U.S. Department of Commerce
FOREIGN TRADE STATISTICS: Your Key to Trade [Skip all navigation and go directly to page content]
[Go to the FTD MAIN page.]
[FTD Main Navigation] MAIN: About Foreign Trade | Data | A.E.S. | Regulations | Reference | Definitions | Schedule B | FAQs | Feedback | Search
[FTD Subject Navigation] AES: Getting Started | Document Library | Meetings and Presentations| Related Sites| Contact Us
[ADVERT: USATrade Online - Trade data online]

AES Mandatory Filing
Frequently Asked Questions

Contents:

9. Q: What are the 8 new USML data elements?
     
  A: DDTC Export License Number
DDTC Exemption Number
DDTC Registration Number
DDTC Significant Military Equipment Indicator
DDTC Eligible Party Certification Indicator
DDTC United States Munitions List (USML) Category Code
DDTC Unit of Measure Code
DDTC Quantity

     
   
DDTC Export License Number
     
For License Types DSP-05, DSP-61, DSP-73, and DSP-85, License number is found on License. For DSP-73s and DSP-85s, please omit the letter "T" or "C" which appears at the leftmost position of the license number on the paper license.
     
For License Type DSP-94 Foreign Military Sales (FMS):
    o Enter the FMS case number in license number field
    o Acceptable case number format is "AA-A-AAA" where A=alphanumeric character and '-' represents a dash
    o If case number is formatted differently, AES will reject the shipment transaction.
     
DDTC Exemption Number
     
An exemption in the International Traffic in Arms Regulations (ITAR) (CFR 120-130) serves as the written authorization from the Directorate of Defense Trade Controls (DDTC) to permit the export. Therefore, it is unnecessary to have any additional license or other written approval from DDTC.
     
The table below provides the specific ITAR citation (exemption number that exempts the shipment from the requirement for a license or other written authorization from the DDTC).
     
Using information provided by the DDTC registered exporter, select the appropriate exemption code from the table below. If you need further assistance in determining the correct code, contact DDTC in writing or request advice from individual licensing officers familiar with the commodities being exported. For addresses and telephone numbers go to http://www.pmdtc.org/contactus.htm.
     
Please note that the table below contains only a brief description of each ITAR exemption. Not all are normally applicable to import/export transactions made to/from the United States, and many have additional criteria that must be met. To determine whether your shipment can be made using any exemption identified below, please consult the ITAR directly. The ITAR can be found through the Government Printing Office, or online at http://www.pmdtc.org/reference.htm#ITAR.
     
DDTC ITAR Exemption Codes DDTC ITAR EXEMPTION CODE DESCRIPTION
123.4A1 22 CFR 123.4 (a) (1) Temporary import of U. S. - origin defense items for servicing, inspection, testing, calibration, repair, overhaul, reconditioning, or one-to-one replacement of defective items.
123.4A2 22 CFR 123.4 (a) (2) Temporary import of U.S. - origin defense item to be enhanced, upgraded, or incorporated into another item which the permanent export has been authorized by Directorate of Defense Controls.
123.4A3 22 CFR 123.4 (a) (3) Temporary import of U.S. - origin defense items for demonstration or marketing.
123.4A4 22 CFR 123.4 (a) (4) Temporary import of U.S. - origin defense items which have been rejected for permanent import by Treasury.
123.4A5 22 CFR 123.4 (a) (5) Temporary import of U.S. - origin defense items approved for import under Foreign Military Sales Program.
123.4B 22 CFR 123.4 (b) Temporary import but not subsequent export of item incorporated into another article.
123.6 22 CFR 123.6 From the United States to foreign trade zone or Customs bonded warehouse.
123.9E 22 CFR 123.9 (e) Re-export or retransfer of U.S. - origin items incorporated into foreign defense article to a government of a NATO country or the governments of Australia or Japan.
123.11B 22 CFR 123.11 (b) Vessel or aircraft does not enter territorial waters or airspace if no defense articles are carried as cargo.
123.12 22 CFR 123.12 Shipments between U.S. possessions.
123.13 22 CFR 123.13 Defense article on domestic air shipment via foreign country.
123.16B1 22 CFR 123.16 (b) (1) Defense articles in support of agreements.
123.16B2 22 CFR 123.16 (b) (2) Components or spare parts less than $500.
123.16B3 22 CFR 123.16 (b) (3) Packing cases for defense articles.
123.16B4 22 CFR 123.16 (b) (4) Models and mock-ups.
123.16B5 22 CFR 123.16 (b) (5) Temporary export for public exhibition, trade show, air show or related event if that article was previously licensed for public exhibition.
123.16B9 22 CFR 123.16 (b) (9) Temporary export of unclassified component, part, tool or test equipment to affiliate or facility owned or controlled by the U.S. person.
123.17A 22 CFR 123.17 (a) Components and parts for Category I (a) firearms not exceeding $100 wholesale.
123.17B 22 CFR 123.17 (b) Non-automatic Category I (a) firearms manufactured in or before 1898 or replica.
123.17C 22 CFR 123.17 (c) Temporary export of no more than three non-automatic Category I (a) firearms and no more than 1,000 cartridges.
123.17D 22 CFR 123.17 (d) Firearms for foreign persons brought in under 27 CFR 178.115 (d).
123.17E 22 CFR 123.17 (e) Not more than 1,000 cartridges of ammunition for non-automatic firearms for personal use.
123.18A1 22 CFR 123.18 (a) (1) Non-automatic firearms for servicemen's clubs for members of U.S. Armed Forces.
123.18A2 22 CFR 123.18 (a) (2) Non-automatic firearms for personal use by member of U.S. Armed Forces or civilian employee of Department of Defense.
123.18A3 22 CFR 123.18 (a) (3) Non-automatic firearms for personal use by U.S. Government employees.
123.18B 22 CFR 123.18 (b) Not more than 1,000 cartridges of ammunition for personal use by U.S. Government employees.
123.19 22 CFR 123.19 Canadian and Mexican border shipments.
124.2A 22 CFR 124.2 (a) Training in basic operation and maintenance of defense articles authorized for export to the same recipient.
124.2B 22 CFR 124.2 (b) Defense services performed by U.S. persons drafted into military force of a foreign nation.
124.2C 22 CFR 124.2 (c) Maintenance training or performance training to NATO countries, Australia, Japan, and Sweden.
124.3A 22 CFR 124.3 (a) Unclassified technical data within scope of an approved manufacturing license or technical assistance agreement.
124.3B 22 CFR 124.3 (b) Classified technical data in furtherance of an approved manufacturing license or technical assistance agreement.
125.2B 22 CFR 125.2 (b) Technical data for foreign filing of patent application not exceeding its domestic patent filing.
125.4B1 22 CFR 125.4 (b) (1) Technical data pursuant to official written request or directive of Department of Defense.
125.4B2 22 CFR 125.4 (b) (2) Technical data in furtherance of agreement approved under 22 CFR Part 124.
125.4B3 22 CFR 125.4 (b) (3) Technical data in furtherance of contract between exporter and U.S. Government agency that does not disclose design, development, production, or manufacture details of defense article.
125.4B4 22 CFR 125.4 (b) (4) Copies of technical data previously authorized for export to same recipient.
125.4B5 22 CFR 125.4 (b) (5) Technical data regarding basic operations, maintenance, and training to same recipient of lawfully exported defense article.
125.4B6 22 CFR 125.4 (b) (6) Technical data related to firearms not in excess of .50 caliber and ammunition not in excess of .50 caliber, not including design, development, production, or manufacturing details.
125.4B7 22 CFR 125.4 (b) (7) Technical data being returned to original source of import.
125.4B8 22 CFR 125.4 (b) (8) Technical data directly related to classified information which has been previously authorized for export to same recipient, not including design, development, production, or manufacturing details.
125.4B9 22 CFR 125.4 (b) (9) Technical data sent by U.S. corporation to a U.S. person employed by that corporation overseas or to a U.S. Government agency.
125.4B10 22 CFR 125.4 (b) (10) Unclassified technical data in U.S. by U.S. institution of higher learning to full-time foreign employee.
125.4B11 22 CFR 125.4 (b) (11) Exporter granted written exemption from Directorate of Defense Trade Controls for technical data pursuant to arrangement with Department of Defense, Department of Energy, or NASA.
125.4B12 22 CFR 125.4 (b) (12) Technical data exempt under 22 CFR 126.
125.4B13 22 CFR 125.4 (b) (13) Technical data for public release by cognizant U.S. Government agency or Directorate for Freedom of Information and Security Review.
125.4C 22 CFR 125.4 (c) Defense services and unclassified technical data to nationals of NATO countries, Australia, Japan, and Sweden for responding to written request from Department of Defense for quote or bid proposal.
125.5A 22 CFR 125.5 (a) Unclassified technical data during classified plant visit authorized by Directorate of Defense Trade Controls; approved government-to-government program; or U.S. Government agency having classification jurisdiction over classified defense article or classified technical data.
125.5B 22 CFR 125.5 (b) Classified technical data during plant visit approved by appropriate U.S. Government agency.
125.5C 22 CFR 125.5 (c) Unclassified technical data during plant visit approved by the Directorate of Defense Trade Controls.
126.3 22 CFR 126.3 Exceptional or undue hardship.
126.4A 22 CFR 126.4 (a) Temporary import or temporary export of defense article, technical data, or defense service by or for agency of U.S. Government.
126.4C 22 CFR 126.4 (c) Temporary import, temporary export, or permanent export of defense article, technical data, or defense service for end-use by U.S. Government agency in foreign country.
126.5A 22 CFR 126.5 (a) Temporary import and return to Canada of unclassified defense articles originating from Canada.
126.5B 22 CFR 126.5 (b) Permanent or temporary export of certain defense articles, related technical data, and defense services for end-use in Canada.
126.5C 22 CFR 126.5 (c) Defense service or technical data to Canada.
126.6A 22 CFR 126.6 (a) Defense article or technical data sold, leased, or loaned by Department of Defense to a foreign country or international organization.
126.6B 22 CFR 126.6 (b) Foreign military aircraft or naval vessel.
126.6C 22 CFR 126.6 (c) Defense article, technical data, or defense service sold, leased, or loaned by Department of Defense under Foreign Military Sales Program.
     
DDTC Registration Number
     
  Registration Number - also called Registrant Code - is assigned by DDTC. Before applying for licenses or using an exemption, exporters must first register with DDTC.
     
  If registration number has expired, AES will reject the shipment transaction.
     
  Filers can find this number in Block 2 of the State license.
     
  Examples of how to interpret the contents of Block 2 on the State license:
     
    o If box 2 contains the string "0106-12345" for a manufacturer/exporter, then the registration expires January 2006 and the registration code is M12345.
     
    o If box 2 contains the string "0505-1234" for a manufacturer/exporter, then the registration expires May 2005 and the registration number is M-1234.
     
    o If box 2 contains code "9999-3456" for a foreign embassy, then the registration code is F-3456.
     
  Examples of registration numbers:
    o M-1234 or M12345 where M = Manufacturer/Exporter
    o F-1234 or F12345 where F = Foreign Government official inside the U.S.
    o G-1234 or G12345 where G = U.S. Government Agency or employee acting in an official capacity
    o B-1234 or B12345 where B = One-time registration exceptions assigned only to individuals who are not in the business of import/export (generally, these are used for shipment of personal items which are subject to the ITAR).
     
  To obtain information on how to register go to http://www.pmdtc.org/registration.htm
     
DDTC Significant Military Equipment Indicator
     
  An indication that some or all of the articles to be exported warrant special export controls because of their capacity for substantial military utility or capability.
     
  Yes/No indicator.
     
  To determine whether your shipment contains Significant Military Equipment, refer to the ITAR.
     
  Significant Military Equipment includes items listed in ITAR 121.1 that are preceded by an asterisk or all classified articles listed in ITAR 121.1. Note: technical data directly related to the manufacture or production of SME defense articles is also considered SME.
     
  ITAR 121.1 lists items by USML Category. Thus it is helpful to know the USML Category of merchandise when referencing ITAR 121.1.
     
  USML Category is found in Block 11 (DSP-5), Block 14 (DSP-73) or Block 13 (DSP-85 & DSP-61) of the State License - usually printed in roman numerals.
    o Refer to State License near the commodity description.
    o Example:
   
COMMODITY
USML CAT.
XYZ Aerospace Communications Satellite
XV(a)
     
  Most ITAR exemptions cannot be used to export SME. Please refer to the ITAR before attempting export of SME under an exemption.
     
DDTC Eligible Party Certification Indicator
     
  A self-certification by the DDTC registered exporter that they can meet all the ITAR criteria to use the exemption and a certification by the DDTC registered exporter that all parties to the transaction are eligible to receive USML items under the ITAR.  
     
  Yes/No indicator.  
     
  Refer to ITAR 120.1c to determine whether a party is eligible to receive USML items.
     
  If you need further assistance with this indicator, contact the Directorate of Defense Trade Controls at 202-663-2700.
     
DDTC United States Munitions List (USML) Category Code
     
  USML Category Code is a means of identifying your export shipment
     
  Acceptable Values 01-18 and 20-21.  
     
  USML Category is found in Block 11 (DSP-5), Block 14 (DSP-73) or Block 13 (DSP-85 & DSP-61) of the State License - usually printed in roman numerals.
    o Refer to State License near the commodity description.
    o Example:
   
COMMODITY
USML CAT.
XYZ Aerospace Communications Satellite
XV(a)
    o For the above example, the USML Category Code is 15
     
DDTC Unit of Measure Code
     
  The DDTC Unit of Measure Code is the unit of measure for the article being shipped as stated on the license or other export authorization.
     
  This information should be provided on the license, unless the unit of measure is the commodity itself (i.e. 4 T-55 engines, 11 centerfire rifles). In those cases, simply use an appropriate Unit of Measure code ("Items", "Pieces", etc.)
     
  If you need further assistance in determining the correct code, contact the Directorate of Defense Trade Controls at 202-663-2700.
     
DDTC Quantity
  Number of units that correspond to the DDTC measure reported for this commodity.
     

 

 

FTD Web News


What is required for me to ship charity goods to Haiti?
From GLOBAL REACH: "In order to facilitate the movements of these goods, we offer the following guidance that applies to any goods not requiring a license, such as food, clothing, and medicines." (January 22, 2010)

Foreign Trade has GLOBAL REACH
Foreign Trade has just created and published its official blog, "Global Reach." Visit it to discuss the Foreign Trade Regulations, Export Filing (AES), Trade Data, and other trade related topics. Posts are current and relevant to you as the filer, exporter, data user, or curious blog reader. (January 5, 2010)

FTZ: Guidelines for Submtting Statistical Data (PDF) (1.8 MB)
Guidelines and best practices for fulfilling FTZ's statistical reporting requirements are now available.

NEW EXPORT TRAINING VIDEOS!!!
- Training videos on topics such as the Foreign Trade Regulations, AESDirect, NAFTA, Taxes/Tariffs, Commodities, etc. now available!

2009 Constant Dollar Data
- The Census Bureau identified a processing error that caused incorrect deflators to be applied to the revised data for 2009. The data have been corrected.

2009 DATA PRODUCT CHANGES
- U.S. Census Bureau will modify the structure of several data products to accommodate changing technology and user demand.

EXPORT COMPLIANCE SEMINARS AND WORKSHOPS
- The export environment has dramatically changed. Come and understand what it takes to remain compliant, aware and out of trouble.

2003 AES Option 4 Moratorium
Option 4 Filing Review Process Suspended

AES Compliance Best Practices:
Best Practices for maintaining AES Compliance are now available.

Related Party Database Application:
Time series RELATED PARTY data for specific commodities and countries.

ORDER AND DOWNLOAD FOREIGN TRADE DATA PRODUCTS:
- Online Order Form
- FTD DropBox
- Merchandise Trade Downloads

NEW Schedule B Search Engine:
It's new. It's flexible. It has more options.

NEWEST TRADE DATA!
- Get the basics!
- Learn more!


Source: FTDWebMaster, Foreign Trade Division, U.S. Census Bureau, Washington, D.C. 20233
Location: MAIN: AES:DOCUMENT LIBRARY
Created: [day] [month] [year]
Last modified: 13 July 2011 at 08:40:13 AM