30-Day Notice of Proposed Information Collection: Disclosure of Violations of the Arms Export Control Act, 85668-85670 [2016-28514]
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85668
Federal Register / Vol. 81, No. 228 / Monday, November 28, 2016 / Notices
blocking and other measures authorized
in the Order because of the ability to
transfer funds instantaneously, I
determine that no prior notice needs to
be provided to any person subject to this
determination who might have a
constitutional presence in the United
States, because to do so would render
ineffectual the measures authorized in
the Order.
This notice shall be published in the
Federal Register.
Dated: October 21, 2016.
John F. Kerry,
Secretary of State.
[FR Doc. 2016–28585 Filed 11–25–16; 8:45 am]
BILLING CODE 4710–AD–P
DEPARTMENT OF STATE
[Public Notice 9801]
mstockstill on DSK3G9T082PROD with NOTICES
E.O. 13224 Designation of Jorge
Quispe Palomino, aka Comrade Raul
as a Specially Designated Global
Terrorist
Acting under the authority of and in
accordance with section 1(b) of E.O.
13224 of September 23, 2001, as
amended by E.O. 13268 of July 2, 2002,
and E.O. 13284 of January 23, 2003, I
hereby determine that the person known
as Jorge Quispe Palomino, also known
as Comrade Raul, committed, or poses a
significant risk of committing, acts of
terrorism that threaten the security of
U.S. nationals or the national security,
foreign policy, or economy of the United
States.
Consistent with the determination in
section 10 of E.O. 13224 that prior
notice to persons determined to be
subject to the Order who might have a
constitutional presence in the United
States would render ineffectual the
blocking and other measures authorized
in the Order because of the ability to
transfer funds instantaneously, I
determine that no prior notice needs to
be provided to any person subject to this
determination who might have a
constitutional presence in the United
States, because to do so would render
ineffectual the measures authorized in
the Order.
This notice shall be published in the
Federal Register.
Dated: October 31, 2016.
John F. Kerry,
Secretary of State.
[FR Doc. 2016–28551 Filed 11–25–16; 8:45 am]
BILLING CODE 4710–AD–P
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21:15 Nov 25, 2016
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[Public Notice: 9802]
E.O. 13224 Designation of Tarcela Loya
Vilchez, aka Comrade Olga as a
Specially Designated Global Terrorist
Acting under the authority of and in
accordance with section 1(b) of E.O.
13224 of September 23, 2001, as
amended by E.O. 13268 of July 2, 2002,
and E.O. 13284 of January 23, 2003, I
hereby determine that the person known
as Tarcela Loya Vilchez, also known as
Comrade Olga, committed, or poses a
significant risk of committing, acts of
terrorism that threaten the security of
U.S. nationals or the national security,
foreign policy, or economy of the United
States.
Consistent with the determination in
section 10 of E.O. 13224 that prior
notice to persons determined to be
subject to the Order who might have a
constitutional presence in the United
States would render ineffectual the
blocking and other measures authorized
in the Order because of the ability to
transfer funds instantaneously, I
determine that no prior notice needs to
be provided to any person subject to this
determination who might have a
constitutional presence in the United
States, because to do so would render
ineffectual the measures authorized in
the Order.
This notice shall be published in the
Federal Register.
Dated: October 31, 2016.
John F. Kerry,
Secretary of State.
[FR Doc. 2016–28583 Filed 11–25–16; 8:45 am]
BILLING CODE 4710–AD–P
DEPARTMENT OF STATE
[Public Notice: 9791]
30-Day Notice of Proposed Information
Collection: Disclosure of Violations of
the Arms Export Control Act
Notice of request for public
comment.
ACTION:
The Department of State is
seeking Office of Management and
Budget (OMB) approval for the
information collection described below.
In accordance with the Paperwork
Reduction Act of 1995, we are
requesting comments on this collection
from all interested individuals and
organizations. The purpose of this
notice is to allow 30 days for public
comment preceding submission of the
collection to OMB.
SUMMARY:
PO 00000
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The Department will accept
comments from the public up to
December 28, 2016.
ADDRESSES: Direct comments to the
Department of State Desk Officer in the
Office of Information and Regulatory
Affairs (OIRA) at the Office of
Management and Budget (OMB). You
may submit comments by the following
methods:
• Email: oira_submission@
omb.eop.gov. You must include the DS
form number, information collection
title, and the OMB control number in
the subject line of your message.
• Fax: 202–395–5806. Attention: Desk
Officer for Department of State.
You must include the DS form
number, information collection title,
and OMB control number in any
correspondence.
FOR FURTHER INFORMATION CONTACT:
Direct requests for additional
information regarding the collection
listed in this notice, including requests
for copies of the proposed collection
instrument and supporting documents,
to Danielle Canfield, Directorate of
Defense Trade Controls, Department of
State, who may be reached at
CanfieldDP@state.gov.
SUPPLEMENTARY INFORMATION:
• Title of Information Collection:
Disclosure of Information Related to
Potential Violations of the Arms Export
Control Act.
• OMB Control Number: 1405–0179.
• Type of Request: Revision of a
Currently Approved Collection.
• Originating Office: T/PM/DDTC.
• Form Number: DS–7787.
• Respondents: Individuals and
companies engaged in the business of
manufacturing, exporting, or
temporarily importing defense hardware
or defense technical data; furnishing
defense services; or brokering.
• Estimated Number of Respondents:
1500.
• Estimated Number of Responses:
1500.
• Average Time per Response: 10
hours.
• Total Estimated Burden Time:
15,000 hours.
• Frequency: On occasion.
• Obligation to Respond: Voluntary,
unless required under ITAR Sections
126.1, 126.16, 126.17, 123.17.
We are soliciting public comments to
permit the Department to:
• Evaluate whether the proposed
information collection is necessary for
the proper functions of the Department.
• Evaluate the accuracy of our
estimate of the time and cost burden for
this proposed collection, including the
validity of the methodology and
assumptions used.
DATES:
DEPARTMENT OF STATE
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Federal Register / Vol. 81, No. 228 / Monday, November 28, 2016 / Notices
• Enhance the quality, utility, and
clarity of the information to be
collected.
• Minimize the reporting burden on
those who are to respond, including the
use of automated collection techniques
or other forms of information
technology.
Please note that comments submitted in
response to this notice are public
record. Before including any detailed
personal information, you should be
aware that your comments as submitted,
including your personal information,
will be available for public review.
mstockstill on DSK3G9T082PROD with NOTICES
Abstract of Proposed Collection
The Directorate of Defense Trade
Controls (DDTC), Bureau of PoliticalMilitary Affairs, U.S. Department of
State, in accordance with the Arms
Export Control Act (AECA) (22 U.S.C.
2751 et seq.) and the AECA’s
implementing regulations, the
International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120–
130), has the principal missions of
taking final action on license
applications and other requests for
defense trade transactions via
commercial channels, ensuring
compliance with the statute and
regulations, and collecting various types
of reports. By statute, Executive Order,
regulation, and delegation of authority,
DDTC is charged with controlling the
export and temporary import of defense
articles and the provision of defense
services covered by the U.S. Munitions
List, and the brokering thereof.
In accordance with ITAR Part 127,
DDTC maintains a robust program to
ensure compliance with the AECA and
ITAR. As a part of this program, DDTC
encourages the voluntary disclosure of
potential violations of the AECA, ITAR,
and any regulation, order, or
authorization issued thereunder. The
information disclosed is analyzed to
determine whether administrative
action concerning any violation is
warranted; the voluntary nature of such
a disclosure may be considered a
mitigating factor in determining the
administrative penalties, if any, which
may be imposed. Failure to report a
violation may result in circumstances
detrimental to U.S. national security
and foreign policy interests and will be
considered as an adverse factor in
determining the appropriate disposition
of such violations. Also, the activity in
question might merit referral to the
Department of Justice for consideration
of whether criminal prosecution is
warranted. In such cases, DDTC will
notify the Department of Justice of the
voluntary nature of the disclosure, but
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21:15 Nov 25, 2016
Jkt 241001
the Department of Justice is not required
to give that fact any weight.
The ITAR also imposes a duty to
notify DDTC of potential violations of
the AECA and ITAR in certain
instances. In accordance with ITAR
§§ 123.17(j), 126.1(e)(2), 126.16(h)(8)
and (n), and 127.17(h)(8) and (n), any
person involved in or with knowledge
of activities identified or prohibited by
these sections must notify DDTC of the
violations or produce documents and
information, respectively.
In certain circumstances, DDTC may
also request or direct a registrant or
another party to disclose details about a
particular transaction or program based
on information it receives from partner
federal agencies or other sources. The
information required for a directed
disclosure is largely the same as that
requested in a voluntary disclosure and
must be sufficient for DDTC to
determine the precise nature of the
violation, the circumstances
surrounding it, and any remediation
efforts that have been put in place.
ITAR § 127.12 enunciates the
information which should accompany a
disclosure. Historically, respondents to
this information collection submitted
their disclosures to DDTC in writing via
hard copy documentation. However, as
part of an IT modernization project
designed to streamline the collection
and use of information by DDTC, a form
has been developed for the submission
of disclosures. This will allow both
DDTC and respondents submitting a
disclosure to more easily track and
analyze submissions. This method of
submission is discussed in detail below.
Response to Public Comments
On June 20, 2016, DDTC published a
Federal Register Notice requesting
initial public comments on the
proposed disclosure form, DS–7787
‘‘Disclosure of Violations of the Arms
Export Control Act.’’ 81 FR 39994.
DDTC received nine comments in
response to this request, summarized
below along with DDTC’s responses:
Several commenters opined that the
DS–7787 form should merely function
as a cover sheet for disclosure
submissions in order to allow
submitters to use a more narrative
format to notify DDTC of potential
violations. DDTC notes that the
intended use of the form is to utilize
uniform data fields for greater search
and analytics capabilities and
readability in the case management
system; the unlimited-character text
boxes associated with each data field
will allow ample room for narratives to
be included in the submission and
therefore this comment was not
PO 00000
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85669
accepted. DDTC does recognize,
however, that the need exists for a
mechanism to allow submitters to
explain ancillary information, and will
add an ‘‘Additional Relevant
Information’’ text box and the ability to
upload supporting documentation to the
form. However, DDTC stresses that this
does not absolve submitters of the
responsibility to use the form as the
primary vehicle for declaring violations.
Other comments concerned the
burden associated with the form, which
DDTC reasons to be an average of 10
hours per submission. These
commenters argued that a 10-hour
burden is inadequate to capture the
amount of effort that is required by
certain complex disclosures; DDTC
appreciates these comments but replies
that 10 hours is an average figure, and
while some disclosures are very
complex, the vast majority of
disclosures declared on an annual basis
are discrete instances which take far less
than 10 hours per response. Therefore,
DDTC believes 10 hours to be an
accurate representation of the total
average burden per response.
Several commenters also requested
that the instructions be revised to,
among others, define which fields of the
form are mandatory; explain how to
determine the number of violations;
clarify what information is required for
‘‘related disclosures,’’ ‘‘discovery date,’’
and ‘‘relevant Department of State
license(s) or authorization(s)’’; describe
the disclosure method for companies
and individuals under a consent
agreement or similar reporting
arrangement; and describe the method
of submission of the form. DDTC
appreciates all of these comments and
has re-worked the instructions based on
this feedback; the instructions are
posted and available for review along
with the revised form on DDTC’s Web
site at www.pmddtc.state.gov.
Another commenter noted that the
form does not discuss how to make a
disclosure that involves classified
information. DDTC has addressed this
guidance in the revised instructions and
stresses that classified information
should never be included on the DS–
7787. Similarly, guidance on making a
disclosure related to a country
proscribed by ITAR § 126.1 has also
been included in the instructions.
Multiple commenters also asked that
the form be updated to accept
submissions from third parties such as
an outside counsel. DDTC notes that the
ITAR requires an empowered official, as
defined in ITAR § 120.25, to certify the
disclosure, but that outside counsel may
be listed as a point-of-contact for the
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85670
Federal Register / Vol. 81, No. 228 / Monday, November 28, 2016 / Notices
submission; this option has been added
to the form.
In a similar vein, some commenters
requested clarification on how to
disclose violations that involve a sublicensee or subcontractor, and also how
non-U.S. entities (e.g. authorized endusers or foreign consignees) will submit
disclosures. DDTC replies that sublicensees and subcontractors should be
included as involved parties on the
form; if the violation of the sub-licensee
or subcontractor related to one of the
discloser’s authorizations, the discloser
may have responsibility for the violation
and it should be reported as such. If the
respondent is reporting a violation of a
subcontractor or sub-licensee that is not
related to any of the respondent’s
authorizations, the option ‘‘Third party
disclosure’’ should be selected. NonU.S. entities will be required to create
a unique username and password to
access the case management system and
file a disclosure directly.
One commenter also requested that
DDTC work with its counterpart bureau
in the Department of Commerce to
develop a joint disclosure form. The
commenter argued that since the Obama
Administration’s Export Control Reform
(ECR) initiative has transferred oversight
of dozens of commodities from the U.S.
Munitions List (USML) to the
Department of Commerce’s Export
Administration Regulations (EAR), a
joint form would capture instances
where a violation occurred prior to a
commodity being moved from the
USML to the EAR. DDTC replies that the
DS–7787 will exist beyond the ECR
initiative, and submitters are required to
explain the violation in detail on the
form, during which time any ECR
distinctions should be made.
Similarly, several commenters
remarked that DDTC should include a
field to allow respondents to include
‘‘mitigating information’’ regarding the
particular matter they are disclosing.
DDTC notes that the form, as written,
contains all of the information required
by ITAR § 127.12. Additionally, as
addressed above, DDTC has added a
field for additional relevant information
on the form, and notes that this would
be the appropriate place to enter
mitigating and/or aggravating
information that does not more properly
fit into another field. The respondent is
encouraged to provide as much detail of
remedial measures and mitigating
factors as they are able throughout the
existing fields; however, determinations
of exactly what constitutes ‘‘mitigating
information’’ are made solely by DDTC;
therefore, such a separate field will not
be added to the form.
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21:15 Nov 25, 2016
Jkt 241001
One commenter also requested DDTC
to address the information protection
and data security elements of the case
management system. Recognizing the
sensitivity of the data submitted in a
disclosure, the system will meet all
current government standards for data
security and the Privacy Act of 1974.
Individual users will also be required to
create a unique username and password
to access the system and submit
information over an encrypted
connection. Similarly, DDTC will
protect information from public
disclosure to the extent permitted by
law; DDTC encourages submitters to
clearly mark proprietary information in
accordance with the Department of State
guidelines at 22 CFR 171.12.
One commenter requested that the
form include a question to declare
whether a disclosure involves Major
Defense Equipment (MDE), which DDTC
has incorporated into the form.
Methodology
This information will be collected by
electronic submission. Respondents will
be required to enroll in DDTC’s online
system and will be issued an
appropriate credential based on the
business the user will be transacting.
Lower assurance matters (such as initial
registration in the system) will require
a secure username and password.
Matters requiring higher assurance will
require multi-factor credentials, such as
a certificate based login.
Dated: November 21, 2016.
Anthony M. Dearth,
Managing Director, Acting Directorate of
Defense Trade Controls, Department of State.
[FR Doc. 2016–28514 Filed 11–25–16; 8:45 am]
BILLING CODE 4710–25–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
[Summary Notice No. PE–2016–116]
Petition for Exemption; Summary of
Petition Received; CK Aerial
Photography LLC
Federal Aviation
Administration (FAA), DOT.
ACTION: Notice.
AGENCY:
This notice contains a
summary of a petition seeking relief
from specified requirements of Title 14
of the Code of Federal Regulations. The
purpose of this notice is to improve the
public’s awareness of, and participation
in, the FAA’s exemption process.
Neither publication of this notice nor
the inclusion or omission of information
in the summary is intended to affect the
SUMMARY:
PO 00000
Frm 00163
Fmt 4703
Sfmt 4703
legal status of the petition or its final
disposition.
DATES: Comments on this petition must
identify the petition docket number and
must be received on or before December
19, 2016.
ADDRESSES: Send comments identified
by docket number FAA–2016–5813
using any of the following methods:
• Federal eRulemaking Portal: Go to
https://www.regulations.gov and follow
the online instructions for sending your
comments electronically.
• Mail: Send comments to Docket
Operations, M–30; U.S. Department of
Transportation (DOT), 1200 New Jersey
Avenue SE., Room W12–140, West
Building Ground Floor, Washington, DC
20590–0001.
• Hand Delivery or Courier: Take
comments to Docket Operations in
Room W12–140 of the West Building
Ground Floor at 1200 New Jersey
Avenue SE., Washington, DC, between 9
a.m. and 5 p.m., Monday through
Friday, except Federal holidays.
• Fax: Fax comments to Docket
Operations at 202–493–2251.
Privacy: In accordance with 5 U.S.C.
553(c), DOT solicits comments from the
public to better inform its rulemaking
process. DOT posts these comments,
without edit, including any personal
information the commenter provides, to
https://www.regulations.gov, as
described in the system of records
notice (DOT/ALL–14 FDMS), which can
be reviewed at https://www.dot.gov/
privacy.
Docket: Background documents or
comments received may be read at
https://www.regulations.gov at any time.
Follow the online instructions for
accessing the docket or go to the Docket
Operations in Room W12–140 of the
West Building Ground Floor at 1200
New Jersey Avenue SE., Washington,
DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
FOR FURTHER INFORMATION CONTACT: Dan
Ngo, (202) 267–4264 800 Independence
Avenue SW., Washington, DC 20591.
This notice is published pursuant to
14 CFR 11.85.
Issued in Washington, DC, on November
18, 2016.
Dale Bouffiou,
Deputy Director, Office of Rulemaking.
Petition for Exemption
Docket No.: FAA–2016–5813.
Petitioner: CK Aerial Photography
LLC.
Section(s) of 14 CFR Affected: 14 CFR
part 21 and Sections 45.23(b),
61.113(a)(b), 91.7(a), 91.9(b)(2),
91.103(b)(2), 91.109, 91.119(c), 91.121,
91.151, 91.203(a)(b), 91.405(a),
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]]>Agencies
[Federal Register Volume 81, Number 228 (Monday, November 28, 2016)]
[Notices]
[Pages 85668-85670]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-28514]
-----------------------------------------------------------------------
DEPARTMENT OF STATE
[Public Notice: 9791]
30-Day Notice of Proposed Information Collection: Disclosure of
Violations of the Arms Export Control Act
ACTION: Notice of request for public comment.
-----------------------------------------------------------------------
SUMMARY: The Department of State is seeking Office of Management and
Budget (OMB) approval for the information collection described below.
In accordance with the Paperwork Reduction Act of 1995, we are
requesting comments on this collection from all interested individuals
and organizations. The purpose of this notice is to allow 30 days for
public comment preceding submission of the collection to OMB.
DATES: The Department will accept comments from the public up to
December 28, 2016.
ADDRESSES: Direct comments to the Department of State Desk Officer in
the Office of Information and Regulatory Affairs (OIRA) at the Office
of Management and Budget (OMB). You may submit comments by the
following methods:
Email: oira_submission@omb.eop.gov. You must include the
DS form number, information collection title, and the OMB control
number in the subject line of your message.
Fax: 202-395-5806. Attention: Desk Officer for Department
of State.
You must include the DS form number, information collection title,
and OMB control number in any correspondence.
FOR FURTHER INFORMATION CONTACT: Direct requests for additional
information regarding the collection listed in this notice, including
requests for copies of the proposed collection instrument and
supporting documents, to Danielle Canfield, Directorate of Defense
Trade Controls, Department of State, who may be reached at
CanfieldDP@state.gov.
SUPPLEMENTARY INFORMATION:
Title of Information Collection: Disclosure of Information
Related to Potential Violations of the Arms Export Control Act.
OMB Control Number: 1405-0179.
Type of Request: Revision of a Currently Approved
Collection.
Originating Office: T/PM/DDTC.
Form Number: DS-7787.
Respondents: Individuals and companies engaged in the
business of manufacturing, exporting, or temporarily importing defense
hardware or defense technical data; furnishing defense services; or
brokering.
Estimated Number of Respondents: 1500.
Estimated Number of Responses: 1500.
Average Time per Response: 10 hours.
Total Estimated Burden Time: 15,000 hours.
Frequency: On occasion.
Obligation to Respond: Voluntary, unless required under
ITAR Sections 126.1, 126.16, 126.17, 123.17.
We are soliciting public comments to permit the Department to:
Evaluate whether the proposed information collection is
necessary for the proper functions of the Department.
Evaluate the accuracy of our estimate of the time and cost
burden for this proposed collection, including the validity of the
methodology and assumptions used.
[[Page 85669]]
Enhance the quality, utility, and clarity of the
information to be collected.
Minimize the reporting burden on those who are to respond,
including the use of automated collection techniques or other forms of
information technology.
Please note that comments submitted in response to this notice are
public record. Before including any detailed personal information, you
should be aware that your comments as submitted, including your
personal information, will be available for public review.
Abstract of Proposed Collection
The Directorate of Defense Trade Controls (DDTC), Bureau of
Political-Military Affairs, U.S. Department of State, in accordance
with the Arms Export Control Act (AECA) (22 U.S.C. 2751 et seq.) and
the AECA's implementing regulations, the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120-130), has the principal missions
of taking final action on license applications and other requests for
defense trade transactions via commercial channels, ensuring compliance
with the statute and regulations, and collecting various types of
reports. By statute, Executive Order, regulation, and delegation of
authority, DDTC is charged with controlling the export and temporary
import of defense articles and the provision of defense services
covered by the U.S. Munitions List, and the brokering thereof.
In accordance with ITAR Part 127, DDTC maintains a robust program
to ensure compliance with the AECA and ITAR. As a part of this program,
DDTC encourages the voluntary disclosure of potential violations of the
AECA, ITAR, and any regulation, order, or authorization issued
thereunder. The information disclosed is analyzed to determine whether
administrative action concerning any violation is warranted; the
voluntary nature of such a disclosure may be considered a mitigating
factor in determining the administrative penalties, if any, which may
be imposed. Failure to report a violation may result in circumstances
detrimental to U.S. national security and foreign policy interests and
will be considered as an adverse factor in determining the appropriate
disposition of such violations. Also, the activity in question might
merit referral to the Department of Justice for consideration of
whether criminal prosecution is warranted. In such cases, DDTC will
notify the Department of Justice of the voluntary nature of the
disclosure, but the Department of Justice is not required to give that
fact any weight.
The ITAR also imposes a duty to notify DDTC of potential violations
of the AECA and ITAR in certain instances. In accordance with ITAR
Sec. Sec. 123.17(j), 126.1(e)(2), 126.16(h)(8) and (n), and
127.17(h)(8) and (n), any person involved in or with knowledge of
activities identified or prohibited by these sections must notify DDTC
of the violations or produce documents and information, respectively.
In certain circumstances, DDTC may also request or direct a
registrant or another party to disclose details about a particular
transaction or program based on information it receives from partner
federal agencies or other sources. The information required for a
directed disclosure is largely the same as that requested in a
voluntary disclosure and must be sufficient for DDTC to determine the
precise nature of the violation, the circumstances surrounding it, and
any remediation efforts that have been put in place.
ITAR Sec. 127.12 enunciates the information which should accompany
a disclosure. Historically, respondents to this information collection
submitted their disclosures to DDTC in writing via hard copy
documentation. However, as part of an IT modernization project designed
to streamline the collection and use of information by DDTC, a form has
been developed for the submission of disclosures. This will allow both
DDTC and respondents submitting a disclosure to more easily track and
analyze submissions. This method of submission is discussed in detail
below.
Response to Public Comments
On June 20, 2016, DDTC published a Federal Register Notice
requesting initial public comments on the proposed disclosure form, DS-
7787 ``Disclosure of Violations of the Arms Export Control Act.'' 81 FR
39994. DDTC received nine comments in response to this request,
summarized below along with DDTC's responses:
Several commenters opined that the DS-7787 form should merely
function as a cover sheet for disclosure submissions in order to allow
submitters to use a more narrative format to notify DDTC of potential
violations. DDTC notes that the intended use of the form is to utilize
uniform data fields for greater search and analytics capabilities and
readability in the case management system; the unlimited-character text
boxes associated with each data field will allow ample room for
narratives to be included in the submission and therefore this comment
was not accepted. DDTC does recognize, however, that the need exists
for a mechanism to allow submitters to explain ancillary information,
and will add an ``Additional Relevant Information'' text box and the
ability to upload supporting documentation to the form. However, DDTC
stresses that this does not absolve submitters of the responsibility to
use the form as the primary vehicle for declaring violations.
Other comments concerned the burden associated with the form, which
DDTC reasons to be an average of 10 hours per submission. These
commenters argued that a 10-hour burden is inadequate to capture the
amount of effort that is required by certain complex disclosures; DDTC
appreciates these comments but replies that 10 hours is an average
figure, and while some disclosures are very complex, the vast majority
of disclosures declared on an annual basis are discrete instances which
take far less than 10 hours per response. Therefore, DDTC believes 10
hours to be an accurate representation of the total average burden per
response.
Several commenters also requested that the instructions be revised
to, among others, define which fields of the form are mandatory;
explain how to determine the number of violations; clarify what
information is required for ``related disclosures,'' ``discovery
date,'' and ``relevant Department of State license(s) or
authorization(s)''; describe the disclosure method for companies and
individuals under a consent agreement or similar reporting arrangement;
and describe the method of submission of the form. DDTC appreciates all
of these comments and has re-worked the instructions based on this
feedback; the instructions are posted and available for review along
with the revised form on DDTC's Web site at www.pmddtc.state.gov.
Another commenter noted that the form does not discuss how to make
a disclosure that involves classified information. DDTC has addressed
this guidance in the revised instructions and stresses that classified
information should never be included on the DS-7787. Similarly,
guidance on making a disclosure related to a country proscribed by ITAR
Sec. 126.1 has also been included in the instructions.
Multiple commenters also asked that the form be updated to accept
submissions from third parties such as an outside counsel. DDTC notes
that the ITAR requires an empowered official, as defined in ITAR Sec.
120.25, to certify the disclosure, but that outside counsel may be
listed as a point-of-contact for the
[[Page 85670]]
submission; this option has been added to the form.
In a similar vein, some commenters requested clarification on how
to disclose violations that involve a sub-licensee or subcontractor,
and also how non-U.S. entities (e.g. authorized end-users or foreign
consignees) will submit disclosures. DDTC replies that sub-licensees
and subcontractors should be included as involved parties on the form;
if the violation of the sub-licensee or subcontractor related to one of
the discloser's authorizations, the discloser may have responsibility
for the violation and it should be reported as such. If the respondent
is reporting a violation of a subcontractor or sub-licensee that is not
related to any of the respondent's authorizations, the option ``Third
party disclosure'' should be selected. Non-U.S. entities will be
required to create a unique username and password to access the case
management system and file a disclosure directly.
One commenter also requested that DDTC work with its counterpart
bureau in the Department of Commerce to develop a joint disclosure
form. The commenter argued that since the Obama Administration's Export
Control Reform (ECR) initiative has transferred oversight of dozens of
commodities from the U.S. Munitions List (USML) to the Department of
Commerce's Export Administration Regulations (EAR), a joint form would
capture instances where a violation occurred prior to a commodity being
moved from the USML to the EAR. DDTC replies that the DS-7787 will
exist beyond the ECR initiative, and submitters are required to explain
the violation in detail on the form, during which time any ECR
distinctions should be made.
Similarly, several commenters remarked that DDTC should include a
field to allow respondents to include ``mitigating information''
regarding the particular matter they are disclosing. DDTC notes that
the form, as written, contains all of the information required by ITAR
Sec. 127.12. Additionally, as addressed above, DDTC has added a field
for additional relevant information on the form, and notes that this
would be the appropriate place to enter mitigating and/or aggravating
information that does not more properly fit into another field. The
respondent is encouraged to provide as much detail of remedial measures
and mitigating factors as they are able throughout the existing fields;
however, determinations of exactly what constitutes ``mitigating
information'' are made solely by DDTC; therefore, such a separate field
will not be added to the form.
One commenter also requested DDTC to address the information
protection and data security elements of the case management system.
Recognizing the sensitivity of the data submitted in a disclosure, the
system will meet all current government standards for data security and
the Privacy Act of 1974. Individual users will also be required to
create a unique username and password to access the system and submit
information over an encrypted connection. Similarly, DDTC will protect
information from public disclosure to the extent permitted by law; DDTC
encourages submitters to clearly mark proprietary information in
accordance with the Department of State guidelines at 22 CFR 171.12.
One commenter requested that the form include a question to declare
whether a disclosure involves Major Defense Equipment (MDE), which DDTC
has incorporated into the form.
Methodology
This information will be collected by electronic submission.
Respondents will be required to enroll in DDTC's online system and will
be issued an appropriate credential based on the business the user will
be transacting. Lower assurance matters (such as initial registration
in the system) will require a secure username and password. Matters
requiring higher assurance will require multi-factor credentials, such
as a certificate based login.
Dated: November 21, 2016.
Anthony M. Dearth,
Managing Director, Acting Directorate of Defense Trade Controls,
Department of State.
[FR Doc. 2016-28514 Filed 11-25-16; 8:45 am]
BILLING CODE 4710-25-P
