(ITAR) The ITAR, administered by DOS, controls the exports of goods and technical data on the United States Munitions List (USML), including certain items on the (MTCR) Annex. The USML includes 21 categories of enumerated defense articles and services that are subject to the ITAR and require a license or license exemption in order to be exported. The 21 categories are shown in for reference. To see the full list in detail, refer to . Table 1: ITAR United States Munitions List I – Firearms, Close Assault Weapons, and Combat Shotguns *XII – Fire Control, Range Finder, Optical and Guidance and Control Equipment II – Guns and Armament *XIII – Materials and Miscellaneous Articles III – Ammunition/Ordnance XIV – Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment *IV - Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs, and Mines *XV – Spacecraft and Related Articles *V – Explosives and Energetic Materials, Propellants, Incendiary Agents, and Their Constituents XVI – Nuclear Weapons Related Articles VI – Surface Vessels of War and Special Naval Equipment XVII – Classified Articles, Technical Data, and Defense Services Not Otherwise Enumerated VII – Ground Vehicles XVIII – Directed Energy Weapons *VIII – Aircraft and Related Articles *XIX - Gas Turbine Engines and Associated Equipment *IX – Military Training Equipment and Training XX – Submersible Vessels and Related Articles
8: Information Required for CEA Monthly Reports to HEA Control Number Authorization Destination Foreign End User AES/ACE Filing Number (If filing was not required, enter N/A) AES/ACE Filing Date Permanent or Temporary? Item Tech Data? (Y/N) Ship Date Return Date (if applicable)
9x515 or “600 series” ECCN regardless of value or destination, including exports to Canada; For all exports license exception Strategic Trade Authorization (STA); Yes No For all exports of commodities and mass market software subject to the EAR when the value of the commodities or mass market software classified under a single Schedule B Number (or Harmonized Tariff Schedule (HTS)) is over $2,500, except as exempted by the Foreign Trade Regulations (FTR) in 15 CFR §30 and referenced in paragraph (c) of this section; Yes No For all exports of items subject to the EAR that will be transshipped through Canada to a third destination, where the export would require EEI or license if shipped directly to the final destination from the United States (see 15 CFR 30.36(b)(2) of the FTR); Yes No For all items exported under authorization Validated (VEU); or Yes No For all exports of tangible items subject to the EAR where parties to the transaction, as described in §748.5(d) through (f) of the EAR, are listed on the Unverified List (supplement 6 to part 744 of the EAR), regardless of value or destination. Yes No For that fall under ECCNs that list CC Column 1 and 3 and RS Column 2 (see supplement no. 1 to part 738 of the EAR) as reasons for control and such items are for export, regardless of value, to India. Yes No For shipments EAR exceptions, excluding EAR license exception BAG and TMP : (B) Requiring a DOS, DDTC license under the ITAR Yes No (C) Subject to the ITAR, but exempt from license requirements. Yes No (D) Requiring a Department of Justice, Drug Enforcement Administration (DEA) export permit (21 CFR 1312). Yes No (E) Destined for a country listed in Country Group E:1 as set forth in Supplement 1 to 15 CFR 740. Yes No (F) Requiring an export license issued by any other federal Government agency. Yes No (G) Classified as rough diamonds under 6-digit Harmonized System (HS) subheadings 7102.10, 7102.21, and 7102.31 Yes No
4 An attendee roster of all foreign person participants has been generated. The roster should include, at minimum: name, nationality(s), and affiliation—all attendees must be accounted for. 5 A full list of foreign national attendees has been provided to the IVC, and approved through IdMAX for both on-site and off-site meetings with foreign persons at least two weeks in advance per NAII 1600.4, sections 2.5 and 3.6. 6 All U.S. participants have been provided a list of all foreign persons and their organizations at least two weeks in advance so they can also evaluate their export authorizations. 7 All required export authorization(s) are evaluated against the list of foreign persons to determine what information can be provided to each individual or organization. 8 Advance notification has been provided to foreign persons if they are not authorized to attend a particular session or an entire meeting; this is for planning purposes and to properly set expectations. 9 All materials for presentations and discussions have been reviewed, approved, and appropriately marked for each of the following types of materials: Export-controlled materials (reviewed and authorized by the ECS) STI materials (per the NPR 2200.2C; contact Center STI Manager for guidance) Non-STI materials (e.g., using NASA Form 1676; contact ECS for guidance) 10 Someone has been designated to make a record of the meeting. 11 For meetings with foreign persons conducted via teleconference or video teleconference using platforms such as WebEx, ViTS, Skype, etc. This meeting is not a teleconference or video teleconference. Go to Item 12. to the meeting, the host ensures that: There is a trusted agent at each location who will call in and be responsible for identifying and vetting attendees against the requirement(s) and authorization(s). The name and number of each trusted agent has been received by the host. The trusted agents are provided with written instructions to prevent the unauthorized release of export-controlled information. Available technology is used to the names and phone numbers of participants calling in to prevent rogue call-ins.
directly to the final destination from the United States (see 15 CFR 30.36(b)(2) of the FTR); For all items exported under authorization Validated End-User (VEU); or Yes No For all exports of tangible items subject to the EAR where parties to the transaction, as described in §748.5(d) through (f) of the EAR, are listed on the Unverified List (supplement 6 to part 744 of the EAR), regardless of value or destination. Yes No For items that fall under ECCNs that list CC Column 1 and 3 and RS Column 2 (see supplement no. 1 to part 738 of the EAR) as reasons for control and such items are for export, regardless of value, to India. Yes No For shipments under EAR exceptions, excluding EAR license exception BAG and TMP : (B) Requiring a DOS, DDTC license the ITAR Yes No (C) Subject to the ITAR, but exempt from license requirements. Yes No (D) Requiring a Department of Justice, Drug Enforcement Administration (DEA) export permit (21 CFR 1312). Yes No (E) Destined for a country listed in Country Group E: 1 as set forth in Supplement 1 to 15 CFR 740. Yes No (F) Requiring an export license issued by any federal Government agency. Yes No (G) Classified as diamonds under 6-digit HS subheadings 7102.10, 7102.21, and 7102.31 Yes No If value is greater than $2500 per Schedule B, licensable or Yes No Shipment to Puerto Rico or to U.S. Virgin Islands Yes No See below for examples of situations when AES filing is probably not required; this not an exhaustive list and Customs reserves the right to require AES filing for items that don’t normally require AES filing:
13 Execute this step when either a regulatory violation or a violation of the approval conditions is discovered by a NASA person pertaining to the use of an exemption or exception. “Immediately” after a NASA person discovers a regulatory violation or a violation of the approval conditions pertaining to the use of an export authorization, they will notify the CEA/ACEA in writing of the nature of the violation, along with relevant details. For completion by Requestor, if applicable In turn, the CEA/ACEA will “immediately” notify the HEA in writing (i.e., e-mail) of the nature of the violation, which includes relevant details. The CEA/ACEA includes the Control Number in the notification. Date CEA/ACEA was notified: Date HEA was notified in writing: For completion by CEA/ACEA 14 Date Case Closed (Transaction is complete and all EAR and NASA Requirements were met and completed, and documentation is on file.): Closure Comments: This CEA/ACEA signature signifies the case was properly closed: For completion by CEA/ACEA 15 Please attach all relevant documents below: Drag the desired files to the space below OR Insert > Object > Create from File > Browse > Select your file Note: Ensure that “Link to file” is unchecked, “Display as icon” is checked Number of Attachments: Checklist N: GOV 740.11(c) – Exports, reexports, and transfers (in-country) to agencies of cooperating governments or agencies of the North Atlantic Treaty Organization (NATO)
11 Execute this step when either a regulatory violation or a violation of the approval conditions is discovered by a NASA person pertaining to the use of an exemption or exception. “Immediately” after a NASA person discovers a regulatory violation or a violation of the approval conditions pertaining to the use of an exemption or exception, they will notify the CEA/ACEA in writing of the nature of the violation, along with relevant details. For completion by Requestor, if applicable In turn, the CEA/ACEA will “immediately” notify the HEA in writing (i.e., e-mail) of the nature of the violation, which includes relevant details. The CEA/ACEA includes the Control Number in the notification. Date CEA/ACEA was notified: Date HEA was notified in writing: For completion by CEA/ACEA 12 Date Case Closed (Transaction is complete and all EAR and NASA Requirements were met and completed, and documentation is on file.): Closure Comments: This CEA/ACEA signature signifies the case was properly closed: For completion by CEA/ACEA 12 Please attach all relevant documents Drag the desired files to the space below OR Insert > Object > Create from File > Browse > Select your file Note: Ensure that “Link to file” is unchecked, “Display as icon” is checked Number of Attachments: Click here to enter text
13 Execute this step when either a regulatory violation or a violation of the approval conditions is discovered by a NASA person pertaining to the use of an exemption or exception. “Immediately” after a NASA person discovers a regulatory violation or a violation of the approval conditions pertaining to the use of an export authorization, they will notify the CEA/ACEA in writing of the nature of the violation, along with relevant details. For completion by Requestor, if applicable In turn, the CEA/ACEA will “immediately” notify the HEA in writing (i.e., e-mail) of the nature of the violation, includes relevant details. The CEA/ACEA includes the Control Number in the notification. Date CEA/ACEA was notified: Date HEA was notified in writing: For completion by CEA/ACEA 14 Date Case Closed (Transaction is complete and all EAR and NASA Requirements were met and completed, and documentation is on file.): Closure Comments: This CEA/ACEA signature signifies the case was properly closed: For completion by CEA/ACEA 15 Please attach all relevant documents below: Drag the desired to the space below OR Insert > Object > Create from File > Browse > Select your file Note: Ensure that “Link to file” is unchecked, “Display as icon” is checked Number of Attachments: