DEFENSE LOGISTICS AGENCY

THE NATION’S COMBAT LOGISTICS SUPPORT AGENCY

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Introduction to Proper

Handling of DoD ExportControlled Technical 

Data

 August 25, 2020
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Overview

• This training is meant to provide prospective DLA suppliers with an

introductory understanding of the potential export controls and proper

handling requirements for DoD export-controlled technical data, to include

penalties for violating these requirements under U.S. Federal export control

regulations.

• At the completion of this training you will be informed on:

– DoD Distribution Statements and their restrictions

– What U.S. Federal Regulations govern the export controls of DoD exportcontrolled technical data

– What constitutes DoD export-controlled technical data

– Penalties for violating U.S. Federal export-control regulations

– Notification of and acknowledgement by certification that you the prospective

supplier understand your responsibilities to comply with U.S. Federal export

control regulations
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Training Topics

• Training topics include:

– Understanding DoD Distribution Statements

– Arms Export Control Act (AECA)

– Export Control Reform (ECR)

– Defining DoD export-controlled technical data

– Transfer Requirements for DoD Export-Controlled Technical Data

– Penalties for violating export-control laws and regulations

– Understanding and Notification of Export Control Compliance

– Certification Statement of Export Control Compliance
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Distribution Statements

• Purpose of DoD Distribution Statement on Technical Documents

– Establishes a standard framework and markings for managing, sharing, safeguarding, and

disseminating technical documents in accordance with policy and law.

– Enables document originators (controlling DoD Office) to signify to what extent technical

documents must be controlled.

• Applicability

– Newly created, revised, or previously unmarked classified and unclassified technical

documents generated or managed by all DoD-funded research, development, test, and

evaluation (RDT&E) programs, which are the basis of the DoD Scientific and Technical

Information Program

– Newly created engineering drawings, engineering data and associated lists, standards,

specifications, technical manuals, technical reports, technical orders, blueprints, plans,

instructions, computer software and documentation, catalog-item identifications, data

sets, studies and analyses, and other technical information that can be used or be adapted

for use to design, engineer, produce, manufacture, operate, repair, overhaul, or reproduce

any military or space equipment or technology concerning such equipment.

⁕ NOTE: The data may be in tangible form, such as a model, prototype, blueprint, photograph, plan, instruction, or an 

operating manual, or may be intangible, such as a technical service or oral, auditory, or visual descriptions.
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 Summary of Distribution Statements

• All newly created, revised, or previously unmarked classified and unclassified DoD

technical documents shall be assigned Distribution Statement A, B, C, D, E, or F

– DISTRIBUTION STATEMENT A. Approved for public release. Distribution is unlimited.

– DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies

only. Other requests for this document shall be referred to (insert controlling DoD office)

– DISTRIBUTION STATEMENT C. Distribution authorized to U.S. Government agencies

and their contractors (fill in reason) (date of determination). Other requests for this

document shall be referred to (insert controlling DoD office).

– DISTRIBUTION STATEMENT D. Distribution authorized to the Department of Defense

and U.S. DoD contractors only (fill in reason) (date of determination). Other requests

shall be referred to (insert controlling DoD office).

– DISTRIBUTION STATEMENT E. Distribution authorized to DoD Components only (fill

in reason) (date of determination). Other requests shall be referred to (insert controlling

DoD office)

– DISTRIBUTION STATEMENT F. Further dissemination only as directed by (inserting

controlling DoD office) (date of determination) or higher DoD authority.” Distribution

Statement F may be applied under rare and exceptional circumstances when specific

authority exists or when need-to-know must be verified.
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Summary of Distribution 

Statements Cont’d

• EXPORT CONTROL WARNING. All printed and electronic, including digital,

technical documents that are determined to contain export-controlled technical data

shall be marked with an export control warning. When it is technically infeasible to

use the entire statement, an abbreviated marking may be used, and a copy of the full

statement added to the “Notice To Accompany Release of Export-Controlled Data”

⁕ Note: While publications are being updated, export control warning statements may still 

reference the Export Administration Act of 1979 (Title 50 USC, App. 2401 et seq.) versus the 

new enactment of Export Control Reform (Title 50 USC, 4801-4851). 

⁕ For additional information related to Distribution Statements please refer to DoD Instruction 5230.24 

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523024p.pdf?ver=2018-11-08-120712-

090

Sample of Export Control Warning
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Arms Export Control Act

• Arms Export Control Act (AECA, 22 USC §2778)

– Provides the authority to control the export of defense articles and services, and charges

the President to exercise this authority. Executive Order 13637 delegates this statutory

authority to the Secretary of State.

• International Traffic in Arms Regulations (ITAR, 22 CFR §120-130)

– Implements the authorities of the AECA. These regulations are regularly updated and

revised to reflect change in the international political and security climate, as well as

technological development.

• United States Munitions List (USML, 22 CFR §121)

– Articles, services, and related technical data that are designated as defense articles or

defense services pursuant to sections 38 and 47(7) of the AECA constitute the USML.

• Directorate of Defense Trade Controls (DDTC)

– The Directorate of Defense Trade Controls (DDTC), Bureau of Political-Military Affairs,

in accordance with 22 U.S.C. §2778-2780 of the AECA and the ITAR (22 CFR §120-

130), is charged with controlling the export and temporary import of defense articles and

defense services covered by the USML.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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Export Control Reform

• Export Control Reform (ECR, 50 USC §4801 - 4851)

– Provide authority to regulate exports, to improve the efficiency of export regulation, and

to minimize interference with the ability to engage in commerce.

• Export Administration Regulation (EAR, 15 CFR §730-774)

– Regulations set forth in parts 730-774, inclusive, of Title 15 of the Code of Federal

Regulations, designed primarily to implement Export Control Reform

– The EAR are issued by the United States Department of Commerce, Bureau of Industry

and Security (BIS) under laws relating to the control of certain exports, reexports, and

activities.

• Commerce Control List (CCL, 15 CFR§774)

– A list of items under the export control jurisdiction of the Bureau of Industry and

Security, U.S. Department of Commerce. Note that certain additional items described in

part 732 of the EAR are also subject to the EAR. The CCL is found in Supplement No. 1

to part 774 of the EAR.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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Defining DoD Export-Controlled 

Technical Data

• DoD Export-Controlled Technical Data. recorded information, regardless of

the form or method of the recording, of a scientific or technical nature

(including computer software documentation) that is subject to U.S. Federal

export control regulations under the jurisdiction of the Department of State

(DoS) as [Technical Data, 22 CFR§120.10] and Department of Commerce

(DoC) as [Technology, 15 CFR§772.1]. The term does not include computer

software or data incidental to contract administration, such as financial

and/or management information.

• All Transfers of DoD export-controlled technical data must be conducted in

accordance with U.S. Federal export-control regulations.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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Transfer Requirements and Controls for 

DoD Export-Controlled Technical Data 

• Transfers of DoD export-controlled technical data by purchasers, bidders, or

transferees are subject to the requirements of the appropriate licensing

department or agency. In many cases, an export license or other

authorization may be required prior to transfer.

• With respect to DoD export-controlled technical data covered under the

USML, registration of the purchaser's, bidder's, transferee's business with

the DoS may also be required. It is the responsibility of the purchaser,

bidder, transferee to determine what the applicable requirements may be and

to obtain all necessary authorization or approvals.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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Transfer Requirements and Controls for 

DoD Export-Controlled Technical Data 

• Controls Tangible / Intangible Transfers. The United States and other key

supplier countries control the transfer of "technology" not in the public

domain that is necessary for the development, production, or use of

controlled commodities in the same ways that controls are maintained on

transfers of the commodities themselves. Furthermore, the United States

makes no legal distinction between "tangible" and "intangible" transfers of

controlled technology, the form that the technology takes and the means of

transfer is not relevant.

– These U.S. Federal export-controls also cover all forms of transfer, including emails, faxes, and face-to-face conversations. Under U.S. law, providing

controlled technology to a foreign person, whether within the U.S. or not, is

deemed to be equivalent to physically exporting that technology to the country

of the person's nationality.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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 Penalties for Violating the AECA

• AECA (22 USC §2778(c) Criminal violations; punishment)

– Any person who willfully violates any provision of this section, section 2779 of

this title, a treaty referred to in subsection (j)(1)(C)(i), or any rule or regulation

issued under this section or section 2779 of this title, including any rule or

regulation issued to implement or enforce a treaty referred to in subsection

(j)(1)(C)(i) or an implementing arrangement pursuant to such treaty, or who

willfully, in a registration or license application or required report, makes any

untrue statement of a material fact or omits to state a material fact required to be

stated therein or necessary to make the statements therein not misleading, shall

upon conviction be fined for each violation not more than $1,000,000 or

imprisoned not more than 20 years, or both.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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Penalties for Violating the ECR

• ECR (50 USC §4819 (b) Criminal Penalty)

– A person who willfully commits, willfully attempts to commit, or willfully conspires to commit, or

aids and abets in the commission of, an unlawful act described in subsection (a)-

(1) shall be fined not more than $1,000,000; and

(2) in the case of the individual, shall be imprisoned for not more than 20 years, or both.

• ECR (50 USC §4819 (c) Civil Penalty)

– (1) Authority

The Secretary may impose the following civil penalties on a person for each violation by that 

person of this subchapter or any regulation, order, or license issued under this subchapter, for each 

violation:

(A) A fine of not more than $300,000 or an amount that is twice the value of the transaction

that is the basis of the violation with respect to which the penalty is imposed, whichever is

greater.

(B) Revocation of a license issued under this subchapter to the person.

(C) A prohibition on the person's ability to export, reexport, or in-country transfer any items

controlled under this subchapter.

DISCLAIMER: This training is for introductory awareness only and does not take precedence over the regulatory requirements, instructions or

directions proscribed by the Department of State or Department of Commerce. Where information is unclear, conflicts or further clarification is

required, individuals taking this training should consult the Directorate of Defense Trade Controls at:

https://www.pmddtc.state.gov/?id=ddtc_public_portal_contact_us for ITAR related inquiries or the Bureau of Industry and Security at:

https://www.bis.doc.gov/index.php/about-bis/contact-bis for inquires related to the Export Administration Regulations.
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UNDERSTANDING AND 

NOTIFICATIONS

1. The use, disposition, export and re-export of this property is subject to all applicable U.S. Laws and Regulations, including but not limited to the Arms

Export Control Act (22 USC 2751 et seq.); Export Control Reform (50 USC 4801-4851); Executive Order 13222, as amended; International Traffic in

Arms Regulations (22 CFR 120 et seq.); Export Administration Regulations (15 CFR 730 et seq.); Foreign Assets Control Regulations (31 CFR 500 et

seq.) and the Espionage Act (18 USC 793 et seq.); which, among other things, prohibit:

a) A. The making of false statements and concealment of any material information regarding the use or disposition, export or re-export of the

property and

b) Any use, disposition, export or re-export of the property not permitted by applicable statute and regulation.

2. The submission of false or misleading information and/or concealment of any material facts regarding the use, disposition or export of this property may

constitute a violation of provisions of 18 USC 793/1001, 22 USC 2778/2779, 50 USC 4819. Sanctions for violations will be in conformity with U.S laws

and regulations (including Federal Acquisition Regulations and DoDI 2030.08) and may include the denial of U.S. export privileges and of any

participation in future U.S. Government contracts.

3. Transfers of USML and CCLI property by purchasers/bidders/transferees are subject to the requirements of the appropriate licensing department or

agency. In many cases, an export license or other authorization may be required. With respect to USML, registration of the purchaser's/bidder's/

transferee's business with the Department of the State may also be required. It is the responsibility of the purchaser/bidder/transferee to determine what

the applicable requirements may be and to obtain all necessary authorization or approvals.

4. When USML/CCLI property is transferred, the information in this form regarding the above laws and regulations must be passed to the subsequent

purchaser/receiver. Records of Resale in buyer's possession should be available for Trade Security Controls Office review, if requested.

5. The DD2345 number, Invitation For Bid and Sale/Exchange Contract number can be referenced when submitting an application for an export license or

other authorization to the Department of State for USML or Department of Commerce for CCLI.

6. The Government expects the Purchaser/Recipient to cooperate with all authorized Government representatives to verify the existence and condition of

USML/CCLI.
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Certification Statement of Export Control 

Compliance (To be signed by Data Custodian)

SIGNED BY TRANSFEREE OR BIDDER 1. I do certify that all information given in this Statement Regarding Disposition and Use of Property is true and correct to the best of my knowledge 

and belief and have not knowingly omitted any information which is inconsistent with this statement. I understand this statement will be referred 

to and be a part of the Military Critical Technical Data Agreement or contract of sale/exchange with the U.S. Government. I agree to submit a 

written request for amendment of this statement to the Approving Official prior to effecting any change of fact or intention from that stated herein

or in any prior amendment, whether occurring before or after the release of the commodities, and not to effect such changes without first receiving 

written approval of the Approving Official.

2. I acknowledge having been advised that the USML/CCLI property I purchased or have been granted access to is controlled by the U.S.

Government and in many cases cannot be transferred (exported, sold or given) to a foreign country, a non-U.S. Citizen/National or a nonPermanent US Resident without a valid State/Commerce Department export authorization. Should I transfer this property to a foreign country, a

non-U.S. Citizen/National or a non-Permanent US Resident, I will obtain any required authorization before making such transfers. I will not

transfer this property to countries, regimes and nationals targeted under the sanctions program administered by the U.S. Treasury Department's

Office of Foreign Assets Control.

3. Neither the applicant, corporate officers, directors or partners is:

A. The subject of an indictment for or has been convicted of violating any of the U.S. Criminal statutes enumerated in 22 CFR 120.27 since the

effective date of the Arms Export Control Act, Public Law 94-329, 90 Stat. 729 (June 30, 1976) ; or

B. Ineligible to contract with, or to receive, a license or other approval from any agency of the U.S. Government.

4. The person signing this Certification Statement of Export Control Compliance is (check all that apply):

 a citizen of the United States of America or

 a citizen of Canada or

 lawfully admitted to the United States for Permanent Residence and maintains such residence under the Immigration and Nationality Act, as

amended (8 USC 1101 (a), 20); or

 is an official of a foreign government entity in the United States and/or Canada.

CAGE Number:___________________________ COMPANY NAME:_________________________________________________________

________________________________________ ______________________________________________ ____________________

NAME (Type or Print) SIGNATURE of the DATA CUSTODIAN DATE SIGNED
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