References & Resources

D.1. References and Resources Overview. The following describes various references and resources as they relate to export control. Some information below includes addresses to websites with information that is continually updated. This is not intended to be an all inclusive list, but to highlight key references and resources that are available.

D.2. Descriptions of References and Resources. The references and resources for export control described below are organized by government departments and agencies both civilian and military.

1. Department of State (DOS). DOS concerns include the export of “defense articles and services” specifically those that are designed, modified, or engineered for military applications.
   1. Code of Federal Regulations (CFR), Title 22-Foreign Relations, Chapter 1 - Department of State, Subchapter M - International Traffic in Arms Regulations, Parts 120-130. This reference provides guidelines for ITAR. Chapter 5 of this enclosure provides information in regards to Export Controls under ITAR.
       
   2. U.S. Department of State, Directorate of Defense Trade Controls Homepage/ Compliance/Arms Export Control Act (AECA) Departments/Statutory Debarred Parties (https://www.pmddtc.state.gov/?id=ddtc_kb_article_page&sys_id=c22d1833dbb8d300d0a370131f9619f0). This is a list created by the by the DOS, Directorate of Defense Trade Control of persons (including entities and individuals who have been convicted of violating or conspiracy to violate the AECA). These persons are prohibited from participating directly or indirectly in the export of defense articles (including technical data) and defense services.
       
   3. U.S. Department of State, Directorate of Defense Trade Controls Homepage/Country Policies and Embargoes (https://www.pmddtc.state.gov/?id=ddtc_public_portal_country_landing). This DOS, Directorate of Defense Trade Control website includes certain “Country Polices and Embargoes Federal Register." It does not include all polices toward foreign countries for the export of defense articles and defense services.
       
2. Department of Defense. Similar to DOS, DOD concerns include the export of “defense articles and services” specifically those that are designed, modified, or engineered for military applications.
    
   1. Department of Defense Directive (DODD) 2040.2, International Transfers of Technology, Goods, Services, and Munitions. This Directive establishes policy, assigns responsibilities, and prescribes procedures for international transfer of defense-related technology, goods, services and munitions.
       
   2. DODD 3200.12, DOD Scientific and Technical Information (STI) Program (STIP). This Directive provides guidance on implementation of policies and principles of DOD STIP, the DOD Industry Independent Research and Development Program and for the DOD Domestic Technology Transfer Program.
       
   3. DOD 5200.2-R, Department of Defense Personnel Security Program DOD 5200.2-R contains direction and procedures that pertain to acceptance and retention of DOD military, civilian, consultant and contractor personnel and of granting such persons access to classified information or assignment to a sensitive position.
       
   4. DODD 5230.11, Disclosure of Classified Military Information to Foreign Governments and International Organizations. This Directive updates policy, responsibilities and procedures governing proposed disclosures of classified military information to foreign governments and international organizations. This document also discusses Controlled Unclassified Information (CUI). Although primarily concerned with classified military information, this Directive also mentioned some policies regarding CUI and defines it as “unclassified information to which access or distribution limitations have been applied in accordance with national laws, policies, and regulations of the originating country. It includes U.S. information that is determined to be exempt from public disclosure in accordance with DOD Directives 5230.25 and 5400.7 or that is subject to export controls in accordance with the ITAR or the EAR.” It could be marked with a distribution limitation statement.
       
   5. DODD 5230.20, Visits and Assignments of Foreign Nationals. Included in this Directive is guidance regarding granting access of CUI during visits by foreign nationals to DOD Components.
       
   6. DODD 5230.24, Distribution Statements on Technical Documents. This Directive updates policies and procedures for marking technical documents, including production, engineering and logistics information to denote the extent to which they are available for distribution, release, and dissemination without additional approvals or authorizations.
       
   7. DODD 5230.25, Withholding of Unclassified Technical Data from Public Disclosure. This Directive establishes policy, prescribes procedures and assigns responsibilities for the dissemination and withholding of technical data. This Directive implements rules for the application of 10 U.S.C. 130 (replaced 10 U.S.C. 140c) which provides statutory authority for withholding certain technical information that is subject to export controls from disclosure.
       
3. Department of the Navy (DON). DON is concerned with export controls as related to all DODDs mentioned above as well as those cited below, which provide further guidance specifically to DON personnel.
    
   1. SECNAVINST 5510.34A, Disclosure of Classified Military Information and Controlled Unclassified Information to Foreign Governments, International Organizations, and Foreign Representatives. This instruction establishes foreign disclosure procedures by DON personnel of classified military information (CMI) and CUI. It provides DON foreign disclosure policy and defines responsibilities. The Assistant Secretary of the Navy for Research, Development and Acquisition (ASN (RD&A)) is designated the Principal Disclosure Authority for the Navy. The ASN (RD&A) has delegated this authority to the Director, Navy International Programs Office (NIPO). The Director issues Delegation of Disclosure Authority Letters. The Director promulgates the Navy Foreign Disclosure Manual and training programs. Guidelines for foreign visits are established in this instruction.
       
   2. Department of the Navy Foreign Disclosure Manual. This manual provides DON foreign disclosure policy and procedures, delegates disclosure authority, and assigns responsibilities. Part II, Chapter 3 addresses export licenses; Part II, Chapter 11 addresses disclosure of documentary information; and Part II, Chapter 15 addresses disclosure of classified and controlled unclassified information to U.S. companies under foreign ownership, control or influence.
       
4. Department of the Treasury (DOT). DOT is concerned with administering and enforcing economic and trade sanctions based on U.S. foreign policy and national security goals. DOT, Office of Foreign Assets Control.
    
   1. CFR, Title 31 Money and Finance: Treasury, Chapter 3 Office of Foreign Assets Control, Department of the Treasury, Subtitle B - Regulations Relating to Money and Finance, Parts 500-585. These regulations include transactions involving designated foreign countries or their nationals.
       
   2. U.S. Department of Treasury, Office of Foreign Assets Control (OFAC), Sanctions Programs. (https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx). OFAC administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States. OFAC acts under Presidential national emergency powers, as well as authority granted by specific legislation, to impose controls on transactions and freeze assets under US jurisdiction. Descriptions of various sanction programs to include country-specific sanctions are included in this website.
       
   3. U.S. Department of Treasury, Office of Foreign Assets Control Specifically Designated National and Blocked Persons (https://www.treasury.gov/resource-center/sanctions/SDN-List/Pages/default.aspx). This is a list created by OFAC that is an integrated and comprehensive list of designated parties with whom U.S. persons are prohibited from providing services or conducting transactions and whose assets are blocked. The names on this list include persons designated under country-based and list-based economic sanctions programs, as well as individuals and entities designated under the various executive orders and statutes aimed at terrorism.
       
5. Department of Commerce (DOC). DOC is concerned with the export of all "dual-use" (defense and commercial use) commodities, software and technologies not under the jurisdiction of other agencies.
    
   1. CFR, Title 15 Commerce and Foreign Trade, Chapter VII, Bureau of Industry and Security, Department of Commerce, Subchapter C - Export Administration Regulations (EAR), Parts 730-. The EAR are issued by the U.S. Department of Commerce, Bureau of Industry and Security under laws relating to the control of certain exports, re-exports, and activities.
       
      1. Supplemental No. 4 to Part 744, “Entity List” lists certain entities subject to license requirements for specified items under this part 744 of the EAR. License requirements for these entities include exports, re-exports, and transfers (in-country) unless otherwise stated. This list of entities is revised and updated on a periodic basis in this Supplement by adding new or amended notifications and deleting notifications no longer in effect.
          
      2. Part 746, “Embargoes and Other Special Controls” implements broad based control for items and activities subject to the EAR imposed to implement U.S. government policies. Comprehensive controls and/or sanctions applicable to Cuba, Iraq, North Korea, Iran, Rwanda, and Syria are described.
          
   2. U.S. Department of Commerce, Bureau of Industry and Security, “Denied Persons List” (https://www.bis.doc.gov/dpl/default.shtm) The purpose of the Denied Persons List is to prevent the illegal export of dual-use items before they occur; investigate and assist in the prosecution of violators of the Export Administration Regulations (EAR) and inform and educate exporters, freight forwarders, and manufacturers of their enforcement responsibilities under the EAR.
       
   3. U.S. Department of Commerce, Bureau of Industry and Security, “Unverified List” (https://www.bis.doc.gov/enforcement/unverifiedlist/unverified_parties.html). The Unverified List includes names and countries of foreign persons who in the past were parties to a transaction with respect to which BIS could not conduct a pre-license check or a post-shipment verification for reasons outside of the U.S. Government’s control. Any transaction to which a listed person is a party will be deemed by BIS to raise a Red Flag with respect to such transaction within the meaning of the guidance set forth in Supplement No. 3 to 15 C.F.R. Part 732. The Red Flag; applies to the person on the Unverified List regardless of where the person is located in the country included on the list.
       
6. Department of Energy. References concerning nuclear material and export control are discussed below:
    
   1. CFR, Title 10 Commerce and Foreign Trade, Chapter I Nuclear Regulatory Commission, Subpart A - General Provisions, Part 110 Export and Import of Nuclear Equipment and Material. These regulations prescribe licensing, enforcement, and rulemaking procedures and criteria, under the Atomic Energy Act, for the export of nuclear equipment and material and the import of nuclear equipment and material. This reference also gives notice to all persons who knowingly provide to any licensee, applicant, contractor, or subcontractor, components, equipment, materials, or other goods or services, that relate to a licensee's or applicant's activities subject to this part, that they may be individually subject to NRC enforcement action.
       
   2. CFR, Title 10 Commerce and Foreign Trade, Chapter III Department of Energy, Subchapter I - Sales Regulations, Part 810 Assistance to Foreign Atomic Energy Activities. These regulations implement section 57b of the Atomic Energy Act which empowers the Secretary of Energy to authorize U.S. persons to engage directly or indirectly in the production of special nuclear material outside the United States. Their purpose is to:
       
      1. Indicate activities which have been generally authorized by the Secretary of Energy and thus require no further authorization;
          
      2. Indicate activities which require specific authorization by the Secretary and explain how to request authorization; and
          
      3. Explain reporting requirements for various activities.
          
7. General Services Administration (GSA)/Excluded Parties List System (EPLS). The GSA is concerned with disseminating information on parties that are excluded from receiving Federal contracts, certain subcontracts, and certain Federal financial and nonfinancial assistance and benefits. The EPLS (https://www.sam.gov/) is provided by GSA for the purpose of efficiently and conveniently disseminating information on parties that are excluded from receiving Federal contracts, certain subcontracts, and certain Federal financial and nonfinancial assistance and benefits.
    
8. United Nations Security Council (UNSC)/ United Nations Sanctions/Resolutions. The UNSC can take enforcement measures to maintain or restore international peace and security. Such measures range from economic and/or other sanctions not involving the use of armed force to international military action. The website https://www.un.org/sc/suborg/en/ provides an overview of UNSC Sanctions Committees as well as information specific to United Nations Resolutions.