 125, 126, 129 and 130 of this
subchapter;

\(iii\) The Office of Defense Trade Controls Compliance and the
Director, Office of Defense Trade Controls Compliance, which have
responsibilities related to violations of law or regulation and
compliance therewith, including references contained in parts 122, 126,
127, 128 and 130 of this subchapter, and that portion under part 129 of
this subchapter pertaining to registration;

\(iv\) The Office of Defense Trade Controls Policy and the Director,
Office of Defense Trade Controls Policy, which have responsibilities
related to the general policies of defense trade, including references
under this part 120 and part 126 of this subchapter, and the commodity
jurisdiction procedure under this subchapter, including under this part
120.

\(c\) *Eligibility.* Only U.S. persons (as defined in §120.15) and
foreign governmental entities in the United States may be granted
licenses or other approvals (other than retransfer approvals sought
pursuant to this subchapter). Foreign persons (as defined in §120.16)
other than governments are not eligible. U.S. persons who have been
convicted of violating the criminal statutes enumerated in §120.27, who
have been debarred pursuant to part 127 or 128 of this subchapter, who
are the subject of an indictment involving the criminal statutes
enumerated in §120.27, who are ineligible to contract with, or to
receive a license or other form of authorization to import defense
articles or defense services from any agency of the U.S. Government, who
are ineligible to receive export licenses (or other forms of
authorization to export) from any agency of the U.S. Government, who are
subject to Department of State Suspension/Revocation under §126.7(a)(1)
through (a)(7) of this subchapter, or who are ineligible under §127.7(c)
of this subchapter are generally ineligible. Applications for licenses
or other approvals will be considered only if the applicant has
registered with the Directorate of Defense Trade Controls pursuant to
part 122 of this subchapter. All applications and requests for approval
must be signed by a U.S. person who has been empowered by the registrant
to sign such documents.

\(d\) The exemptions provided in this subchapter do not apply to
transactions in which the exporter or any party to the export (as
defined in §126.7(e) of this subchapter) is generally ineligible as set
forth above in paragraph (c) of this section, unless an exception has
been granted pursuant to §126.7(c) of this subchapter.

\[58 FR 39283, July 22, 1993, as amended at 68 FR 7417, Feb. 14, 2003;
68 FR 51171, Aug. 26, 2003; 68 FR 57352, Oct. 3, 2003; 70 FR 34653, June
15, 2005; 71 FR 20536, Apr. 21, 2006\]

##### § 120.2   Designation of defense articles and defense services.

The Arms Export Control Act (22 U.S.C. 2778(a) and 2794(7)) provides
that the President shall designate the articles and services deemed to
be defense articles and defense services for purposes of this
subchapter. The items so designated constitute the United States
Munitions List and are specified in part 121 of this subchapter. Such
designations are made by the Department of State with the concurrence of
the Department of Defense. For a determination on whether a particular
item is included on the U.S. Munitions List *see* §120.4(a).

##### § 120.3   Policy on designating and determining defense articles and services.

An article or service may be designated or determined in the future to
be a defense article (see §120.6) or defense service (see §120.9) if it:

\(a\) Is specifically designed, developed, configured, adapted, or
modified for a military application, and

\(i\) Does not have predominant civil applications, and

\(ii\) Does not have performance equivalent (defined by form, fit and
function) to those of an article or service used for civil applications;
or

\(b\) Is specifically designed, developed, configured, adapted, or
modified for a military application, and has significant military or
intelligence applicability such that control under this subchapter is
necessary.

The intended use of the article or service after its export ( *i.e.* ,
for a military or civilian purpose) is not relevant in determining
whether the article or service is subject to the controls of this
subchapter. Any item covered by the U.S. Munitions List must be within
the categories of the U.S. Munitions List. The scope of the U.S.
Munitions List shall be changed only by amendments made pursuant to
section 38 of the Arms Export Control Act (22 U.S.C. 2778).

##### § 120.4   Commodity jurisdiction.

(a) The commodity jurisdiction procedure is used with the U.S.
Government if doubt exists as to whether an article or service is
covered by the U.S. Munitions List. It may also be used for
consideration of a redesignation of an article or service currently
covered by the U.S. Munitions List. The Department must provide notice
to Congress at least 30 days before any item is removed from the U.S.
Munitions List. Upon written request, the Directorate of Defense Trade
Controls shall provide a determination of whether a particular article
or service is covered by the U.S. Munitions List. The determination,
consistent with §§120.2, 120.3, and 120.4, entails consultation among
the Departments of State, Defense, Commerce and other U.S. Government
agencies and industry in appropriate cases.

\(b\) Registration with the Directorate of Defense Trade Controls as
defined in part 122 of this subchapter is not required prior to
submission of a commodity jurisdiction request. If it is determined that
the commodity is a defense article or defense service covered by the
U.S. Munitions List, registration is required for exporters,
manufacturers, and furnishers of such defense articles and defense
services (see part 122 of this subchapter), as well as for brokers who
are engaged in brokering activities related to such articles or
services.

\(c\) Requests shall identify the article or service, and include a
history of the product\'s design, development and use. Brochures,
specifications and any other documentation related to the article or
service shall be submitted in seven collated sets.

(d)(1) A determination that an article or service does not have
predominant civil applications shall be made by the Department of State,
in accordance with this subchapter, on a case-by-case basis, taking into
account:

\(i\) The number, variety and predominance of civil applications;

\(ii\) The nature, function and capability of the civil applications;
and

\(iii\) The nature, function and capability of the military
applications.

\(2\) A determination that an article does not have the performance
equivalent, defined by form, fit and function, to those used for civil
applications shall be made by the Department of State, in accordance
with this subchapter, on a case-by-case basis, taking into account:

\(i\) The nature, function, and capability of the article;

\(ii\) Whether the components used in the defense article are identical
to those components originally developed for civil use.

Note: The form of the item is its defined configuration, including the
geometrically measured configuration, density, and weight or other
visual parameters which uniquely characterize the item, component or
assembly. For software, form denotes language, language level and media.
The fit of the item is its ability to physically interface or
interconnect with or become an integral part of another item. The
function of the item is the action or actions it is designed to perform.

\(3\) A determination that an article has significant military or
intelligence applications such that it is necessary to control its
export as a defense article shall be made, in accordance with this
subchapter, on a case-by-case basis, taking into account:

\(i\) The nature, function, and capability of the article;

\(ii\) The nature of controls imposed by other nations on such items
(including Wassenaar Arrangement and other multilateral controls), and

\(iii\) That items described on the Wassenaar Arrangement List of
Dual-Use Goods and Technologies shall not be designated defense articles
or defense services unless the failure to control such items on the U.S.
Munitions List would jeopardize significant national security or foreign
policy interests.

\(e\) The Directorate of Defense Trade Controls will provide a
preliminary response within 10 working days of receipt of a complete
request for commodity jurisdiction. If after 45 days the Directorate of
Defense Trade Controls has not provided a final commodity jurisdiction
determination, the applicant may request in writing to the Director,
Office of Defense Trade Controls Policy that this determination be given
expedited processing.

\(f\) State, Defense and Commerce will resolve commodity jurisdiction
disputes in accordance with established procedures. State shall notify
Defense and Commerce of the initiation and conclusion of each case.

\(g\) A person may appeal a commodity jurisdiction determination by
submitting a written request for reconsideration to the Managing
Director of the Directorate of Defense Trade Controls. The Directorate
of Defense Trade Controls will provide a written response of the
Managing Director\'s determination within 30 days of receipt of the
appeal. If desired, an appeal of the Managing Director\'s decision can
then be made directly through the Deputy Assistant Secretary for Defense
Trade Controls to the Assistant Secretary for Political-Military
Affairs.

\[58 FR 39283, July 22, 1993, as amended at 71 FR 20536, Apr. 21, 2006\]

##### § 120.5   Relation to regulations of other agencies.

If an article or service is covered by the U.S. Munitions List, its
export is regulated by the Department of State, except as indicated
otherwise in this subchapter. For the relationship of this subchapter to
regulations of the Department of Energy and the Nuclear Regulatory
Commission, see §123.20 of this subchapter. The Attorney General
controls permanent imports of articles and services covered by the U.S.
Munitions Import List from foreign countries by persons subject to U.S.
jurisdiction (27 CFR part 447). In carrying out such functions, the
Attorney General shall be guided by the views of the Secretary of State
on matters affecting world peace, and the external security and foreign
policy of the United States. The Department of Commerce regulates the
export of items on the Commerce Control List (CCL) under the Export
Administration Regulations (15 CFR parts 730 through 799).

\[71 FR 20537, Apr. 21, 2006\]

##### § 120.6   Defense article.

*Defense article* means any item or technical data designated in §121.1
of this subchapter. The policy described in §120.3 is applicable to
designations of additional items. This term includes technical data
recorded or stored in any physical form, models, mockups or other items
that reveal technical data directly relating to items designated in
§121.1 of this subchapter. It does not include basic marketing
information on function or purpose or general system descriptions.

##### § 120.7   Significant military equipment.

(a) *Significant military equipment* means articles for which special
export controls are warranted because of their capacity for substantial
military utility or capability.

\(b\) Significant military equipment includes:

\(1\) Items in §121.1 of this subchapter which are preceded by an
asterisk; and

\(2\) All classified articles enumerated in §121.1 of this subchapter.

\[58 FR 39283, July 22, 1993, as amended at 62 FR 67275, Dec. 24, 1997\]

##### § 120.8   Major defense equipment.

Pursuant to section 47(6) of the Arms Export Control Act (22 U.S.C.
2794(6) note), *major defense equipment* means any item of significant
military equipment (as defined in §120.7) on the U.S. Munitions List
having a nonrecurring research and development cost of more than
\$50,000,000 or a total production cost of more than \$200,000,000.

##### § 120.9   Defense service.

(a) *Defense service* means:

\(1\) The furnishing of assistance (including training) to foreign
persons, whether in the United States or abroad in the design,
development, engineering, manufacture, production, assembly, testing,
repair, maintenance, modification, operation, demilitarization,
destruction, processing or use of defense articles;

\(2\) The furnishing to foreign persons of any technical data controlled
under this subchapter (see §120.10), whether in the United States or
abroad; or

\(3\) Military training of foreign units and forces, regular and
irregular, including formal or informal instruction of foreign persons
in the United States or abroad or by correspondence courses, technical,
educational, or information publications and media of all kinds,
training aid, orientation, training exercise, and military advice. (See
also §124.1.)

\(b\) \[Reserved\]

\[62 FR 67275, Dec. 24, 1997\]

##### § 120.10   Technical data.

(a) *Technical data* means, for purposes of this subchapter:

\(1\) Information, other than software as defined in §120.10(a)(4),
which is required for the design, development, production, manufacture,
assembly, operation, repair, testing, maintenance or modification of
defense articles. This includes information in the form of blueprints,
drawings, photographs, plans, instructions or documentation.

\(2\) Classified information relating to defense articles and defense
services;

\(3\) Information covered by an invention secrecy order;

\(4\) Software as defined in §121.8(f) of this subchapter directly
related to defense articles;

\(5\) This definition does not include information concerning general
scientific, mathematical or engineering principles commonly taught in
schools, colleges and universities or information in the public domain
as defined in §120.11. It also does not include basic marketing
information on function or purpose or general system descriptions of
defense articles.

\(b\) \[Reserved\]

\[58 FR 39283, July 22, 1993, as amended at 61 FR 48831, Sept. 17, 1996;
71 FR 20537, Apr. 21, 2006\]

##### § 120.11   Public domain.

(a) *Public domain* means information which is published and which is
generally accessible or available to the public:

\(1\) Through sales at newsstands and bookstores;

\(2\) Through subscriptions which are available without restriction to
any individual who desires to obtain or purchase the published
information;

\(3\) Through second class mailing privileges granted by the U.S.
Government;

\(4\) At libraries open to the public or from which the public can
obtain documents;

\(5\) Through patents available at any patent office;

\(6\) Through unlimited distribution at a conference, meeting, seminar,
trade show or exhibition, generally accessible to the public, in the
United States;

\(7\) Through public release ( *i.e.* , unlimited distribution) in any
form (e.g., not necessarily in published form) after approval by the
cognizant U.S. government department or agency (see also §125.4(b)(13)
of this subchapter);

\(8\) Through fundamental research in science and engineering at
accredited institutions of higher learning in the U.S. where the
resulting information is ordinarily published and shared broadly in the
scientific community. Fundamental research is defined to mean basic and
applied research in science and engineering where the resulting
information is ordinarily published and shared broadly within the
scientific community, as distinguished from research the results of
which are restricted for proprietary reasons or specific U.S. Government
access and dissemination controls. University research will not be
considered fundamental research if:

\(i\) The University or its researchers accept other restrictions on
publication of scientific and technical information resulting from the
project or activity, or

\(ii\) The research is funded by the U.S. Government and specific access
and dissemination controls protecting information resulting from the
research are applicable.

\(b\) \[Reserved\]

##### § 120.12   Directorate of Defense Trade Controls.

Directorate of Defense Trade Controls, Bureau of Political-Military
Affairs, Department of State, Washington, DC 20522--0112.

\[71 FR 20537, Apr. 21, 2006\]

##### § 120.13   United States.

*United States,* when used in the geographical sense, includes the
several states, the Commonwealth of Puerto Rico, the insular possessions
of the United States, the District of Columbia, the Commonwealth of the
Northern Mariana Islands, any territory or possession of the United
States, and any territory or possession over which the United States
exercises any powers of administration, legislation, and jurisdiction.

##### § 120.14   Person.

*Person* means a natural person as well as a corporation, business
association, partnership, society, trust, or any other entity,
organization or group, including governmental entities. If a provision
in this subchapter does not refer exclusively to a foreign person
(§120.16) or U.S. person (§120.15), then it refers to both.

##### § 120.15   U.S. person.

*U.S. person* means a person (as defined in §120.14 of this part) who is
a lawful permanent resident as defined by 8 U.S.C. 1101(a)(20) or who is
a protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means
any corporation, business association, partnership, society, trust, or
any other entity, organization or group that is incorporated to do
business in the United States. It also includes any governmental
(federal, state or local) entity. It does not include any foreign person
as defined in §120.16 of this part.

\[71 FR 20537, Apr. 21, 2006\]

##### § 120.16   Foreign person.

*Foreign person* means any natural person who is not a lawful permanent
resident as defined by 8 U.S.C. 1101(a)(20) or who is not a protected
individual as defined by 8 U.S.C. 1324b(a)(3). It also means any foreign
corporation, business association, partnership, trust, society or any
other entity or group that is not incorporated or organized to do
business in the United States, as well as international organizations,
foreign governments and any agency or subdivision of foreign governments
(e.g., diplomatic missions).

\[71 FR 20537, Apr. 21, 2006\]

##### § 120.17   Export.

(a) *Export* means:

\(1\) Sending or taking a defense article out of the United States in
any manner, except by mere travel outside of the United States by a
person whose personal knowledge includes technical data; or

\(2\) Transferring registration, control or ownership to a foreign
person of any aircraft, vessel, or satellite covered by the U.S.
Munitions List, whether in the United States or abroad; or

\(3\) Disclosing (including oral or visual disclosure) or transferring
in the United States any defense article to an embassy, any agency or
subdivision of a foreign government (e.g., diplomatic missions); or

\(4\) Disclosing (including oral or visual disclosure) or transferring
technical data to a foreign person, whether in the United States or
abroad; or

\(5\) Performing a defense service on behalf of, or for the benefit of,
a foreign person, whether in the United States or abroad.

\(6\) A launch vehicle or payload shall not, by reason of the launching
of such vehicle, be considered an export for purposes of this
subchapter. However, for certain limited purposes (see §126.1 of this
subchapter), the controls of this subchapter may apply to any sale,
transfer or proposal to sell or transfer defense articles or defense
services.

\(b\) \[Reserved\]

##### § 120.18   Temporary import.

*Temporary import* means bringing into the United States from a foreign
country any defense article that is to be returned to the country from
which it was shipped or taken, or any defense article that is in transit
to another foreign destination. Temporary import includes withdrawal of
a defense article from a customs bonded warehouse or foreign trade zone
for the purpose of returning it to the country of origin or country from
which it was shipped or for shipment to another foreign destination.
Permanent imports are regulated by the Attorney General under the
direction of the Department of Justice\'s Bureau of Alcohol, Tobacco,
Firearms, and Explosives (see 27 CFR parts 447, 478, 479, and 555).

\[71 FR 20537, Apr. 21, 2006\]

##### § 120.19   Reexport or retransfer.

*Reexport* or *retransfer* means the transfer of defense articles or
defense services to an end use, end user or destination not previously
authorized.

##### § 120.20   License.

*License* means a document bearing the word "license" issued by the
Directorate of Defense Trade Controls or its authorized designee which
permits the export or temporary import of a specific defense article or
defense service controlled by this subchapter.

\[71 FR 20537, Apr. 21, 2006\]

##### § 120.21   Manufacturing license agreement.

An agreement (e.g., contract) whereby a U.S. person grants a foreign
person an authorization to manufacture defense articles abroad and which
involves or contemplates:

\(a\) The export of technical data (as defined in §120.10) or defense
articles or the performance of a defense service; or

\(b\) The use by the foreign person of technical data or defense
articles previously exported by the U.S. person. (See part 124 of this
subchapter).

##### § 120.22   Technical assistance agreement.

An agreement (e.g., contract) for the performance of a defense
service(s) or the disclosure of technical data, as opposed to an
agreement granting a right or license to manufacture defense articles.
Assembly of defense articles is included under this section, provided
production rights or manufacturing know-how are not conveyed. Should
such rights be transferred, §120.21 is applicable. (See part 124 of this
subchapter).

##### § 120.23   Distribution agreement.

An agreement (e.g., a contract) to establish a warehouse or distribution
point abroad for defense articles exported from the United States for
subsequent distribution to entities in an approved sales territory (see
part 124 of this subchapter).

##### § 120.24   Port Directors.

*Port Directors of U.S. Customs and Border Protection* means the U.S.
Customs and Border Protection Port Directors at the U.S. Customs and
Border Protection Ports of Entry (other than the port of New York, New
York where their title is the Area Directors).

\[70 FR 50959, Aug. 29, 2005\]

##### § 120.25   Empowered Official.

(a) *Empowered Official* means a U.S. person who:

\(1\) Is directly employed by the applicant or a subsidiary in a
position having authority for policy or management within the applicant
organization; and

\(2\) Is legally empowered in writing by the applicant to sign license
applications or other requests for approval on behalf of the applicant;
and

\(3\) Understands the provisions and requirements of the various export
control statutes and regulations, and the criminal liability, civil
liability and administrative penalties for violating the Arms Export
Control Act and the International Traffic in Arms Regulations; and

\(4\) Has the independent authority to:

\(i\) Enquire into any aspect of a proposed export or temporary import
by the applicant, and

\(ii\) Verify the legality of the transaction and the accuracy of the
information to be submitted; and

\(iii\) Refuse to sign any license application or other request for
approval without prejudice or other adverse recourse.

\(b\) \[Reserved\]

##### § 120.26   Presiding Official.

*Presiding Official* means a person authorized by the U.S. Government to
conduct hearings in administrative proceedings.

##### § 120.27   U.S. criminal statutes.

(a) For purposes of this subchapter, the phrase *U.S. criminal statutes*
means:

\(1\) Section 38 of the Arms Export Control Act (22 U.S.C. 2778);

\(2\) Section 11 of the Export Administration Act of 1979 (50 U.S.C.
app. 2410);

\(3\) Sections 793, 794, or 798 of title 18, United States Code
(relating to espionage involving defense or classified information) or
§2339A of such title (relating to providing material support to
terrorists);

\(4\) Section 16 of the Trading with the Enemy Act (50 U.S.C. app. 16);

\(5\) Section 206 of the International Emergency Economic Powers Act
(relating to foreign assets controls; 50 U.S.C. 1705);

\(6\) Section 30A of the Securities Exchange Act of 1934 (15 U.S.C.
78dd--1) or section 104 of the Foreign Corrupt Practices Act (15 U.S.C.
78dd--2);

\(7\) Chapter 105 of title 18, United States Code (relating to
sabotage);

\(8\) Section 4(b) of the Internal Security Act of 1950 (relating to
communication of classified information; 50 U.S.C. 783(b));

\(9\) Sections 57, 92, 101, 104, 222, 224, 225, or 226 of the Atomic
Energy Act of 1954 (42 U.S.C. 2077, 2122, 2131, 2134, 2272, 2274, 2275,
and 2276);

\(10\) Section 601 of the National Security Act of 1947 (relating to
intelligence identities protection; 50 U.S.C. 421);

\(11\) Section 603(b) or (c) of the Comprehensive Anti-Apartheid Act of
1986 (22 U.S.C. 5113(b) and (c)); and

\(12\) Section 371 of title 18, United States Code (when it involves
conspiracy to violate any of the above statutes).

\(13\) Sections 3, 4, 5, and 6 of the Prevention of Terrorist Access to
Destructive Weapons Act of 2004, relating to missile systems designed to
destroy aircraft (18 U.S.C. 2332g), prohibitions governing atomic
weapons (42 U.S.C. 2122), radiological dispersal services (18 U.S.C.
2332h), and variola virus (18 U.S.C. 175b);

\(b\) \[Reserved\]

\[58 FR 39283, July 22, 1993, as amended at 71 FR 20537, Apr. 21, 2006\]

##### § 120.28   Listing of forms referred to in this subchapter.

The forms referred to in this subchapter are available from the
following government agencies:

\(a\) Department of State, Bureau of Political-Military Affairs,
Directorate of Defense Trade Controls, Washington, DC 20522--0112.

\(1\) Application/License for permanent export of unclassified defense
articles and related technical data (Form DSP--5).

\(2\) Application for registration (Form DSP--9).

\(3\) Application/License for temporary import of unclassified defense
articles (Form DSP--61).

\(4\) Application/License for temporary export of unclassified defense
articles (Form DSP--73).

\(5\) Non-transfer and use certificate (Form DSP--83).

\(6\) Application/License for permanent/temporary export or temporary
import of classified defense articles and related classified technical
data (Form DSP--85).

\(7\) Authority to Export Defense Articles and Defense Services sold
under the Foreign Military Sales program (Form DSP--94).

\(b\) Department of Commerce, Bureau of Industry and Security:

\(1\) International Import Certificate (Form
BIS--645P/ATF--4522/DSP--53).

\(2\) Shipper\'s Export Declaration (Form No. 7525--V).

\(3\) Department of Defense, Defense Security Cooperation Agency: Letter
of Offer and Acceptance (DD Form 1513).

\[58 FR 39283, July 22, 1993, as amended at 68 FR 61100, Oct. 27, 2003;
71 FR 20537, Apr. 21, 2006\]

##### § 120.29   Missile Technology Control Regime.

(a) For purposes of this subchapter, *Missile Technology Control Regime
(MTCR)* means the policy statement between the United States, the United
Kingdom, the Federal Republic of Germany, France, Italy, Canada, and
Japan, announced on April 16, 1987, to restrict sensitive
missile-relevant transfers based on the MTCR Annex, and any amendments
thereto;

\(b\) The term *MTCR Annex* means the Guidelines and Equipment and
Technology Annex of the MTCR, and any amendments thereto;

\(c\) *List of all items on the MTCR Annex.* Section 71(a) of the Arms
Export Control Act (22 U.S.C. §2797) refers to the establishment as part
of the U.S. Munitions List of a list of all items on the MTCR Annex, the
export of which is not controlled under section 6(l) of the Export
Administration Act of 1979 (50 U.S.C. app. 2405(l)), as amended. In
accordance with this provision, the list of MTCR Annex items shall
constitute all items on the U.S. Munitions List in §121.16 of this
subchapter.

##### § 120.30   The Automated Export System (AES).

The Automated Export System (AES) is the Department of Commerce, Bureau
of Census, electronic filing of export information. The AES shall serve
as the primary system for collection of export data for the Department
of State. In accordance with this subchapter U.S. exporters are required
to report export information using AES for all hardware exports. Exports
of technical data and defense services shall be reported directly to the
Directorate of Defense Trade Controls (DDTC). Also, requests for special
reporting may be made by DDTC on a case-by-case basis, (e.g.,
compliance, enforcement, congressional mandates).

\[68 FR 61100, Oct. 27, 2003\]

##### § 120.31   North Atlantic Treaty Organization.

*North Atlantic Treaty Organization (NATO)* is comprised of the
following member countries: Belgium, Bulgaria, Canada, Czech Republic,
Denmark, Estonia, France, Germany, Greece, Hungary, Iceland, Italy,
Latvia, Lithuania, Luxembourg, The Netherlands, Norway, Poland,
Portugal, Romania, Slovakia, Slovenia, Spain, Turkey, United Kingdom and
the United States.

\[70 FR 50959, Aug. 29, 2005\]

##### § 120.32   Major non-NATO ally.

*Major non-NATO ally* means a country that is designated in accordance
with §517 of the Foreign Assistance Act of 1961 (22 U.S.C. 2321k) as a
major non-NATO ally for purposes of the Foreign Assistance Act of 1961
and the Arms Export Control Act (22 U.S.C. 2751 *et seq.* ) (22 U.S.C.
2403(q)). The following countries have been designated as major non-NATO
allies: Argentina, Australia, Bahrain, Egypt, Israel, Japan, Jordan,
Kuwait, Morocco, New Zealand, Pakistan, the Philippines, Thailand, and
Republic of Korea. Taiwan shall be treated as though it were designated
a major non-NATO ally (as defined in section 644(q) of the Foreign
Assistance Act of 1961 (22 U.S.C. 2403(q)).

\[70 FR 50959, Aug. 29, 2005\]

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