§ 129.6 Procedures for obtaining approval. ( a ) All requests for approval of brokering activities must be made to the Directorate of Defense Trade Controls, be signed by an empowered official, and include the following information: ( 1 ) The applicant's name, address and registration code;
( 2 ) A certification on whether: ( i ) The applicant or the chief executive officer, president, vice presidents, secretary, partner, member, other senior officers or officials (e.g., comptroller, treasurer, general counsel), or any member of the board of directors is the subject of an indictment or has been otherwise charged (e.g., by criminal information in lieu of indictment) for, or has been convicted of, violating any of the U.S. criminal statutes enumerated in § 120.6 of this subchapter;
( ii ) The applicant or the chief executive officer, president, vice presidents, secretary, partner, member, other senior officers or officials (e.g., comptroller, treasurer, general counsel), or any member of the board of directors is ineligible to contract with, or to receive a license or other approval to import defense articles or defense services from, or to receive an export license or other approval from, any agency of the U.S. Government; and
( iii ) To the best of the applicant's knowledge, any other person involved in the brokering activities enumerated in the request for approval as defined in § 129.2 is the subject of an indictment or has been otherwise charged (e.g., charged by criminal information in lieu of indictment) for or has been convicted of violating any of the U.S. criminal statutes enumerated in § 120.6 of this subchapter, or is ineligible to contract with, or to receive a license or other approval to import defense articles or defense services from, or to receive an export license or other approval from, any agency of the U.S. Government.
( b ) The request for approval shall describe fully the brokering activities that will be undertaken, including: ( 1 ) The action to be taken by the applicant to facilitate the manufacture, export, import, or transfer of a defense article or defense service (which may be referred to as a “defense article or defense service transaction”);
( 2 ) The name, nationality, address, and place of business of all persons who may participate in the brokering activities;
( 3 ) A description of each defense article or defense service that may be involved, including: ( i ) The U.S. Munitions List (*see* § 121.1 of this subchapter) or U.S. Munitions Import List (*see* 27 CFR 447.21) category and sub-category for each article;
( ii ) The name or military nomenclature of each defense article;
( iii ) Whether the defense article is significant military equipment;
( iv ) Estimated quantity of each defense article;
( v ) Estimated U.S. dollar value of defense articles and defense services;
( vi ) Security classification; and
( vii ) End-user and end-use; and
( 4 ) A statement whether the brokering activities are related to a sale through direct commercial sale or under the U.S. Foreign Military Sales program or other activity in support of the U.S. Government.
( c ) The empowered official signing the request for approval shall include a certification that the request is complete and accurate.
( d ) If at the time of submission certain information required by paragraph (b) of this section is not yet available, this fact must be stated and explained in the certification required by paragraph (c) of this section. The Directorate of Defense Trade Controls will take any such explanation into account in deciding whether to approve the request.
( e ) The period of validity for an approval may not exceed four years.
[78 FR 52691, Aug. 26, 2013, as amended at 85 FR 3833, Jan. 23, 2020; 87 FR 16426, Mar. 23, 2022]