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the United States by foreign nationals, convenience or in satisfaction of secuunless otherwise expressly exempted in rity requirements. this subchapter (see § 125.11).

§ 125.11 General exemptions. (Dept. Reg. 108.605, 34 F.R. 12037, July 17, 1969, as amended at Dept. Reg. 108.615, 35

(a) Except as provided in § 126.01, disF.R. 3030, Feb. 14, 1970; Dept. Reg. 108.629,

trict directors of customs and postal 35 F.R. 19016, Dec. 16, 1970]

authorities are authorized to permit the § 125.05 Export of classified informa

export without a license of unclassified

technical data as follows: tion (data and equipment).

(1) If it is in published form and (a) Any request for authority to ex

subject to public dissemination by being: port classified information (data or

(i) Sold at newsstands and bookstores; equipment) by other than the cognizant (ii) Available by subscription or purdepartment or agency of the U.S. Gov- chase without restrictions to any person ernment shall be submitted to the De

or available without cost to any person; partment of State for approval. (See

(iii) Granted second class mailing $ $ 125.10 and 125.11 for exemptions.)

privileges by the U.S. Government; or, The application shall set forth all perti

(iv) Freely available at public nent information with full details of the

libraries. proposed transaction. (See § 125.21 for

(2) If it has been approved for public procedure.)

release by any U.S. Government depart(b) Classified information, as defined

ment or agency having authority to clasin § 125.02, which is approved by the De

sify information or material under Expartment of State for export shall be

ecutive Order 10501, as amended, and transferred or communicated only in ac

does not disclose the details of design, cordance with the requirements of the

production, or manufacture of any arms, Department of Defense Industrial Secu

ammunition, or implements of war on rity Manual relating to the transmission

the U.S. Munitions List. of classified information (and any other

(3) If the export is in furtherance of requirements imposed by cognizant U.S.

a manufacturing license or technical asdepartments and agencies).

sistance agreement approved by the De(c) The approval of the Department

partment of State in accordance with of State shall be obtained for the export

Part 124 of this subchapter. of classified information to be disclosed

(4) If the export is in furtherance of to foreign nationals either in connection

a contract with an agency of the U.S. with visits to foreign countries by U.S.

Government or a contract between an persons, or in connection with visits to

agency of the U.S. Government and forthe United States by foreign nationals,

eign persons, provided the contract calls unless the proposed export is expressly

for the export of relevant unclassified exempt under the provisions of this sub

technical data, and such data are being chapter (see § 125.11). There shall be no

exported only by the prime contractor. release of classified information in any

Such data shall not disclose the details manner or form to any foreign national

of development, engineering, design, except as otherwise expressly provided

production, or manufacture of any arms, in this subchapter.

ammunition, or implements of war on (d) All communications relating to a

the U.S. Munitions List. (This exemppatent application covered by a secrecy

tion does not permit the prime contracorder shall be addressed to the U.S.

tor to enter into subsidiary technical Patent Office. (See 37 CFR 5.11.)

assistance or manufacturing license [Dept. Reg. 108.605, 35 F.R. 12037, July 17,

agreements, or any arrangement which 1969, as amended by Dept. Reg. 108.615, 35

calls for the exportation of technical F.R. 3030, Feb. 14, 1970]

data without compliance with Part 124 EXEMPTIONS

of this subchapter.) § 125.10 Shipments by U.S. Government

(5) If it relates to firearms not in agencies.

excess of caliber .50 and ammunition for Exports of technical data by U.S. GOVernment agencies are exempt in accord

3 The burden for obtaining appropriate ance with Part 126 of this subchapter.

U.S. Government approval for the publicaThis exemption, however, shall not ap

tion of technical data falling within the ply when a U.S. Government agency, on

definition in § 125.01, including such data

as may be developed under other than U.S. behalf of a private individual or firm, Government contract, is on the person or acts as a transmittal agent either as a company seeking publication.

such weapons, except technical data con- (12) If the export is directly related taining advanced designs, processes, and to classified information, the export of manufacturing techniques.

which has been previously authorized to (6) If it consists of technical data, the same recipient, and does not disclose other than design, development, or pro- the details of design, production, or duction information relating to equip- manufacture of any arms, ammunition, ment, the export of which has been pre- or imple ats of war on the U.S. viously authorized to the same recipient. Munitions List.

(7) If it consists of operations, main- (b) Plant visits. Except as restricted tenance, and training manuals, and aids by the provisions of § 126.01 of this relating to equipment, the export of subchapter: which has been authorized to the same (1) No license shall be required for recipient.

the oral and visual disclosure of un(8) If it consists of additional copies classified technical data during the of technical data previously approved course of a plant visit by foreign nafor export to the same recipient.

tionals provided the data is disclosed in (9) If it consists solely of technical connection with a classified plant visit data being reexported to the original or the visit has the approval of a U.S. source of import.

Government agency having authority for (10) If the export is by the prime con- the classification of information of matractor in direct support and within the terial under Executive Order 10501, as technical and/or product limitations of amended, and the requirements of seca “U.S. Government approved project” tion V, paragraph 38(i) of the Industrial and the prime contractor so certifies. Security Manual are met. The Office of Munitions Control, Depart- (2) No license shall be required for ment of State, will verify, upon request, the documentary disclosure of unclasthose projects which are “U.S. Govern

sified technical data during the course ment approved”, and accord an exemp

of a plant visit by foreign nationals protion to the applicant who applies for such

vided it is a verbatim presentation of the verification

oral and visual data disclosed under suband exemption, where

paragraph (1) of this paragraph. appropriate, under this subparagraph.

(3) No Department of State approval (11) If the export is solely for the

is required for the disclosure of oral and use of American citizen employees of

visual classified information during the U.S. firms provided the U.S. firm certi

course of a plant visit by foreign nafies its overseas employee is a U.S. tionals provided the visit has been apcitizen and has a "need to know."

proved by the cognizant U.S. Defense

agency and the requirements of section * Not applicable to technical data relating V, paragraph 38(i) of the Defense Into Category VI(e) and Category XVI.

dustrial Security Manual are met. 5 Classified information may also be trans

[Dept. Reg. 108.605, 35 F.R. 12037, July 17, mitted in direct support of and within the

1969, as amended by Dept. Reg. 108.630, 35 technical and/or product limitations of such

F.R. 19995, Dec. 31, 1970] verified “U.S. Government approved projects” without prior Department of State approval $ 125.12 Canadian shipments. provided the U.S. party so certifies and com

District directors of customs and plies with the requirements of the Department of Defense Industrial Security Manual

postal authorities are authorized to perrelating to the transmission of such classi

mit the export of unclassified technical fied information (and any other require

data to Canada without an export liments of cognizant U.S. Government depart- cense, except when such technical data ments or agencies).

relate to the following: 6 Classified information may also be ex- (a) Nuclear weapons strategic deported to such certified American citizen

livery systems and all specifically deemployees without prior Department of State approval provided the U.S. party complies

signed components, parts, accessories, with the requirements of the Department of

attachments, and associated equipment Defense Industrial Security Manual relating

therefor; to the transmission of such classified infor- (b) Nuclear weapons design and test mation (and any other requirements of cog- equipment defined in Category ÅVI; nizant U.S. Government departments or (c) Naval nuclear propulsion equipagencies). Such technical data or information (classified or unclassified) shall not be

ment as defined in Category VI(e); released by oral, visual, or documentary

(d) Aircraft as defined in Category means to any foreign person.

VIII(a); and

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(e) Submersible and oceanographic vessels as defined in Category XX. (This exemption does not authorize the foreign manufacture of any arms, ammunition, or implements of war on the U.S. Munitions List. See Part 124 of this subchapter.) [Dept. Reg. 108.630, 35 F.R. 19995, Dec. 31, 1970] $ 125.13 Data on nuclear materials.

To the extent that technical data, the export of which are controlled by the Atomic Energy Commission under the Atomic Energy Act of 1954, as amended, are coextensive with technical data related to articles in Category VI(e), Category XVI, and Category XVIII, the provisions of this subchapter shall not apply.

PROCEDURES § 125.20 Export of unclassified techni

cal data. (a) General and visits. Unless exempted in $$ 125.10 or 125.11 of this subchapter, applications for the export or the disclosure of nonexempt unclassified technical data to foreign persons shall be made to the Department of State on Form DSP-5, accompanied by five copies of the data. In the case of visits, sufficient details of the proposed discussions shall be transmitted in quintuplicate for an adequate appraisal of the data in question.

(b) Patents. All requests for filing patent applications in a foreign country, and requests for filing amendments, modifications or supplements thereto, shall be directed to the U.S. Patent Office in accordance with 37 CFR Part 5. If the applicant complies with the regulations of the Patent Office, no approval of the Department of State is required unless the applicant seeks to export technical data exceeding that used to support a patent application in a foreign country. In such case an application shall be required to be submitted on form DSP-5 in accordance with the provisions of paragraph (a) of this section. (Dept. Reg. 108.605, 35 F.R. 12037, July 17, 1969, as amended by Dept. Reg. 108.615, 35 F.R. 3030, Feb. 14, 1970) $ 125.21 Export of classified informa

tion (data and equipment). Unless exempted in § 125.10 or 125.11, applications (from U.S. citizens only) for approval to export or disclose clas

sified information (data or equipment) to foreign nationals shall be submitted to the Department of State on form DSP85. When the application is for export of classified technical data only it shall be accompanied by five copies of the data to permit an evaluation of whether an export license may be issued. When the application is for export of classified equipment it shall be accompanied by five copies of suitable descriptive information to permit an evaluation of whether an export license may be issued. All classified material accompanying an application shall be annotated to show U.S. Government authority for its reproduction. (See Defense Industrial Security Manual, section I, paragraph 5.) [Dept. Reg. 108.629, 35 F.R. 19017, Dec. 16, 1970] § 125.22 Certification requirements.

An exporter in the United States claiming any exemption for the export of technical data in accordance with the provisions of $ 125.11, may do so by certifying that the proposed export is covered by the relevant paragraph(s) of that section. Such certification shall be made by marking the package or letter 22 CFR

125.11 *

* applicable,” identifying the specific paragraph(s) under which the exemption is claimed. $ 125.23 Filing of licenses for export of

unclassified technical data. DSP-5 licenses authorizing the export of unclassified technical data shall be presented to, and filed with the appropriate district director of customs or postmaster at the time of shipment or mailing. The district director of customs or postmaster shall endorse and transmit the licenses to the Office of Munitions Control, Department of State, in accordance with the instructions contained on the reverse thereof. (Dept. Reg. 108.615, 35 F.R. 3030, Feb. 14, 1970] § 125.24 Filing of licenses for export of

classified information (data and

equipment). DSP-85 licenses authorizing the export of classified data or classified equipment shall be forwarded by the Department of State to agents of the Department of Defense (Defense Supply Agency) to arrange for transmission in accordance with the Department of Defense Industrial Security Manual. The Department of State shall forward a copy of the

issued license to the applicant for his information. Upon completion of the export transaction the Defense Supply Agency shall return the license to the Department of State with endorsements in accordance with the instructions contained on the reverse thereof. (Dept. Reg. 108.615, 35 F.R. 3030, Feb. 14, 1970]

PART 126PROHIBITED SHIPMENTS,

TEMPORARY SUSPENSION OF
MODIFICATION OF REGULATIONS,
EXEMPTIONS, AND RELATION TO

OTHER PROVISIONS OF LAW Sec. 126.01 Prohibited shipments to or from cer

tain countries. 126.02 Temporary suspension or modifica

tion of regulations of the sub

chapter. 126.03 Waiver or exception in hardship

cases. 126.04 Shipments by U.S. Government

agencies. 126.05 Relation to other provisions of law.

AUTHORITY: The provisions of this Part 126 issued under sec. 414, as amended, 68 Stat. 848, 22 U.S.C. 1934; secs. 101 and 105, E.O. 10973, 26 F.R. 10469; sec. 6, Departmental Delegation of Authority No. 104, 26 F.R. 10608, as amended, 27 F.R. 9925, 28 F.R. 7231; Redelegation of Authority No. 104-3-A, 28 F.R. 7231.

SOURCE: The provisions of this Part 126 contained in Dept. Reg. 108.605, 34 F.R. 12039, July 17, 1969, unless otherwise noted. § 126.01 Prohibited shipments to

from certain countries. The policy of the United States is to deny licenses and other approvals for U.S. Munitions List articles destined for or originating in Albania, Bulgaria, Communist China, Cuba, Czechoslovakia, East Germany, Estonia, Hungary, Latvia, Lithuania, North Korea, Outer Mongolia, Poland, Rumania, Union of Soviet Socialist Republics, any of the area of Viet-Nam which is under de facto communist control, and to or from any other area where the shipment of Munitions List articles would not be in furtherance of world peace and the security and foreign policy of the United States. The exemptions provided in the regulations in this subchapter, except $ 125.11(a) (1) and (2) of this subchapter, do not apply to shipments destined for or originating in any of these proscribed countries or areas.

§ 126.02 Temporary suspension or mod.

ification of regulations of the sub

chapter. The Director, Office of Munitions Control, Department of State, is authorized to order the temporary suspension or modification of any or all of the regulations of this subchapter in the interest of furthering the objectives of world peace and the security and foreign policy of the United States. § 126.03 Waiver or exception in hard

ship cases. In bona fide cases showing exceptional and undue hardship, the Director, Office of Munitions Control, Department of State, is authorized to make an exception to the regulations of this subchapter after full review. f 126.04 Shipments by U.S. Government

agencies. The exportation of Articles on the U.S. Munitions List by any department or agency of the U.S. Government is not subject to the provisions of section 414 of the Mutual Security Act of 1954, as amended. A license to export such articles, th ore, is not req red when all aspects of the transaction are handled by a U.S. Government agency. A license shall be required, however, when a private person or forwarding agent is involved in any aspect of the transaction unless the consignor, consignee, and intermediate consignee (if any) are agencies of the U.S. Government and the exportation is covered by a U.S. Government bill of lading. This section does not authorize any government department or agency to export any items listed in § 121.01 of this subchapter, which are subject to restrictions by virtue of other statutory provisions. § 126.05 Relation to other provisions of

law. The provisions in this subchapter are in addition to, and are not in lieu of, any other provision of law or regulations respecting commerce in arms, ammunition, and implements of war, and technical data relating thereto.

or

PART 127_VIOLATIONS AND

PENALTIES Sec. 127.01 Violations in general. 127.02 Misrepresentation and concealment

of facts.

Sec. 127.03 Penalties for violations. 127.04 Penalties for violations relating to

Southern Rhodesia. 127.05 Authority of district directors of

customs. 127.06 Seizure and forfeiture in attempts

at illegal exports. AUTHORITY: The provisions of this Part 127 issued under sec. 414, as amended, 68 Stat. 848; 22 U.S.C. 1934; 18 U.S.C. 1001; 22 U.S.C. 401; secs. 101 and 105, E.O. 10973, 26 F.R. 10469; sec 6, Departmental Delegation of Authority No. 104, 26 F.R. 1068, as amended, 27 F.R. 9925, 28 F.R. 7231; and Redelegation of Authority No. 104-3-A, 28 F.R. 7231. The provisions of Part 127 regarding exports to Southern Rhodesia, issued under E.O. 11322, 32 F.R. 119; 59 Stat. 620, 22 U.S.C. 287c.

SOURCE: The provisions of this Part 127 contained in Dept. Reg. 108.605, 34 F.R. 12040, July 17, 1969, unless otherwise noted. § 127.01 Violations in general.

It shall be unlawful for any person to export or attempt to export from the United States any of those articles on the U.S. Munitions List without first having obtained a license therefor, unless written approval was obtained from the Department of State or an exemption from this requirement is authorized by this subchapter. § 127.02 Misrepresentation and conceal

ment of facts. (a) It shall be unlawful willfully to use, or attempt to use, for the purpose of exportation of U.S. Munitions List articles, any export or intransit control document which contains a false statement or misrepresents or conceals a material fact. Any such false statement, misrepresentation or concealment of material fact in such a document shall be considered, as made in a matter within the jurisdiction of a department or agency of the United States, in violation of section 1001 of title 18, United States Code and section 414 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1934).

(b) For the purpose of this section, the term export control document includes the following when used for the purpose of exportation, or attempted exportation of U.S. Munitions List articles:

(1) Applications for export or intransit license and supporting documents.

(2) Shippers export declarations.
(3) Invoices.
(4) Declarations of destination.
(5) Delivery verifications.

(6) Applications for temporary export license.

(7) Applications for registration.
(8) Purchase orders.
(9) Foreign import certificates.
(10) Bills-of-lading.
(11) Air way bills.

(12) Consignee-purchaser transaction statements.

(13) Nth country control statements. § 127.03 Penalties for violations.

Any person who willfully violates any provision of section 414 of the Mutual Security Act of 1954, as amended (22 U.S.C. 1934), or any rule or regulation issued under that section, or who willfully, in a registration or license application, 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 not more than $25,000, or imprisoned not more than 2 years, or both. § 127.04 Penalties for violations relat.

ing to Southern Rhodesia. Any person subject to the jurisdiction of the United States who, with regard to exports from the United States to Southern Rhodesia, willfully violates any provision of section 1(d), of Executive Order 11322 or any rule or regulation contained in this part, or who willfully in a registration or license application 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 not more than $10,000, or imprisoned not more than 10 years, or both. § 127.05 Authority of district directors

of customs. (a) District directors of customs are authorized to take appropriate action to insure observance of this subchapter as to the exportation, or the attempted exportation, of arms, ammunition, and implements of war, and technical data relating thereto, whether authorized by licenses or written approval issued under this subchapter, including, but not limited to, inspection of loading or unloading of carriers.

(b) Upon the presentation of a license or written approval to a customs officer, authorizing the exportation of arms, ammunition, and implements of war, and technical data relating thereto, the cus

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