更新日期:2023年4月25日
作者:Maarten senger和Scott Gearity
Continuing on the theme of International Traffic in Arms Regulations (ITAR) contradictions begun in last month’s newsletter, let us turn to another ITAR contradiction that has resulted in tremendous and endless confusion on how one should properly license U.S. 军需清单(USML)技术数据出口. 大多数从业者都知道，当您提供“防御服务” you need an agreement, most commonly a Technical Assistance Agreement (TAA) (ITAR 124.1)，但如果你出口非机密产品。”技术数据” without providing a 防御服务, you can proceed under 一个DSP-5 license application (125.2)，这是一种更容易、更简单、通常更快的机制. But the ITAR drafters thought that this concept was too straightforward, and these practical jokers decided to throw in a definitional curve ball to sow mass confusion: The ITAR states that providing 技术数据 is a 防御服务. 如果根据定义提供技术数据是一种防御服务, wouldn’t you always need a TAA when you provided someone 技术数据?
让我们进一步探讨定义上的不逻辑. 120.32(a) defines a “防御服务” to cover three areas: “the furnishing of assistance,，提供“军事训练”和“装备” . . . 任何技术资料.” So this key definition clearly states that if you provide a foreign person with 技术数据, 你在提供辩护服务. 我想在ITAR的世界里, 当技术数据摆在你的办公桌上时，它就是技术数据, 但是如果你把它提供给一个外国人, 它变成了一种防御服务. 国防服务只能根据协议提供.
然而，我们都知道，125.我方清楚地考虑到贵方可以提供技术资料, 我们现在知道这是国防服务, 在DSP-5上. 125.1(b) 这为TAA vs .提供了另一种思路. DSP-5 debate by saying that you generally need an agreement if you furnish “technical assistance,而不仅仅是技术数据. The drafters happily leave you in the dark by keeping “technical assistance” undefined, 即使遵循 主要的修改 重定义的第120部分在2022年. 对于那些对这一切感到困惑的人, you now have picked up on an Directorate of 国防贸易管制 (DDTC) secret — the ITAR language is so circular that you can always be accused of doing it wrong no matter what you do.
But in the face of this cloudy soup of nonsensical definitions, we must still proceed. Below are some suggestions on when to obtain 一个DSP-5 and when to obtain a TAA based on what we’ve seen DDTC actually license.
何时使用DSP-5:
1)一次性文件: 如果您提供了包含技术数据的一次性文档, 例如提案中的技术数据, 检测报告, 一个蓝图, 维护手册, etc.
2)签约前技术资料交换: Technical data exchange to pursue a program in a pre-contract stage (DDTC and practitioners sometimes calls these “marketing licenses” though there is no reference to such a thing in the ITAR). 在颁奖前阶段, 通常很难说服外国合作伙伴签署贸易援助协定, so perhaps DDTC is more willing to allow what is arguably a 防御服务 like marketing activity at this stage. Another situation would be when you need to send build-to-print drawings/specifications to one or more foreign parties to get price quotes for possible offshore procurement.
For larger or technically complex programs (we’ll follow the lead of the ITAR drafters and use nebulous words like “larger” and “technically complex” and leave them undefined), 在这个阶段，DDTC可能仍然需要TAA.
3)海外采购(124.13): You need to send 技术数据 limited to build-to-print drawings/specifications to an overseas party who is independently capable of building the defense article you are seeking to procure. The overseas party does not require your assistance with the manufacturing of the item—in fact, the foreign party does not need 任何技术资料 from you other than the build-to-print drawings/specifications and your follow-up clarifications on those items. 根据我们的经验, in many these situations often transition into the exporter having to provide additional 技术数据 and 防御服务s to the foreign supplier, which means that the situation should likely transition into a Manufacturing License Agreement (MLA) since the DSP-5 is no longer sufficient.
4)外籍员工: You have a foreign person employee who requires access to ITAR-controlled 技术数据. 在这种情况下，DDTC的指南指向DSP-5. DSP-5是一种更简单的应用程序，但有效期更短. The level of technical detail describing the scope and type of 技术数据 the foreign person will receive is often the most difficult part of putting together 任何技术资料 application.
5)只要你能逃脱(WYCGAW): We’ve seen DDTC grant the most “防御服务” like activities 在DSP-5上, 如果他们愿意给予这样的许可, 拿着，别问赌博十大排名官方网站. 另一方面, DDTC also has Returned Without Action (RWA’d) the most meritorious DSP-5’s for no apparent reason, 所以要做好最坏的打算. 如果你的合规计划受到审查, 你可能不得不为支持TAAs而犯错，除非, 当然, 他们RWA这些，并告诉建议你提交一个DSP-5.
何时获得TAA:
1)持续的技术交流 -除上述以外, whenever you will have on going technical interchange with a foreign person about anything subject to the ITAR. If you need to provide more than a one-off document in a program (see 1) above) and instead have on going technical meetings and/or discussions, 你应该考虑TAA.
2)合同授予后技术交流 -如果合同授予后需要继续进行技术交流(e.g. 超出上述“营销许可”范围的), such as 技术数据 exchange to develop the program further or to provide 技术数据 and instruction exceeding a basic operations or maintenance level authorized by exemptions at 124.2(a) or 125.4(b)(5).
还记得, when you grant someone the right to license production of your ITAR defense article, 您通常需要获得MLA而不是DSP-5或TAA.
The above guidelines are just that, and they are definitely not guaranteed to work. Until ITAR drafters clean up the 技术数据 and 防御服务 licensing language mess in the ITAR, 什么时候使用协议，什么时候使用协议，这永远是一个猜谜游戏. 一个DSP-5. My suggestion, which will surely be ignored, is to drop agreements altogether. 大部分(如果不是全部)TAA活动
可以很容易地在DSP-5机制下获得许可(毕竟, DDTC’s friends across town at the Bureau of Industry and Security manage it). 如果DTC仍然与TAA样板语言绑定, they could include it as a proviso that the licensee must sign off on prior to export.
As with anything in ITAR compliance, we wish you good luck and a sympathetic licensing officer.
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