OMB
APPROVAL NO. ####-#### EXPIR.00…0
ATION
DATE: XX/XX/XXXX
U.S.
Department of State
Instructions
for Preparing and Submitting a DS-2032 Statement of Registration
Form Within the
Defense
Export Control and Compliance System Registration (DECCS
Registration): Statement of Registration
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General
Notes
ITAR
refers to the International Traffic in Arms Regulations (22 CFR
Parts 120-130).
Entities
with shared ownership or control (e.g., subsidiaries and
controlled affiliates) generally may not register separately.
For
purposes of completing the DS-2032 Statement of Registration
Form, for “foreign person” use the definition in the
ITAR.
For
purposes of completing the DS-2032 Statement of Registration
Form, for “U.S. person” use the definition in the
ITAR.
Foreign
telephone numbers listed on the application must include the full
international dialing code (including country and city code, if
applicable).
All
relevant documentation must be provided with the DS-2032
Statement of Registration Form at the time of submission.
All
supporting documentation must be uploaded in Block 11 at the time
of submission.
Applicants
can upload supporting documentation when the case status
indicates “Awaiting Analyst Review.” In addition,
supporting documentation may also be uploaded by requesting a
Return Without Action (RWA).
Registration
fees may only be paid electronically via DECCS Registration. You
can find your payment in your DECCS Registration Dashboard.
Review
the application information carefully as some changes in
information contained in this application must be reported
promptly in accordance with the ITAR (see 22 CFR 122.4(a)).
For
assistance in completing the DS-2032 Statement of Registration
Form, contact the Directorate of Defense Trade Controls (DDTC)
Response Team at 202-663-1282 or by email at
[email protected].
For
assistance in navigating DECCS and other technical-related issues
(e.g., OKTA Verify), contact the DECCS Help Desk at 202-663-2838
or by email at [email protected].
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1.
General Information
Provide
the following general information about the applicant.
Applicant
is a U.S. Person
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Indicate
whether the applicant meets the ITAR definition of a “U.S.
Person.”
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2.
Registration Information
Provide
the following information about the registration.
Registration
Action
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Specify
the registration action being taken.
If
Applicant desires to opt
in to DDTC
confirming their DDTC registration status” then select
Applicant opt-in box
in new, renewal, or amendment.
If
Applicant desires to opt
out from
DDTC confirming
their DDTC registration status” then select Application
opt-out box in renewal or amendment.
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New
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Select
for a new registration where the applicant has never had a ag
registration with DDTC.
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Renewal
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Select
when renewing an existing registration or when adding a new
registration type during renewal (e.g., adding Broker
registration type to an existing Manufacturer registration).
An applicant may include an amendment when renewing their
registration.
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Amendment
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Select
when making changes or adding a new registration type to a
registration that is not due for renewal. An applicant may also
submit amendment(s) when renewing their registration. All
applicable changes must be provided on the form. Required
supporting documentation, previously provided in Block 11, must
be updated if affected by the changes. An amendment may not be
used to renew a registration.
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Request
Early Cancellation of Registration
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Request
Early Cancellation of Registration
Cancel
entire Registration (all types/codes) with DDTC
Cancel
certain registration type(s).
Early
Cancellation Reason
Cancellation
Summary
Acknowledgement
of Cancellation
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Select
if the applicant is cancelling the entire registration (All
Registration Types/Codes) with the DDTC or cancelling certain
registration type(s).
When
selecting “Cancel entire Registration (all types/codes)
with DDTC,” applicant is cancelling its entire
registration with the DDTC.
When
selecting “Cancel certain registration type(s),”
applicant is cancelling certain registration type(s).
Select
the applicable reason for cancelling the applicant’s
entire registration or certain registration type(s). If
applicant selects “Other,” provide an explanation
in the text box.
Provide
a summary of business reasons for the cancellation of the
applicant’s entire registration or certain registration
type(s).
Read
the terms of the registration cancellation disclaimer and click
acknowledge.
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Registration
Type
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Specify
the type of registration being applied for, renewed, or
amended. More than one may be specified.
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Manufacturer
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Select
if engaged within the United States in the business of
manufacturing defense articles. Manufacturers who do not
engage in exporting must nevertheless register. This option is
only available if the block for Applicant
is a U.S. Person
is checked “Yes.”
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Exporter
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Select
if engaged within the United States in the business of
exporting or temporarily importing defense articles or
furnishing defense services. This option is only available if
the block for Applicant
is a U.S. Person
is checked “Yes.”
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Broker
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Select
if engaged in brokering activities as identified in the ITAR,
unless exempt from registration. Registration is generally a
precondition for the issuance of a broker license for brokering
activities or the use of exemptions. Brokers may not obtain
export licenses. To obtain an export license, a U.S. broker
must also be registered as an exporter.
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FMS
Freight Forwarder (Exporter)
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Select
if engaged as a U.S. freight forwarder under the Foreign
Military Sales (FMS) program. This option is only available if
the block for Applicant
is a U.S. Person
is checked “Yes.”
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One
Time Exemption
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Select
if not in the business of manufacturing, exporting, temporarily
importing, brokering and/or furnishing defense articles and
defense services and requesting an exemption from the
requirement to pay registration fees for the purpose of
carrying out a single transaction requiring registration under
the ITAR. This option is only available if the block for
Applicant
is a U.S. Person
is checked “Yes.”
Provide
the following information relevant to the applicant’s One
Time Exemption: Make/Model of the Product, Manufacturer of
Product, USML Category, Quantity of Product, and Dollar Value
of Product.
In
the summary box, provide a brief description and justification
of the One Time Exemption transaction. When the fields are
completed, select ‘Add’. You may list additional
products to the transactions as needed by selecting ‘Add’.
Read the terms of the One Time Exemption disclaimer and click
acknowledge.
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U.S.
Government
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Select
if a government official (acting in an official U.S. government
agency capacity) may apply for export licenses or use
established license exemptions. This option is only available
if the block for Applicant
is an U.S. Person
is checked “Yes.”
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Foreign
Government
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Select
if a government official (acting in an official foreign embassy
capacity) needs to allow a foreign embassy in the United States
ability to apply for export licenses, use established license
exemptions, and/or designate an FMS Freight Forwarder
(Exporter) and/or delete an FMS Freight Forwarder when the
contract expires.
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FMS
Freight Forwarder (Exporter): Authorized Countries
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If
Registration
Type
is “FMS Freight Forwarder (Exporter),” enter the
country the FMS Freight Forwarder has been authorized to
support as a U.S. applicant, listed subsidiary, and/or listed
controlled affiliate. If an authorization is cancelled or
otherwise lapses, FMS freight forwarders must update the
registration to reflect the change. If the FMS Freight
Forwarder (Exporter) has more than one authorized country to
list, select Add
to enter the additional countries. The FMS Freight Forwarder
should confirm with the applicable Embassy that they have
already submitted their registration application prior to
submitting a request to add [the authorized country]. The FMS
Freight Forwarder needs to use the foreign embassy registration
number for clearing shipments not their own registration number
because they operate under a power of attorney on behalf of the
foreign embassy. If the foreign embassy registration has
lapsed, then FMS Freight Forwarder must notify the foreign
embassy to submit their registration renewal and once issued,
FMS Freight Forwarder may use the foreign embassy registration
number for clearing shipments.
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Foreign
Government: Designate an FMS Freight Forwarder
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If
Registration
Type
is “Foreign Government,” and the foreign government
desires to designate an FMS Freight Forwarder, then check the
“Designate an FMS Freight Forwarder” box and
complete the applicable fields (specified below under “Foreign
Government: Specific Instructions for “Designate an FMS
Freight Forwarder””). Select Add
to
designate additional FMS freight forwarders.
Each
applicable Embassy must designate a DDTC registered U.S. FMS
Freight Forwarder (Exporter) for their FMS transactions. The
applicable Embassy should confirm U.S. FMS Freight Forwarder is
registered with DDTC prior to designation and notify the
designated U.S. FMS freight forwarder once the applicable
Embassy has submitted their registration to add the U.S. FMS
Freight Forwarder. The U.S.FMS Freight Forwarder (Exporter)
registrations will be returned or held pending receipt of a
designation of each identified country. Designations received
by an Embassy prior to DDTC registration of the U.S. FMS
Freight Forwarder may be held pending receipt of a related
application from U.S. FMS Freight Forwarder for up to five
business days.
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Foreign
Government: Specific Instructions for the “Designation or
deletion of an FMS Freight Forwarder”
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If
Designate
an FMS Freight Forwarder (Exporter)
is checked, enter the legal name of the registered U.S. FMS
Freight Forwarder.
If
the designated U.S. FMS Freight forwarder is not the U.S.
applicant, but rather a subsidiary or controlled affiliate
listed in the registration, then the applicable Embassy must
specify both the designated U.S. FMS Freight Forwarder and the
U.S. applicant’s legal name.
If
known, enter the U.S. FMS Freight Forwarder’s
registration code and contract duration. Foreign Government
must delete U.S. FMS Freight Forwarder when contract expires by
selecting the U.S. FMS Freight Forwarder and selecting the
delete button and then submit the registration amendment.
Provide
a point of contact (first name, last name, telephone number,
and email address) for the U.S. FMS Freight Forwarder.
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Does
the applicant have brokering activity to report?
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If
Registration
Action
is “Renew” and Registration
Type
is “Broker,” indicate whether brokering activity,
both successful and unsuccessful, occurred during the
concluding
registration period.
If
“Yes,” complete the brokering report with the
information specified in the ITAR and attach in Block 11. The
brokering report should cover all brokers identified on DS-2032
Statement of Registration Form.
A
“No” response satisfies the ITAR certification
requirement of reporting that there were no brokering
activities.
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If
renewing lapsed registration, did you conduct any ITAR business
during the lapse period?
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If
Registration
Action
is “Renew” and the registration has lapsed,
indicate whether any ITAR controlled business activities were
conducted during the lapse in registration.
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Lapsed
Registration ITAR Activity Dates
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“If
Renewing
lapsed registration, did you conduct any ITAR business during
the lapse period?”
is “Yes,” enter the number of months you performed
ITAR controlled business activity for the current year during
the lapsed period. To report additional months and years of
ITAR controlled business activities that occurred during the
lapse period, select Add.
If
the registration has lapsed by more than one month after the
expiration date of the registration, the applicant must pay a
lapsed registration fee. The lapsed registration fee consists
of the Tier 1 annual renewal fee for each 12-month period in
which any ITAR controlled business activity occurred during the
lapse up to a maximum of 5 years. Also, if the registration
renewal is submitted within a year of expiration, DDTC uses the
monthly-prorated amount of the Tier 1 annual flat fee described
on DDTC website to calculate the total lapse fee. Upon
submission of the registration renewal, DDTC will manually
calculate the lapse fee based on the duration of activity
performed during the lapsed period and combine the lapse fee
with the renewal fee due. Refer to the DDTC website for more
information regarding registration fees and the calculation of
lapse registration fees.
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Has
a voluntary disclosure been submitted regarding the conduct of
ITAR business during the lapse?
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“If
renewing lapsed registration, did you conduct any ITAR business
during the lapse period?”
is “Yes,” indicate whether a voluntary disclosure
has been submitted for the ITAR controlled activities that
occurred during the lapse. Refer to 22 CFR 127.12 for guidance
regarding the submission of voluntary disclosures.
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Notifying
Substantive, MAD and/or Administrative Changes
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Indicate
if the applicant has any substantive changes, merger,
acquisition, or divestiture (MAD), and/or administrative
changes to report. Refer to 22 CFR 122.4(a) for guidance
regarding changes to information furnished by applicants.
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Substantive
Change Type
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If
“Does
the amendment involve a substantive change to the registration"
is “Yes,” indicate which types of material changes
are being made to the registration. More than one may be
specified.
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Criminal
Charge
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.
Select
if the substantive change involves a change to the
Indicted/Charged/Convicted
Status
in Block 11 or the Indicted/Charged/Convicted
Status
of one or more directors, senior officers, partners, and/or
owners listed in Block 6.
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Eligibility
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Select
if the substantive change involves a change to the Contract
and License Eligibility Status
in Block 11.
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Name
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Select
if the substantive change involves a change to the applicant’s
name.
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Address
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Select
if the substantive change involves a change to the applicant’s
address.
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Legal
organization structure
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Select
if the substantive change involves a change to the applicant’s
legal organization structure or type (e.g., Corporation to
Limited Liability Company) to include name and address changes
of parents, subsidiaries, and affiliates.
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Directors,
senior officers, partners, and/or owners
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Select
if the substantive change involves the addition or removal of
as well as changes to the first name, last name, citizenship,
U.S. person status, country of residence, company/organization
name, doing business as name, and/or organization address
changes for directors, senior officers, partners, and/or owners
listed in Block 6.
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Establishment/
Addition of subsidiary/ controlled affiliate
Removal
of subsidiary/controlled affiliate
Bankruptcy
and/or Liquidation
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Select
if the substantive change involves the establishment and/or
addition, of an existing U.S. or foreign subsidiary or
controlled affiliate who will engage in manufacturing defense
articles, exporting, and/or brokering defense articles/defense
services.
Select
if the substantive change involves the removal of a
subsidiary/controlled affiliate who will no longer engage in
manufacturing defense articles, exporting and/or brokering
defense articles/defense services.
Select
if the substantive change is due to a liquidation and/or
bankruptcy regarding the applicant, ultimate parent,
intermediate owners/parents, subsidiaries, or controlled
affiliates listed in Blocks 6, 8 or 9.
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Notification
Triggering Event Date
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If
Does
the amendment involve a substantive
change to the registration
is “Yes,” enter the date of the event that
triggered the required notification.
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Licensing/
Authorizations
Transaction
Summary
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Identify
whether licenses such as a DSP-5 and other authorizations such
as a Technical Assistance Agreement (TAA) will be impacted by
the reported substantive
change(s), such as a legal entity name or address change.
If
Does
the amendment involve a substantive
change to the registration
is “Yes,” enter a summary of transaction, including
a statement of purpose and description of scope with an
explanation of actions taken/to be taken inside and outside the
U.S.
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Merger,
Acquisition, and Divestiture (MAD) Change
Details
of Transaction
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Transaction
Type
Date
of Event
Foreign
Ownership
Foreign
Control
Voluntary
Disclosure
Execution
of the Transaction
Transaction
Summary
Applicant’s
role in transaction
Other
Parties Names
Party
Type
Mergers
Divesting
Party
Termination
of Registration
Licensing/
Authorizations
Surviving
Registration Code(s)
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Identify
the relevant transaction, merger, acquisition, or
divestiture.
Select
the date of the transaction that triggered the notification.
Indicate
whether the reported transaction resulted in foreign
ownership, as defined in 22 CFR 120.65(a). Note, if the
reported transaction resulted in the transfer of ownership
to a foreign person, include the foreign person in Block 9
and in the legal organizational charts attached in Block 11.
Indicate
whether the reported transaction resulted in foreign
control, as defined in 22 CFR 120.65(b). Note, if the
reported transaction resulted in the transfer of control to
a foreign person, include the foreign person in Block 9 and
in the legal organizational charts attached in Block 11.
Indicate
whether a voluntary disclosure was submitted for the late
notification of the reported MAD transaction. Refer to 22
CFR 127.12 for guidance regarding the submission of
voluntary disclosures.
If
a voluntary disclosure was submitted, provide the relevant
case number.
Identify
if the transaction was a stock purchase or an asset
purchase. If neither applies, then please select other
transaction, and provide an explanation.
Enter
a summary of the transaction, including a statement of
purpose and description of scope with an explanation of
actions taken/to be taken inside and outside the United
States.
Select
applicant’s role in the MAD transaction.
Identify
the names of all other parties to the MAD transaction.
Select
whether the party is an entity or natural person.
If
party is a natural person, select whether the person is a
U.S. Person.
Provide
details relating to natural person’s name, address,
contact information, and the other related fields.
If
the party is an entity, select entity type.
Identify
whether the party is registered with the DDTC.
If
the party is registered, provide registration code (if
known).
Identify
party’s role in the transaction.
Identify
the registration code of the surviving party in the merger
transaction.
Identify
whether the divesting party has been wholly acquired.
In
the case that the divesting party has not been wholly
acquired, identify each subsidiary or controlled affiliate
that the applicant has divested.
Identify
whether the applicant is terminating its DDTC Registration
as a result of the reported transaction.
If
yes, identify which registration code(s) will be
discontinued.
Identify
whether licensing/authorizations, such as a DSP-5 or
technical assistance agreement (TAA), will transfer to the
acquiring party’s registration as a result of the
transaction.
Identify
if the acquiring party or surviving party to the merger
agrees to the assuming language for the transfer of
licensing/authorizations.
List
all registration code(s) that will survive the MAD
transaction.
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3.
Foreign Ownership/Control Information
Provide
the following information about foreign ownership/control of the
applicant. This block will not appear when Registration
Type
is “U.S. Government” or “Foreign Government.”
Foreign
Ownership
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Indicate
whether more than 50
percent of the outstanding voting securities of the applicant
are owned by one or more foreign persons.
If
the response is “Yes,” then select the foreign
country from the drop-down box and click “Add.” You
may select more than one country if needed
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Foreign
Control
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Indicate
whether one
or more foreign persons have the authority or ability to
establish or direct the general policies or day-to-day
operations of the applicant.
If
the response is “Yes,” then select the foreign
country from the drop-down box and click “Add.” You
may select more than one country if needed
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25percent
Foreign Person Ownership/ Control
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Foreign
control is presumed to exist where foreign persons own 25
percent or more of the outstanding voting securities unless one
U.S. person controls an equal or larger percentage. Indicate
whether a foreign person(s) owns 25 percent or more of the
outstanding voting securities and no single U.S. person
controls an equal or larger percentage. If
“Yes,” the applicant may address the presumption of
foreign control by providing an explanation of applicant
control/ownership in Block 11.
If
the response is “Yes,” then select the foreign
country from the drop-down box and click “Add.” You
may select more than one country if needed
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126.1
Foreign Person Control
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Indicate
whether a foreign person (including foreign governments) from
countries specified in 22 CFR 126.1 have the authority or the
ability to establish or direct the general policies or
day-to-day operations of the applicant.
If
the response is “Yes,” then select the applicable
22 CFR 126.1(d) country from the drop-down box and click “Add.”
You may select more than one 22 CFR 126.1(d) country if needed.
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126.1
Foreign Person Ownership
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Indicate
whether a foreign person(s) (including foreign governments)
from countries specified in 22 CFR 126.1 own(s) more than 5
percent of the outstanding voting securities of the applicant.
If
the response is “Yes,” then select the applicable
22 CFR 126.1(d) country from the drop-down box and click “Add.”
You may select more than one 22 CFR 126.1(d) country if needed.
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60-Day
Notice
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If
the applicant is submitting a Renewal or Amendment and a
response to the above question(s) is changed to “Yes”,
indicate whether 60-day pre-notification was provided per 22
CFR 122.4(b).
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4.
Organization Type Information
Provide
the following information about the type of organization. This
block will not appear when Registration
Type
is “U.S. Government” or “Foreign Government.”
Organization
Type
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Select
the applicant’s organization type.
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Corporation
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Select
when the applicant is a corporation.
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Limited
Liability Company
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Select
when the applicant is a limited liability company.
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Partnership
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Select
when the applicant is a partnership.
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Sole
Proprietorship
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Select
when the applicant is a sole proprietorship.
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Educational
Institution
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Select
when the applicant is a university, college, vocational school
or other post-secondary educational institution.
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Nonprofit
Joint
Venture Agreement
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Select
Nonprofit
if your entire organization registering with DDTC qualifies as
a nonprofit. If not, then you are not eligible to make this
selection. The Internal Revenue Service (IRS) certification
must apply to the applicant and all
entities/subsidiaries/affiliates listed on the registration
submission. Applicants who are wholly exempt from income
taxation pursuant to 26 U.S.C. 501(c)(3) must provide proof of
such status (e.g., IRS Certification Form) in Block 11 to
qualify for a reduced registration fee.
Select
when the applicant is operating under a Joint Venture
Agreement.
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Individual
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Select
when the applicant is a natural person applying in his or her
personal capacity. If the applicant is an individual applying
on behalf of another legal entity or sole proprietorship,
“Individual” should not be selected.
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Other
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Select
if none of the other organization types apply. An explanation
of the organizational structure must be included in Block 11.
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Date
of Incorporation or Business Commencement
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If
applicable, enter the date of incorporation or business
commencement date.
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Place
of Incorporation or Business Commencement Date
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If
applicable, enter the city, country, and state/province for the
place of incorporation or business commencement date.
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5.
Identifying Information
Provide
the following identifying information regarding the applicant.
Note that the highest U.S. parent (ultimate or intermediate)
engaged in ITAR controlled activities in a corporate family must
be the applicant. Indicate if the applicant is a holding company.
Please
note that the parent company(s) listed in Block 9 is/are not
registered and not able to manufacture, export, temporary import,
perform defense services or broker. If the applicant indicates
that a U.S. parent in Block 9 is engaged in ITAR activities, the
registration may be returned without action (RWA’d).
Applicant
Type
ITAR
Activity
|
Indicate
whether the applicant is applying as a natural person or an
entity. If the submitter is acting in his or her personal
capacity, select “Natural Person.” Natural Persons
must be at least 18 years of age to be added to the DS-2032
State of Registration Form. If the submission is being made on
behalf of a corporation, business association, partnership,
society, trust, or any other entity, organization or group,
including governmental entities; select “Entity.”
If
Applicant
Type
is “Entity,” indicate whether the entity
registering is engaged in the business of manufacturing,
exporting, or temporarily importing of a defense article or
furnishing of a defense service.
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Entity
Type
Holding
Company
Applicant
Legal Name
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If
ITAR
Activity
is “No,” select the appropriate entity type,
holding company, private equity or other. If other, please
explain.
If
Entity
Type
is “Holding Company,” indicate if the holding
company has the authority/ability to establish or direct the
general policies or day-to-day operations of the subsidiaries
and controlled affiliates.
Also,
indicate if the holding company has the necessary oversight,
including directing policies and procedures, to ensure
subsidiaries and controlled affiliates compliance with the
ITAR.
If
Applicant
Type
is “Natural Person,” enter the legal first, middle,
and last name of the applicant. If the applicant does not have
a legal middle name, check “None.”
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Company/
Organization Legal Name
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If
Applicant
Type
is “Entity,” enter the legal name of the
corporation, business association, partnership, society, trust,
or any other entity, organization or group, including
governmental entities. This must be the legal name of the
entity and not the fictitious doing business as name.
New
and renewing applicants must include supporting documentation
in Block 11, issued or endorsed by the relevant government
authority authorizing the applicant to engage in business. For
U.S. applicants, the supporting documentation must be accurate
and current and at the State government level, and can include
articles of incorporation, articles of organization,
certificate of formation, partnership agreements, or a
certificate of good standing. The legal name provided in the
documentation must match the legal name entered here.
By
providing government issued or endorsed documentation, the
applicant makes representation they are in good standing with
the subject government authority. If the applicant is not in
good standing, an explanation must be included with the
documentation in Block 11.
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Doing
Business As
|
If
Applicant
Type
is “Entity” and the entity does business under a
name that is different from the legal name, enter the doing
business as name. If the entity has multiple doing business as
name, select Add
to provide the additional names.
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Applicant’s
Legal Address
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Enter
the applicant’s primary physical legal address in the
space provided.
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Website
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If
applicable, enter the web address of the applicant’s
website.
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Mailing
address is the same as the legal address
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Check
the box if the applicant’s mailing address is the same as
the primary physical legal address.
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Applicant
Mailing Address
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If
the mailing address differs from the primary physical legal
address, enter the mailing address in the space provided.
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Applicant
Point of Contact
|
Provide
a point of contact for the registration. The point of contact
designated by the applicant is the individual to whom all
registration correspondence will be sent (e.g., the empowered
official, or other individual, responsible for registration and
compliance). If the applicant chooses to designate additional
points of contact it wishes to receive DDTC correspondence
related to the registration, select Add.
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Point
of Contact Type
|
Indicate
whether the applicant’s point of contact for the
registration is the applicant or a third party. If the point of
contact for the registration application is a third party
authorized to discuss the registration correspondence on behalf
of the submitter (e.g., outside counsel), select “Third
Party.” Otherwise, select “Applicant.”
By
providing an optional third-party point of contact, the
applicant: (1) represents that the designated representative is
empowered to represent the applicant with regard to
registration-related issues, and (2) authorizes DDTC to contact
the designated representative regarding registration issues
and, as necessary, provide and discuss registration and other
related information.
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Company/
Organization Name
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If
Point
of Contact Type
is “Third Party,” enter the name of the third-party
point of contact’s company/organization.
|
|
First
Name
|
If
Point
of Contact Type
is “Applicant” or “Third Party,” enter
the first name of the point of contact.
|
|
Last
Name
|
If
Point
of Contact Type
is “Applicant” or “Third Party,” enter
the last name of the point of contact.
|
|
Position/Title
|
If
Point
of Contact Type
is “Applicant” or “Third Party,” enter
the point of contact’s position or title.
|
|
Telephone
|
If
Point
of Contact Type
is “Applicant” or “Third Party,” enter
the primary telephone number where the point of contact can be
reached.
|
|
Email
|
If
Point
of Contact Type
is “Applicant” or “Third Party,” enter
an email address where the point of contact can be reached.
|
|
6.
Members of the Board of Directors, Senior Officers, Partners, and
Owners
Select
“Yes” for all positions currently held by the
applicant. Enter the number of positions held for directors,
partners, owners, trusts, and other positions and as applicable,
additional fields will be provided for completion of those
positions. Complete this block for each member of the board of
directors, senior officer, partner, or owner. All owners of more
than 5 percent of the applicant’s voting securities and all
senior officers (e.g., chief executive officer, president,
secretary, partner, member, treasurer, chief financial officer,
chief operating officer, general counsel) must be listed. For U.S.
manufacturers, exporters, and brokers, indicate whether at least
one U.S. person senior officer/partner resides in the United
States. If no U.S. person senior officer/partner resides in the
United States, provide an explanation of the ITAR oversight of
day-to-day operations. Natural Persons must be at least 18 years
of age to be added to the DS-2032 Statement of Registration Form.
Applicants selecting “Individual” for Organization
Type
in Block 4 should also complete this section. Do not provide the
information in a separate attachment. Enter the number of
positions held for directors, officers, partners, or owners and as
applicable, additional fields will be provided for completion.
All
entities that have more than 50 percent ownership or the authority
or ability to establish or direct the general policies or
day-to-day operations of the applicant are required to be listed
in Block 9. Natural persons that have more than 50 percent
ownership of the applicant or the authority or ability to
establish or direct the general policies or day-to-day operations
of the applicant are required to be listed in Block 6.
Member
Type
|
Indicate
whether the board member, officer, partner, or owner is a
natural person or entity.
|
U.S.
Person
|
Indicate
whether the board member, officer, partner, or owner is a U.S.
person.
|
Position/Title
Owner
|
Select
the board member, officer, partner or owner’s position or
title from the options provided. Select “Yes” or
“No” to indicate whether applicant has the
positions. The position or title must indicate the relationship
to the applicant (e.g., “Chief Executive Officer”).
If title is not shown in the options provided, select “Other”
and enter the position or title.
Answer
“Yes” or “No” to the questions.
|
Member
Name
|
If
Member
Type
is “Natural Person,” enter the legal first, middle,
and last name of the board member, officer, partner, or owner.
If the member does not have a legal middle name, check “None.”
|
Citizenship
|
If
Member
Type
is “Natural Person,” indicate the board member,
officer, partner, or owner’s country of citizenship. If
the individual has multiple citizenships, select Add
and
enter the additional citizenships in the space provided.
For
senior officers who sign the form in Block 6, if citizenship is
foreign and U.S
Person
is “Yes,” include a copy of a valid U.S. government
issued permanent resident card or other lawful permanent
residence document for documentation of U.S. person status in
Block 11
|
Date
of Birth
|
If
Member
Type
is “Natural Person,” enter the board member,
officer, partner, or owner’s date of birth.
|
Birth
Country
|
If
Member
Type
is “Natural Person,” indicate the board member,
officer, partner, or owner’s birth country.
|
Country
of Residence
|
If
Member
Type
is “Natural Person,” indicate the board member,
officer, partner, or owner’s country of residence.
|
Telephone
|
If
Member
Type
is “Natural Person,” enter the primary telephone
number where the board member, officer, partner, or owner can
be reached.
|
Email
|
If
Member
Type
is “Natural Person,” enter the primary email
address where the board member, officer, partner, or owner can
be reached.
|
Company/
Organization Name
|
If
Member
Type
is “Entity,” enter the legal name of the partner or
owner.
|
Doing
Business As Name
|
If
Member
Type
is “Entity,” enter the name the partner or owner
does business as.
|
Address
|
If
Member
Type
is “Entity,” enter the primary physical legal
address of the partner or owner.
|
Point
of Contact Name
|
If
Member
Type
is “Entity,” enter the first and last name of a
point of contact for the entity.
|
Point
of Contact Telephone
|
If
Member
Type
is “Entity,” enter the primary telephone number for
the point of contact at the entity.
|
Point
of Contact Email
|
If
Member
Type
is “Entity,” enter the primary email address for
the point of contact at the entity.
|
Type
of Modification
|
If
Registration
Action
is “Renew” or “Amend” and a
member
of the board of directors, senior officer, partner, or owner is
being added, removed, or undergoing name/address change or
other information change, then select the reason for the
modification:
No
Change – select
if not making an substantive change, merger, acquisition,
divestiture, remove/not dispose, establishment/addition
(non-MAD) and/or other.
Substantive
Material
Change
–Applicant is updating the name, address, or other
information for a member of the board of directors, senior
officer, partner, or owner.
Merger
– addition or removal of a member of the board of
directors, senior officer, partner, or owners due to
consolidation of two (or more) existing companies, including
at least one DDTC applicant.
Acquisition
-
addition or removal of a member of the board of directors,
senior officer, partner, or owner due to acquisition of a DDTC
applicant, or a registered subsidiary or controlled affiliate
thereof.
Divestiture
– addition or removal of a member of the board of
directors, senior officer, partner, or owner due to disposal
of company registered with DDTC, or a registered subsidiary or
controlled affiliate thereof.
Remove/Not
Dispose (non-MAD) –
Removal of a member of the board of directors, senior officer,
partner, or owners due to non-MAD personnel changes.
Establishment/Addition
(non-MAD) -
addition of a member of the board of directors, senior
officer, partner, or owners due to non-MAD personnel changes.
Other
– applicant must include an explanation for the addition
or removal of a board of directors, senior officer, or
partner in Block 11.
|
|
7.
U.S. Munitions List Categories
Provide
the following information related to the U.S. Munitions List
(USML) categories relevant to the applicant’s manufacturing,
exporting, and brokering activities. This block will not appear
when Registration
Type
is “U.S. Government” or “Foreign Government.”
USML
Category
|
Indicate
the applicable USML categories. Nearly all applicants should
select from Categories I through XX. Note that Category XXI is
not a catchall for a wide range of miscellaneous items;
rather, it is a narrowly focused category that applicants
should
not select
unless they have received an explicit written determination in
the past from DDTC that one of their articles or services
falls under Category XXI.
|
Applicable
Determination Number and Final Determination Letter
|
If
you select USML
Category
XXI, you must also provide in the enabled text box the unique
case number of the DDTC determination that assigned a Category
XXI export classification to one of your commodities and
provide a copy of the final determination letter. Use one of
the following two formats for this number, as other formats
will not pass the automated validation:
“CJ
####-##” example: CJ 0153-12
“CJ#######”
example: CJ0104563
|
Note:
If DDTC has advised you that your commodity has a Category XXI
export classification, but you do not have the unique case
number of the DDTC determination or final determination
letter, or if you otherwise believe you should select Category
XXI, you may contact the DDTC Response Team for assistance at
[email protected]
or (202) 663-1282.
|
Brief
description of applicant’s business activities
|
Provide
a brief description of applicant’s business activities
related to the selected USML categories.
|
|
|
8.
Subsidiary/Controlled Affiliate Information
Provide
the following owned or controlled affiliate and/or subsidiary
information. This block will not appear when Registration
Type
is “U.S. Government” or “Foreign Government.”
Subsidiary
and Controlled Affiliate
|
Indicate
whether the applicant owns or controls any U.S. or foreign
affiliates or subsidiaries that are in the business of
manufacturing, exporting and/or brokering defense articles or
services.
|
Subsidiary
or Controlled Affiliate/ Description
|
Provide
the following information for each of the applicant’s
subsidiaries or controlled affiliates that are involved in the
manufacture, export, and/or brokering of defense articles and
defense services. If the applicant is only applying for a
broker registration, only those subsidiaries or controlled
affiliates that are involved in brokering should be listed.
Each relevant subsidiary or controlled affiliate should be
listed once in Block 8 of the DS-2032 form. It is not necessary
to list multiple (e.g., sales office) locations for each. To
include additional subsidiaries or controlled affiliates,
select Add.
|
|
Activity
Type
|
Indicate
which activities the subsidiary or controlled affiliate is
involved in.
|
|
Company/
Organization Legal Name
|
Enter
the legal company or organization name of the subsidiary or
controlled affiliate.
|
|
Doing
Business As Name
|
Enter
the name the subsidiary or controlled affiliate does business
under.
|
|
Legal
Address
|
Enter
the primary physical legal address of the subsidiary or
controlled affiliate.
|
|
U.S.
Person
|
Indicate
whether the subsidiary or controlled affiliate meets the ITAR
definition of a U.S. person at 22 CFR 120.62.
|
|
Relationship
Joint
Venture Agreement
|
Indicate
whether the entity is a subsidiary or controlled affiliate of
the applicant.
Select
when the subsidiary or controlled affiliate is operating under
a Joint Venture Agreement.
|
|
Applicant
Control
|
If
Relationship
is “Controlled Affiliate,” indicate whether the
applicant has authority or ability to establish the or direct
the general policies or day-to-day operations of the controlled
affiliate.
|
|
25
percent Applicant Ownership
|
If
Relationship
is “Controlled Affiliate,” indicate whether the
applicant owns 25 percent or more of the controlled affiliate’s
outstanding voting securities and no U.S. person controls an
equal or larger percentage.
|
|
126.1
Foreign Person Control
|
If
Relationship
is “Controlled Affiliate,” indicate whether one or
more foreign persons from a country specified in 22 CFR 126.1
has the authority or ability to establish or direct the general
policies or day-to-day operations of the controlled affiliate.
If
126.1 Foreign Person Control is “Yes,” then select
the applicable 126.1(d) country from the drop-down box and
click “Add.” You may select more than one 126.1(d)
country if needed.
|
|
22
CFR 126.1 Foreign Person Ownership
|
If
Relationship
is “Controlled Affiliate,” indicate whether a
foreign person(s) from a country specified in 22 CFR 126.1
controls more than 5 percent of the controlled affiliate’s
voting securities.
If
22 CFR 126.1 Foreign Person Control is “Yes,” then
select the applicable 126.1(d) country from the drop-down box
and click “Add.” You may select more than one 22
CFR 126.1(d) country if needed.
|
|
Separate
Point of Contact for Controlled Affiliate/ Subsidiary
|
Check
the box if the applicant wishes to provide a separate point of
contact for the controlled affiliate or subsidiary. If the
controlled affiliate or subsidiary will have a separate point
of contact from the applicant, enter the point of contact’s
first name, last name, title, primary telephone number and
primary email address.
|
|
Controlled
Affiliate/ Subsidiary Brokering Activity Report
|
If
Registration
Action
is “Renew” and Activity
Type
is “Broker,” indicate whether the controlled
affiliate or subsidiary has brokering activity to report
(including successful/unsuccessful brokering activity).
|
|
Type
of Modification
|
If
Registration
Action
is “Renew” or “Amend” and a controlled
affiliate/subsidiary is being added, removed, or undergoing
name/address change or other information change, then select
the reason for the modification: No
Change – select if not making an substantive change,
merger, acquisition, divestiture, remove/not dispose,
establishment/addition (non-MAD) and/or other.
Substantive
Material
Change
–Applicant is updating the name, address, or other
information for a member of the board of directors, senior
officer, partner, or owner.
Merger
– addition or removal of a member of the board of
directors, senior officer, partner, or owners due to
consolidation of two (or more) existing companies, including
at least one DDTC applicant.
Acquisition
-
addition or removal of a member of the board of directors,
senior officer, partner, or owner due to acquisition of a DDTC
applicant, or a registered subsidiary or controlled affiliate
thereof.
Divestiture
– addition or removal of a member of the board of
directors, senior officer, partner, or owner due to disposal
of company registered with DDTC, or a registered subsidiary or
controlled affiliate thereof.
Remove/Not
Dispose (non-MAD) –
Removal of a member of the board of directors, senior officer,
partner, or owners due to non-MAD personnel changes.
Establishment/Addition
(non-MAD) -
addition of a member of the board of directors, senior
officer, partner, or owners due to non-MAD personnel changes.
Other
– applicant must include an explanation for the addition
or removal of a board of directors, senior officer, or
partner in Block 11.
|
|
9.
Parent Information
Provide
the following parent information. This block will not appear when
Registration
Type
is “U.S. Government” or “Foreign Government.”
All entities that have
the authority or ability to establish or direct the general
policies or day-to-day operations of the applicant
or have more than 50 percent ownership of the applicant, are
required to be listed in Block 9. Natural persons that have
the authority or ability to establish or direct the general
policies or day-to-day operations of the applicant
or have more than 50 percent ownership of the applicant are
required to be listed in Block 6.
Does
the applicant have any parent entities?
|
Select
“Yes” or “No” to Does the applicant
have any parent entities (U.S. and foreign, intermediate,
ultimate) that have ownership and control over the applicant?.
|
Parent
Entity
|
If
Does
the applicant have any parent entities (U.S. and foreign,
intermediate, ultimate)?.
is “Yes,” provide the following information for
each parent entity. All parent entities should be listed. The
ultimate parent should be listed first, with any intermediate
parents following. Only one ultimate parent should be listed.
The order of parents listed should match the order reflected in
the applicant’s organizational chart. Do not provide the
following information in an attachment. To provide additional
parent entities, select Add.
|
|
Company/
Organization Legal Name
|
Enter
the legal company or organization name of the parent entity.
|
|
Doing
Business As Name
|
Enter
the name the parent entity does business under.
|
|
Legal
Address
|
Enter
the primary physical legal address of the parent entity.
|
|
Separate
Point of Contact for Parent
|
Check
the box if the applicant wishes to provide a separate point of
contact for the parent entity. If the parent entity will have a
separate point of contact from the applicant, enter the point
of contact’s first name, last name, title, primary
telephone number and primary email address.
|
|
Parent
Status
|
Indicate
whether the applicant’s parent entity is the ultimate or
intermediate parent.
|
|
U.S.
Person
|
Indicate
whether the parent entity meets the ITAR definition of a U.S.
person.
|
|
Foreign
Owned/ Controlled
Government
Owned/Controlled
Type
of Modification
|
Indicate
whether the parent entity is foreign owned or controlled.
Indicate
whether the parent entity is government owned or controlled.
If
Registration
Action
is “Renew” or “Amend” and a parent
company is being added or removed, or is undergoing a name or
address change or other information change, select the
modification type:
No
Change – select if not making an substantive change,
merger, acquisition, divestiture, remove/not dispose,
establishment/addition (non-MAD) and/or other.
Substantive
Material Change –Applicant is updating the name,
address, or other information for a member of the board of
directors, senior officer, partner, or owner.
Merger
– addition or removal of a member of the board of
directors, senior officer, partner, or owners due to
consolidation of two (or more) existing companies, including
at least one DDTC applicant.
Acquisition
- addition or removal of a member of the board of directors,
senior officer, partner, or owner due to acquisition of a DDTC
applicant, or a registered subsidiary or controlled affiliate
thereof.
Divestiture
– addition or removal of a member of the board of
directors, senior officer, partner, or owner due to disposal
of company registered with DDTC, or a registered subsidiary or
controlled affiliate thereof.
Remove/Not
Dispose (non-MAD) – Removal of a member of the board of
directors, senior officer, partner, or owners due to non-MAD
personnel changes.
Establishment/Addition
(non-MAD) - addition of a member of the board of directors,
senior officer, partner, or owners due to non-MAD personnel
changes.
Other
– applicant must include an explanation for the addition
or removal of a board of directors, senior officer, or
partner in Block 11.
|
|
|
|
|
10.
ITAR Written Policies
Indicate
whether the applicant has written policies and procedures for
compliance with the ITAR (including but not limited to 22 CFR
122.5).
This
block will not appear when Registration
Type
is “U.S. Government” or “Foreign Government.”
|
11.
Statement of Registration
Certification
Statements
The
senior officer signing the registration application on behalf of
the applicant warrants the truth of all statements made on the
form together with any and all appendices and attachments.
In
addition, the senior officer must affirm the status of the
applicant, certain corporate family members, and officers with
respect to certain criminal indictments and/or convictions and
contract and/or license eligibility by selecting the appropriate
options under Indicted/Charged/Convicted
Status
and Contract
and License Eligibility.
The General Services Administration’s System for Award
Management (https://www.sam.gov)
and the Consolidated Screening List
(https://www.export.gov/csl-search)
are valuable resources regarding the indictment and/or conviction
status and contract and/or license eligibility status of named
parties. These sites, while helpful, are not all-inclusive and
additional screening and/or research may be required.
For
each person or entity that has been indicted or otherwise charged
or is ineligible to contract with and/or to receive a license from
the U.S. government, the applicant must include an explanation in
Block 11 with relevant documentation. Relevant documentation
includes (but is not limited to) indictments, reinstatement
letters, and government eligibility notices.
Supporting
Documentation
To
include relevant documentation with the submission, select the
file to be included and indicate the Document
Type.
Click Upload
and repeat for each relevant document to be included with the
submission. Do not combine multiple requested documents into a
single attachment. Supporting
documentation that is not in English must be accompanied by a
complete translation. The
document types are described below:
Legal
Entity Organizational Chart
Director/Senior
Officer Organizational Chart
|
An
organizational chart showing all layers of the organization,
through the ultimate parent (U.S. or foreign) identified in
Block 9 as well as affiliates or subsidiaries identified in
Block 8. An organizational chart is not required if the
applicant does not include any parents, affiliates, and/or
subsidiaries.
An
organizational chart showing the applicant’s management
structure and overall decision-making hierarchy. A
director/senior officer organizational chart is not required if
the applicant is a Sole Proprietor and/or individual owner.
|
Applicant
Organization Type “Other” Explanation
|
An
explanation of the applicant’s organization type if the
organization type is not a corporation, limited liability
company, partnership, sole proprietorship, educational
institution, nonprofit, or individual. Required if
Organization
Type
in Block 4 is “Other.”
|
|
|
Indicted/Charged/
Convicted Status Documentation
|
Documentation
including (but not limited to) indictments, reinstatement
letters, and government eligibility notices. This documentation
is required for each person or entity listed in the application
that has been indicted, or otherwise charged or convicted.
|
Explanation
of Applicant Control/Ownership
|
An
explanation from the applicant addressing the resulting
presumption of foreign control related to a foreign person or
foreign persons owning 25 percent or more of the outstanding
voting securities and that no other U.S. person controls an
equal or larger percentage.
|
Contract
and License Eligibility Status Documentation
|
Documentation
such as a copy of the System for Awards Management database
entry and/or documentation regarding the period of
ineligibility. Documentation is required for each person or
entity listed on the application that is ineligible to contract
with, or to receive a license or other approval to import
defense articles or defense services from, or to receive an
export license or other approval from, any agency of the U.S.
government.
|
IRS
Nonprofit Authorization
|
Supporting
documentation of the applicant’s wholly exempt from
income taxation pursuant to 26 U.S.C 501(c)(3) status (e.g.,
IRS Certification Form). Required if the Organization
Type
in Block 4 is “Nonprofit.” The IRS certification
must apply to all entities/subsidiaries/affiliates listed on
the registration submission.
|
Proof
Applicant is Currently Authorized to do Business
|
Documentation
issued or endorsed by a government authority showing the
applicant is authorized to do business in the U.S or in a
foreign country. Required for all applicants, except those
where Organization
Type
in Block 4 is “Individual.”
|
Documentation
of Individual U.S. Person Status
|
A
valid U.S. government issued permanent resident card or other
lawful permanent residence document. Required for senior
officer and individual owner listed in Block 6 if their
citizenship is non-U.S. and they are a U.S. person and signing
the registration application.
|
Subsidiary/Affiliate
Add/Remove Type “Other” Explanation
|
An
explanation for the addition or removal of an affiliate or
subsidiary from the application. Required if an affiliate or
subsidiary was added or removed from the application when
renewing or amending the registration and Reason
for Adding or Removing Affiliate/Subsidiary
is “Other.”
|
Broker
Activity Report
Commodity
Jurisdiction Final Determination Letter
|
A
report indicating whether brokering activity occurred, whether
successful or not, during the concluding registration period.
The report is required if renewing a broker registration and
must be provided for the applicant and for each affiliate or
subsidiary involved in brokering.
Supporting
documentation in the form of the final determination letter
that was sent to the email address provided in Block 15 of the
DS-4076 Form and any others requested on the DS-4076 Form.
|
Proof
of Merger, Acquisition, or Divestiture Transaction
|
Documentation
issued or endorsed by a state government authority showing the
applicant has undergone a legal merger, legal name change, or
corporate conversion.
|
Joint
Venture Agreement
Other
Supporting Documentation
|
Documentation
verifying that applicant or subsidiary or controlled affiliate
is operating under a Joint Venture Agreement.
Other
supporting documentation related to the registration that the
applicant believes is relevant to its application.
|
Senior
Officer Details and Signature
The
application must be signed by a senior officer (e.g., chief
executive officer, president, comptroller, treasurer, general
counsel) empowered by the applicant. The senior officer must be
listed in Block 6 and be a U.S. person, unless the applicant is
registering as a foreign broker or government.
Only
electronic payment through DECCS will be accepted. Once the
application is signed by the designated senior official,
registration fees can be paid electronically. The current
registration fee due can be viewed on your DECCS registration
dashboard and the fee structure can be viewed on the DDTC website.
|
Designate
Corporate Administrator
If
Registration
Action
is “New,” the applicant must designate an initial
corporate administrator who will be responsible for managing user
roles within the DDTC electronic system for the applicant’s
users. If there will only be one user of the system, that person
must be the designated corporate administrator. The corporate
administrator must be a direct employee of the applicant. Refer to
the DDTC website for more information about adding or removing
Corporate Administrators. To designate the initial corporate
administrator, provide the following:
Name
|
Enter
the first and last name of the designated corporate
administrator.
|
Position/Title
|
Enter
the position or title of the designated corporate
administrator.
|
Telephone
|
Enter
the primary telephone number for contacting the designated
corporate administrator.
|
Email
|
Enter
the primary email address for contacting the designated
corporate administrator.
|
|