Form DS-4294 Brokering License Requirements

Brokering License Requirements – ITAR Part 129.6

• Cover Page

  • Transaction ID (optional)

  • Documents

    • No drop-down list of options for documents. User can enter a description/title of the document and attach what they want.

• Block 1 - 2 – Basic Information

  • Date Prepared (auto populated and required)

  • Applicant Information

    • Registration Code (required)
      Business Rule – Registration Code must be a K Code.

    • Name (required)

    • Attention (required)

    • Address (required)

    • City (required)

    • State

    • Zip/Postal Code

    • Country (required)

• Block 3 - Certification Statement

  • Select appropriate statement(s) (required)

    • A

    • B

    • C

    • D

• Block 4 - Describe Brokering Activity

  • Action to be taken by the applicant to facilitate the manufacture, export, import, or transfer of a defense article or defense service (which may be referred to as a “defense article or defense service transaction”)

• Block 5 - Persons who may participate in brokering activity

  • Brokering Participants: (at least 1 required)

    • Name (required)

    • Address (required)

    • City (required)

    • State

    • Zip/Postal Code

    • Country (required)

    • Nationality (required)

    • Place of Business Information:

      • Name (required)

      • Address (required)

      • City (required)

      • State

      • Zip/Postal Code

      • Country (required)

  • Add

• Block 6 - 9 - Description of Defense Article or Defense Services that may be involved

  • 6. Commodity Information (at least 1 required)

    • USML Category (required)

    • USML Sub Category (required)

    • Is defense article significant military equipment (SME)?

    • Name or Military Nomenclature (required)

    • Estimated Quantity (required)

    • Estimated U.S. dollar value (required)

    • Line Item total (auto calculated)

    • Security Classification (required)

    • Add (ability to add multiple commodities)

  • 7. Total Value (auto calculated)

  • 8. End User (at least 1 required)

    • Name (required)

    • Address (required)

    • City (required)

    • Country (required)

    • Add (ability to add multiple end users)

  • 9. End Use (required)

• Block 10 – Related to direct commercial sale or FMS program (required)

  • Statement whether brokering activities are related to a sale through direct commercial sale or under the U.S. Foreign Military Sales program or other activity in support of the U.S. Government

• Block 11 - Empowered Certification Statement (required)

  • Certification that the request is complete and accurate

    • If at the time of submission certain information required in Block 4, 5, 6, 7, 8, 9 or 10 is not yet available, this fact must be stated and explained in the certification required.

  • Signature (Empowered official)

On successful submission, assign case number. Numbering convention is BA-L###-YY. Number resets yearly back to 001.

Follow same rules for internal business rule validation...

• Verify registration code is valid (exists, name and code match and not expired)

• Run names through watchlist

• Flag any licensing warnings (countries)

• Assign case based on USML category

screen shots as of 3/17

Incomplete block 5 and 10, therefore explanation text box is required.

Complete and valid Blocks 4 -10 information, therefore explanation block disabled.