Application for Amendment to License for Export or Import of Classified or Unclassified Defense Articles and Related Technical Data

U.S. Department of State

DIRECTORATE OF DEFENSE TRADE CONTROLS

Guidelines for Completion of a Form DSP-62

Application for Amendment of a DSP-61 License,

Temporary Import of Unclassified Defense Articles

The Form DSP-62 is used to request an amendment to a DSP-61 license authorized by the Directorate of Defense Trade Controls (DDTC) for the temporary import of UNCLASSIFIED defense articles. In accordance with 22 CFR §123.25, DDTC will consider approval of an amendment to a DSP-61 license for the following reasons:

1. Change in name and address of a U.S. intermediate consignee.

2. An obvious typographical error, the correction of which is supported by the documentation submitted with the original license request.

3. Addition of a source, change in manufacturer of the commodity, or a change in part number of the equipment originally authorized for temporary import. When changing part numbers, the requester must certify that the change will not result in an enhancement, upgrade, or change to the capability of the commodity originally authorized for temporary import (see Block 9).

4. A change in name and address of foreign owner/end-user of commodity in foreign country from which shipped.

5. A change in name and address of foreign consignor in foreign country from which shipped.

6. Addition of a foreign freight forwarder when the party is transporting the equipment and will not process the defense article in any manner or use in any way (e.g., integrate, modify). Also, a change in the name and address of the foreign intermediate consignee to include foreign freight forwarder.

7. A change in the name and address of foreign consignee in foreign country of ultimate destination.

8. A change in name and address of foreign end-user in foreign country of ultimate destination.

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9. A change in location of the license applicant or its subsidiary(s).

10. A change to a license due to an acquisition or merger.

Requests for changes due to change in location or because of an acquisition or merger (i.e., numbers 9 and 10 above) cannot be made until the registered applicant(s) have, in accordance with 22 CFR 122, amended the information contained in their Statement of Registration (DS-2032).

General Instructions:

1. Prior to completing your request determine:

• That the PM/DDTC registration is valid.

• That the license you are amending is valid, and that there is a remaining balance to be shipped and that you have a copy to transmit with your request.

• Whether the documentation supporting your application is available for submission with your request.

• That the applicant and all parties are eligible to engage in licensing. If the eligibility requirements of 22 CFR §§120.1(c) and 126.13 are not met, you are not eligible to make this request without the submission of a transaction exception.

2. An asterisk preceding a block number indicates required information. Failure to provide the required information will result in your electronic submission being rejected. For paper submissions, failure to provide the information may result in your request being Returned Without Action (RWA’d).

3. Identify the document(s) submitted with your request.

4. 22 CFR §123.25 identifies the amendments that can be requested. Section 123.25 also identifies in paragraph (e) specific types of changes that may not be requested.

5. The foreign intermediate consignee may only be amended to add a new freight forwarder and only when the temporary import does not involve technical data. In all other instances, the addition of new foreign intermediate consignees should be the subject of a new application.

Specific Instructions/Guidelines:

*Block l. Date Prepared. For electronic submissions, the date the application is prepared is automatically entered (month/day/year). It is updated each time the application is opened until submission to DDTC, at which time the application must be digitally signed.

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*Block 2. PM/DDTC Applicant/Registrant Code. Enter your PM/DDTC applicant/registrant code number, including the pre-fix letter “M” if applicant is a manufacturer and/or exporter (e.g., M12345, M-5678). Ensure that your registration is valid and that the number used is the same as the number on the approved license, unless the purpose stated for the amendment is in accordance with 22 CFR §122.4 (e.g., acquisition, merger).

Block 3. Applicant Name, Address, ZIP Code and Telephone Number, to include the name and address of the subsidiary, if applicable. The names entered in this block should be identical to what appeared on the license.

*Block 4. Amendment to License Number. Provide the PM/DDTC assigned DSP-61 license number. Do not provide in this block any other number (e.g., your company transaction ID). Also, you may amend only one license per request. Please check your entry carefully. Typographical errors/transpositions might prevent identification of a license belonging to your company and result in your request being Returned Without Action.

*Block 5. Amendment in accordance with. Select whether the amendment is in accordance with 22 CFR § 123.25 or 22 CFR § 122.4. If necessary, consult the International Traffic in Arms Regulations (ITAR) to determine which selection is correct.

Block 6. Compliance Case Number. Complete Blocks 6(a) and 6(b).

Block 6(a). Provide compliance case number pursuant to 22 CFR § 122.4 (e.g., merger, acquisition, name change, or change in location).

Block 6(b). Provide the date of the PM/DTCC acknowledgment letter in accordance with 22 CFR § 122.4.

Note. You may wish to provide a copy of the PM/DTCC acknowledgment letter with your submission.

Block 7. Name and Telephone Number of applicant contact(s). List individual(s) familiar with this transaction who can respond to PM/DDTC staff or other U.S. Government agencies. The individual(s) should be prepared to answer procedural and/or technical questions and be familiar with this request and the license being amended. Please do not list an individual who is not familiar with the transaction and thus unable to respond. DO NOT list U.S. Government personnel. You may provide as many contacts as you deem necessary.

*Block 8. Summary of Amendment(s) to DSP-61 license. Select the block and type of amendment being requested. Select all that apply. The blocks that may be amended are: DSP-61 license Blocks 2, 8, 11, 12, 14, 15, 16, 17, 18, 19, 20, 21, 22, and 24.

Block 9. Change Original PM/DDTC Applicant/Registrant Code (DSP-61 license, Block 2). Complete Blocks 9(a), 9(b), and 9(c).

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Block 9(a). State the specific reason for the change.

Block 9(b). Enter PM/DDTC applicant/registrant code as stated on the DSP-61 license. Enter the same letter (e.g., B, F, G, or M) and number as stated on the DSP-61 license. The number has five characters. In the event of four numbers the first character is a hyphen (“-”).

Block 9(c). Enter new PM/DDTC applicant/registrant code (e.g., the code of the U.S. person acquiring the license through an acquisition or merger). Enter the same letter (e.g., B., F, G, or M) as stated on the DPS-61 license. The number portion of the registration code will be different. The number has five characters. In the event of four numbers the first character is a hyphen (“-”).

Block 10. Change Original Applicant/Subsidiary (DSP-61 license, Block 8). A change to this block can be to change the applicant, the subsidiary, or both. You may complete only two items, one for the applicant and one for the subsidiary. When changing both, complete Item #1 for the applicant and click on the “add more items” to change the subsidiary.

Block 10(a). Type of Modification. Select one from the following:

- Change in name ONLY of original applicant;

- Change in ONLY address, city, state, and /or ZIP code of original applicant;

- Change in name, address, city, state, and/or ZIP code of original applicant;

- Add subsidiary (use only if the license currently does not identify a subsidiary);

- Delete subsidiary (use when applicant desires no subsidiary be identified on the license);

- Change in name ONLY of original subsidiary;

- Change in ONLY address, city, state, and /or ZIP code of original subsidiary; or

- Change in name, address, city, state, and/or ZIP code of original subsidiary.

Block 10(b). State the specific reason for the change.

Block 10(c). Enter applicant/subsidiary as stated on DSP-61 license.

Block 10(d). Enter modified applicant/subsidiary information.

Block 11. Correction to Commodity Description (DSP-61 license, Block 12). You may correct as many line items as necessary. For each line item identified on the DSP-61 license requiring a change, complete Blocks 11(a), 11(b), 11(c), and 11(d).

Block 11(a). Type of correction. Select at least one.

1) Change the part number of the commodity identified on the license. A change in a part number, while not the subject of the original documentation, will be authorized to change a production/manufacturing part number. For changes in part numbers not supported by the original documentation (e.g., due to change in production numbers) the applicants should take care to ensure the validity of their certification since any error resulting in temporary import of an enhanced/upgraded defense article will be considered a false statement and a violation of the Arms Export Control Act(AECA)/ITAR. A change in a part number that results in a change to the defense article (e.g., upgrade) must be the subject of a new DSP-61 license application, supported by new documentation.

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Note. Please ensure that the certification has been read since the applicant is selecting “change part number” is also certifying that the change in part number will not enhance, upgrade, or change the capability of the commodity authorized for temporary import on the DSP-61 license.

2) Correct a typographical error. Changes due to typographical errors must be supported by attaching documentation that was submitted with the original DSP-61 submission. In summary, a change in commodity description can only be due to a typographical error, which must be supported by original documentation that is submitted in support of this request.

Block 11(b). State the specific reason for the change.

Block 11(c). Change commodity description to include part number as stated on original DSP-61 license. Provide the commodity description/part number exactly as stated on the DSP-61 license (Block 4 of this application). For electronic transmissions, provide the line item of commodity described on the DSP-61 license.

Block 11(d). Corrected commodity description/part number. Provide the corrected commodity description/part number (i.e., this is the language of the original license with the new part number and/or typographical correction) to what is necessary to make the correction. No other changes to the description are permitted. For electronic transmissions, provide the line item of commodity described on the DSP-61 license.

Block 12. Correction to Quantity (DSP-61 license, Block 11) and/or U.S. Dollar Value (DSP-61 license, Block 14). You may correct as many line items as necessary. For each line item identified on the DSP-61 license for which a change is being requested, complete Blocks 12(a), 12(b), 12(c), and 12(d). See 22 CFR § 123.25 regarding a change in value of a license prior to amending for that purpose.

Block 12(a). Type of correction. Select at least one: 1) correct quantity, 2) correct $ value, or both. Corrections to the quantity and the unit value may only be requested when an error was made on the original submission and the error can be validated by the original DSP-61 license (Block 4 of this application) supporting documentation on file in DDTC which must also be attached to support this request. Value may be amended.

Block 12(b). State the specific reason for the change.

Block 12(c). Change from quantity and/or unit price and line item total dollar value as stated on the DSP-61 license. Enter the quantity and using the pick list select the unit type, enter the unit price, and line item total dollar value as stated on the DSP-61 license.

Block 12 (d). Change to quantity and/or $ value as it should appear. Enter the corrected quantity, unit type, and/or unit value price. For electronic submissions, do not provide the line item total value. The software will calculate the new line item total value. For paper submissions, the applicant must perform the calculation for the new line item total value. The applicant will be required to provide the unit type from the following selections:

Bags; Barrels or Drums; Boxes; Bullet or Rounds; Bundles; Cases; Containers; Copies; Dozen; Dozen Pairs; Feet; Forgings; Gallon; Grams; Gross; Gross Containers; Gross

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Lines; Inches; Items; Kilos; Kits; Line; Liters; Lots; Magaz; Man Years; Meters; Number; Ounces; Packs; Packets; Pairs; Pallets; Pieces; Pounds; Quarts; Rolls; Sets; Sheets; ShipSet; Square Meters; Squares; Systems; Tins; Tons; Tubes; Units; Visits; Wafers; and Yards.

Block 13. Revised DSP-61 License Total (DSP-61 license, Block 15).

Block 13(a). Total $ value. Provide the total dollar value as currently stated in Block 15 of the original DSP-61 license (Block 4 of this application).

Block 13(b). Revised total $ value. For applications submitted electronically, the software will calculate the new total value. For paper submissions, the applicant must calculate the revised total of the original DSP-61 license by adding all line items on the license.

Block 14. Change Name, Address and/or City of Original Owner/End-user of Commodity in Foreign Country from which Shipped (DSP-61 license, Block 16). Changes can only be requested to accommodate the original owner/end-user stated on the DSP-61 license (e.g., for reasons of acquisition/mergers, production facilities have been relocated, company changed name due to reorganization). You may not change the ownership/end-user to accommodate a transfer of the defense articles to a new owner/end-user. Changes in ownership/end use must be the subject of a new request (DS-6004) with supporting documentation.

Block 14(a). Select at least one: 1) change in the name of original foreign end-user stated on the DSP-61 license, or 2) change in address and/or city of original foreign end-user stated on the DSP-61 license. A change to either the name or location of the owner/end-user cannot be a change that results in adding a new company(s)/individual(s). The addition of new foreign owner/end-user must be the subject of a new license application.

Block 14(b). State the specific reason for the change. When requesting these changes, the applicant should have documentation from the foreign party that verifies the rationale for the requested change. It may also be helpful if the foreign party provided a point of contact should the U.S. Government have questions.

Block 14(c). For any change where the license is “in furtherance of an agreement,” the applicant must complete the amendment to the agreement required by 22 CFR 124. (See “Agreement Guidelines” on www.pmddtc.state.gov for clarification regarding “in furtherance of an agreement.”) Indicate compliance with 22 CFR 124 by selecting “yes,” “no,” or “not applicable.” If the applicant is unable to state “yes” or “not applicable” do not submit this request. First submit and receive approval from PM/DDTC to amend the applicable agreement.

Block 14(d). Enter owner/end-user of commodity in foreign country from which shipped as stated on the DSP-61 license.

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Block 14(e). Enter modified owner/end-user of commodity in foreign country from which shipped.

Note. Allows for name change only. The name change must not be the result of a merger or acquisition which would require submission of a DSP-5 application. Additionally, in such instances retransfer defense articles previously exported under the original license to the newly created foreign entity must be submitted in accordance with 22 CFR § 123.9.

Block 15. Change in Manufacturer of Commodity (DSP-61 license, Block 17). For each item being changed, complete Blocks 15(a), 15(b), 15(c), and 15(d) and provide applicable information.

Block 15(a). Types of modifications are: 1) add new manufacturer; 2) delete manufacturer; 3) change in name ONLY of original manufacturer; 4) change in ONLY address, city, state, and/or ZIP code of original manufacturer; or 5) change name, address, city, state, and/or ZIP code of original manufacturer.

Note. Please read certification: When adding a new manufacturer, the applicant is certifying that the addition of the new manufacturer does not enhance, upgrade, or change the capability of the commodity(s) authorized for temporary import on the DSP-61 license (Block 4 of this application).

Block 15(b). State the specific reason for the change.

Block 15(c). Enter Manufacturer of Commodity as stated on original DSP-61 license.

Block 15(d). Enter New/Modified Manufacturer of Commodity.

Block 16. Change in Source of Commodity (DSP-61 license, Block 19). For each item changed, complete Blocks 16(a), 16(b), 16(c), and 16(d) and provide applicable information.

Block 16(a). Types of modifications are: 1) add new source; 2) change in name ONLY of original source; 3) change in ONLY address, city, state, and/or ZIP code of original source; or 4) change in name, address, city, state, and/or ZIP code of original source.

Note. Please read certification: When adding a new source, the applicant is certifying that the addition of the new source does not enhance, upgrade, or change the capability of the commodity(s) authorized for temporary import on the DSP-61 license (Block 4 of this application).

Block 16(b). State the specific reason for the change.

Block 16(c). Enter Source of Commodity as stated on original DSP-61 license.

Block 16(d). Enter New/Modified Source of commodity.

Block 17. Change Name, Address and/or City of Original Consignor in Foreign Country from which Shipped (DSP-61 license, Block 18). For each item changed, complete Blocks 17(a), 17(b), 17(c), 17(d), and 17(e) and provide documentation from the foreign consignor validating the change.

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Block 17(a). Types of modifications are: 1) change in name of original foreign consignor and change in address and/or city of original foreign consignor. No new foreign consignor(s) may be added. New foreign consignor(s) must be the subject of a new license application.

Block 17(b). State the specific reason for the change: Select one of the reasons for the change: 1) name change or 2) location change. A “Name Change” is not allowed to be used in the circumstance of an acquisition or merger.

Block 17(c). For any change where the license is “in furtherance of an agreement,” the applicant must complete the amendment to the agreement required by 22 CFR 124. (See “Agreement Guidelines” on www.pmddtc.state.gov for clarification regarding “in

furtherance of an agreement.”) Indicate compliance with 22 CFR 124 by selecting “yes,”

“no,” or “not applicable.” If the applicant is unable to state “yes” or “not applicable,” do not submit this request. First submit and receive approval from PM/DDTC to amend the applicable agreement.

Block 17(d). Enter foreign consignor as stated on original DSP-61 license.

Block 17(e). Enter modified foreign consignor.

Note. Allows for name change only. The name change must not be the result of a merger or acquisition which would require submission of a DSP-5 application. Additionally, in such instances retransfer defense articles previously exported under the original license to the newly created foreign entity must be submitted in accordance with 22 CFR § 123.9.

Block 18. Change in Foreign Intermediate Consignee (DSP-61 license, Block 20). For each foreign intermediate freight forwarder, complete Blocks 18(a), 18(b), 18(c), and 18(d) and provide applicable information.

Block 18(a). Types of modifications are: 1) add new foreign freight forwarder; 2) change in name ONLY of original foreign intermediate consignee to include foreign freight forwarder; 3) change in ONLY address and/or city of original foreign intermediate consignee to include foreign freight forwarder; or 4) change in name, address, city and/or country of original foreign intermediate consignee to include foreign freight forwarder. The addition of an intermediate foreign consignee(s) is limited only to adding a new foreign freight forwarder(s) only when the freight forwarder is engaged in the business of transporting the defense articles. Any other foreign consignee or a freight forwarder who is acting in any capacity other than the transport of the defense articles must be the subject of a new license application that would clearly define the role of the new foreign intermediate consignee/freight forwarder.

Block 18(b). State the specific reason for the change.

Block 18(c). Enter Foreign Intermediate Consignee as stated on original DSP-61 license.

Block 18(d). Enter New Foreign Intermediate Consignee. A freight forwarder means that the party(s) identified is transporting the defense articles and not using them in any manner.

Note. Allows for name change only. The name change must not be the result of a merger or acquisition which would require submission of a DSP-5 application.

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Additionally, in such instances retransfer defense articles previously exported under the original license to the newly created foreign entity must be submitted in accordance with 22 CFR § 123.9.

Block 19. Change Name, Address, City, State and/or ZIP Code of Original U.S. Intermediate Consignee (DSP-61 license, Block 21). Select the type of modification and complete Blocks 19(a), 19(b), 19(c), 19(d), and 19(e).

Block 19(a). Types of modifications are: 1) add new U.S. intermediate consignee; 2) change in name of original U.S. intermediate consignee; and 3) change in address, city, state and/or ZIP code of original U.S. intermediate consignee. The addition of an U.S. intermediate consignee(s) is limited only to adding a new freight forwarder(s) and only when the freight forwarder is engaged in the business of transporting the defense articles. Any other U.S. intermediate consignee or a freight forwarder who is acting in any capacity other than the transport of the defense articles must be the subject of a new license application that would clearly define the role of the new U.S. intermediate consignee/freight forwarder.

Block 19(b). State the specific reason for the change.

Block 19(c). For any change where the license is “in furtherance of an agreement,” the applicant must complete the amendment to the agreement required by 22 CFR 124. (See “Agreement Guidelines” on www.pmddtc.state.gov for clarification regarding “in furtherance of an agreement”.) Indicate compliance with 22 CFR 124 by selecting “yes,”

“no,” or “not applicable.” If the applicant is unable to state “yes” or “not applicable,” do not submit this request. First submit and receive approval from PM/DDTC to amend the applicable agreement.

Block 19(d). Enter U.S. Intermediate Consignee as stated on original DSP-61 license.

Block 19(e). Enter New/Modified U.S. Intermediate Consignee.

Block 20. Change Name, Address and/or City of Original Consignee in Foreign Country of Ultimate Destination (DSP-61 license, Block 22). For each foreign consignee being amended, complete Blocks 20(a), 20(b), 20(c), 20(d), and 20(e) and provide documentation from the foreign consignee validating the change.

Block 20(a). Types of modifications are: 1) change in name of original consignee in foreign country of ultimate destination, and 2) change in address and/or city of original consignee in foreign country of ultimate destination. No new foreign consignee(s) may be added. New foreign consignee(s) must be the subject of a new license request (e.g., DSP-61, DS-6004).

Block 20(b). State the specific reason for the change. Select one of the reasons for the change: 1) name change or 2) location change.

Block 20(c). For any change where the license is “in furtherance of an agreement,” the applicant must complete the amendment to the agreement required by 22 CFR 124 (See “Agreement Guidelines” on www.pmddtc.state.gov for clarification regarding “in furtherance of an agreement.”) Indicate compliance with 22 CFR 124 by selecting “yes,”

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“no,” or “not applicable.” If the applicant is unable to state “yes” or “not applicable,” do not submit this request. First submit and receive approval from PM/DDTC to amend the applicable agreement.

Block 20(d). Enter Consignee in Foreign Country of Ultimate Destination as stated on original DSP-61 license.

Block 20(e). Enter Modified Consignee in Foreign Country of Ultimate Destination.

Note. Allows for name change only. The name change must not be the result of a merger or acquisition which would require submission of a DSP-5 application. Additionally, in such instances retransfer defense articles previously exported under the original license to the newly created foreign entity must be submitted in accordance with 22 CFR § 123.9.

Block 21. Change Name, Address, and/or City of Original Owner/End-User in Foreign Country of Ultimate Destination (DSP-61 license, Block 24). If the end-user change has already been made by changing Block 14, select same as Block 14. If the end-user identified in Block 24 of the DSP-61 is not the same as the end-user identified in Block 16 of the DSP-61, for each end-user being modified, complete Blocks 21(a), 21(b), 21(c), and 21(d). The addition of a new foreign owner/end-user must be the subject of a new license application.

Block 21(a). Types of modifications are: 1) change in name of original owner/end-user in foreign country of ultimate destination and 2) change in address, and/or city of original owner/end-user in foreign country of ultimate destination.

Block 21(b). State the specific reason for the change.

Block 21(c). Enter Owner/End-User in Foreign Country of Ultimate Destination as stated on original DSP-61 license.

Block 21(d). Enter Modified Owner/End-User in Foreign Country of Ultimate Destination.

Note. Allows for name change only. The name change must not be the result of a merger or acquisition which would require submission of a DSP-5 application. Additionally, in such instances retransfer defense articles previously exported under the original license to the newly created foreign entity must be submitted in accordance with 22 CFR § 123.9.

Block 22. Additional Details of Transaction. Provide any information that you believe would be useful in the review of the transaction. Do not duplicate the information in Blocks 1-21 and do not use this block to provide information that should be in Blocks 1-21. Use of this block to provide information that is required in Blocks 1-21 could result

in a case being Returned Without Action. An example of additional information could be the name and telephone number and a brief description of any discussions held with DDTC personnel for amendments that are the result of an acquisition/merger.

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*Block 23. Applicant’s Statement. Electronic submissions: Type the name of the

individual who will digitally sign the request and check the boxes that apply. Paper

submissions: Type the name of the individual who will sign the license application, sign

the application, and check the boxes that apply.

Notes.

1. The individual whose name is in this field must be an ITAR-empowered official

(see 22 CFR § 120.25) or an official of a foreign government entity in the United

States. Signing of an application by anyone other then an ITAR-empowered official

or “for” another company or person is a violation of the ITAR.

2. Per the ITAR, the individual signing the request must meet all the criteria stated in 22 CFR § 120.25. The criteria include that the individual:

- is a U.S. citizen, or is lawfully admitted to the United States for permanent residence, or an official of a foreign government acting in their official capacity; and

- has responsibility for ensuring compliance with all the facts stated in the request; and

- is responsible for seeking all the required certifications of the form, as well as all other provisions of the ITAR; and

- can certify the conditions of 22 CFR § 126.13 and 130, and that the applicant and other parties to the request are eligible.

Block 24. Response to be sent to. FOR PAPER SUBMISSIONS ONLY: Provide the complete name, address, and phone number. DO NOT PUT “SAME AS BLOCK 3.”

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