Description

This section describes the process for applying for Australian Community Membership. For more information on becoming a member, go to Australian Community Membership Information

Important Note:

The SmartForm functionality works best when the form is opened in Adobe Reader. Opening the Smartform in Adobe Acrobat Professional or another PDF reader may cause problems with the form. Adobe Reader can be downloaded for free from the Adobe website and is suitable for use on most operating systems. Please ensure you have the latest version of Adobe Reader installed to avoid problems when using the Smartform.

Requirements

  1. To complete this application form you will need to quote your Defence Export Control System Client Registration Form (DCRN). If you don’t have a DCRN, you must first create a user account with Defence. Once the account is created, you can complete the Client Registration Form to gain your DCRN.
  2. When you submit your completed application, you may be required to attach supporting documentation as specified within the application form.

For more information on using the form can be found in the Guide to Using a SmartForm.

Note: When you complete this form, you will be prompted to submit it via email by clicking on the 'submit' button at the end of the form. You do not need to post or fax a copy of the application as well.

This section describes the process for applying for Australian Community Membership - Government.

For more information on becoming a member, go to Australian Community Membership – Government Information

Important Note:

The SmartForm functionality works best when the form is opened in Adobe Reader. Opening the Smartform in Adobe Acrobat Professional or another PDF reader may cause problems with the form.

Adobe Reader can be downloaded for free from the Adobe website and is suitable for use on most operating systems. Please ensure you have the latest version of Adobe Reader installed to avoid problems when using the Smartform.

Requirements

  1. To complete this application form you will need to quote your Defence Export Control System Client Registration Form (DCRN). If you don’t have a DCRN, you must first create a user account with Defence. Once the account is created, you can complete the Client Registration Form to gain your DCRN.
  2. When you submit your completed application, you may be required to attach supporting documentation as specified within the application form.

For more information on using the form can be found in the Guide to Using a SmartForm.

Note: When you complete this form, you will be prompted to submit it via email by clicking on the 'submit' button at the end of the form. You do not need to post or fax a copy of the application as well.

Description

This section describes the process for applying for Intermediate Consignee membership.

For more information, go to Intermediate Consignee Information.

Important Note:

The SmartForm functionality works best when the form is opened in Adobe Reader. Opening the Smartform in Adobe Acrobat Professional or another PDF reader may cause problems with the form. Adobe Reader can be downloaded for free from the Adobe website and is suitable for use on most operating systems. Please ensure you have the latest version of Adobe Reader installed to avoid problems when using the Smartform.

Requirements

  1. To complete this application form you will need to quote your Defence Export Control System Client Registration Form (DCRN). If you don’t have a DCRN, you must first create a user account with Defence. Once the account is created, you can complete the Client Registration Form to gain your DCRN.
  2. When you submit your completed application, you may be required to attach supporting documentation as specified within the application form.

For more information on using the form can be found in the Guide to Using a SmartForm.

Note: When you complete this form, you will be prompted to submit it via email by clicking on the 'submit' button at the end of the form. You do not need to post or fax a copy of the application as well.

Description

This application form is for the purpose of applying to Transition and Article into the Treaty.

For more information on the application process go to Using the Treaty.

Important Note:

The SmartForm functionality works best when the form is opened in Adobe Reader. Opening the Smartform in Adobe Acrobat Professional or another PDF reader may cause problems with the form. Adobe Reader can be downloaded for free from the Adobe website and is suitable for use on most operating systems. Please ensure you have the latest version of Adobe Reader installed to avoid problems when using the Smartform.

Requirements

  1. To complete this application form you will need to quote your DECS Client Registration Number (DCRN). If you don't have a DCRN, you must first register with Defence. A Client Registration Form can be downloaded from the DEC Forms page.
  2. When you submit your completed application, you may be required to attach supporting documentation as specified within the application form.

For more information on using the form can be found in the Guide to Using a SmartForm.

Note: When you complete this form, you will be prompted to submit it via email by clicking on the 'submit' button at the end of the form. You do not need to post or fax a copy of the application as well.

The Treaty's full title is: Treaty between the Government of Australia and the Government of the United States of America concerning Defense Trade Cooperation. It is also commonly referred to as the Defence Trade Cooperation Treaty.

The Treaty creates an Approved Community, consisting of the Australian Community and the United States Community, within which members can export or transfer Treaty eligible Articles without requiring separate export licenses or permits from either country.

A Treaty Article is any good or technology which has been approved for export under the Treaty. The Defense Trade Cooperation Munitions List (DTCML) will detail which goods and technology are eligible to become Treaty Articles.

The DTCML consists of two parts which should be read in conjunction with each other to determine the eligibility of goods and technology.

  • Part 1 is based on the United States Munitions List and lists goods and technologies which are eligible for export under the Treaty.
  • Part 2 is based on the Exempted Technologies List (ETL) and lists the goods and technologies which are not eligible for export under the Treaty.

The ETL is one of the Treaty scope lists. The goods and technologies listed on the ETL are generally considered too sensitive for licence-free export under the Treaty. The ETL will continue to be reviewed and list items are likely to reduce over time.

In the US, Defence articles listed on the United States Munitions List are eligible for transitioning into the Treaty unless specifically exempted by the ETL.

Treaty membership is a one off process. It aims to improve the efficiency of two-way trade between Australia and the United States in defence goods, services and technology by facilitating exports without the need for export licences.

  • This is achieved by establishing an Approved Community of government facilities and private companies in both countries.
  • Treaty Articles can be transferred within this community without the administrative delays sometimes caused by current United States and Australian export controls licensing processes.

The Treaty may allow:

  • reduced delivery time for new defence projects;
  • improved sustainment, by permitting transfers within the Approved Community without further Australian or US approvals;
  • a more efficient way for United States companies to share technical data with the Australian Community without licences;
  • consistent compliance requirements through membership in the Australian Community; and
  • avoiding delays sometimes associated with the export licensing process.

If this website does not address your enquiry, or you have any feedback, please email ustradetreaty@defence.gov.au.

Any articles that are listed in Part 1 of the Defense Trade Cooperation Munitions List (DTCML), and not listed in Part 2, will be eligible for the Treaty. Part 2 lists those goods which have been exempted from the Treaty. The two Parts of the DTCML should always be read in conjunction with each other.

To undertake any activity under the Treaty a company must first be an approved member of the Australian Community. There are four lists that define the scope of eligible activities under the Treaty. Companies should check whether their proposed activity is covered within one of these lists:

  1. Australian Government End-Use List;
  2. Cooperative Programs List;
  3. Combined Operations and Exercises List; and
  4. Nominated US Government End-Use programs.

Subject to mutual approval by the Australian and US Governments, these lists will be amended as new projects, programs or exercises emerge and/or conclude.

New projects and programs can be considered for addition to the scope lists, subject to mutual approval by the Australian and United States Governments. Please contact the Australian Trade Treaty team if you wish to discuss adding your project or program.

Yes. Companies that currently operate using individual ITAR authorisations are to continue to do so.

The Treaty may exclude the sharing of technical data often associated with complex acquisition and sustainment projects subsequently ruling out its use. Eligible technical data will be described/annotated within the DTCML (Part 1 and not Part 2).

An Australian Community Member can operate under both the ITAR and the Treaty if that Community Member is also involved in an activity that is not covered by the scope of the Treaty.

Within Australia, the Treaty is enabled through provisions in the Defence Trade Controls Act 2012 and in the United States the Treaty is enabled through a licensing exemption in the ITAR. Because the compliance requirements for the Treaty have been largely replicated from ITAR, companies will find that the compliance requirements are similar for both. For more information on ITAR, see the United States Department of State website.

Australian non-governmental entities that trade or intend to trade in Treaty-eligible articles may apply for membership by submitting an Application to join the Australian Community. Australian government agencies that intend to use the Treaty should contact the Australian Trade Treaty team.

Approved Community Members in Australia will be provided an Approved Community Identification Number (ACID). Prior to supply, Australian Community Members must confirm that the entity receiving the Treaty Article is a member of the Approved Australian or United States Community.

Australian Community Members must be DISP accredited, which includes accreditation in the membership level areas of Governance, Personnel, Physical and Information & Cyber. Prior to receiving membership, applicants will be assessed for foreign ownership, control and influence, previous convictions and indictments under Australian or United States export laws, potential national security risks and be approved by both the Australian and United States Governments.

The Australian Trade Treaty team maintains a list of Australian Approved Community Members that can be found above. If there is any doubt to the AC status of a business, the AC member should seek validation from the Australian Trade Treaty team by emailing ustradetreaty@defence.gov.au.

To confirm United States Community membership - The Australian Community Member can request the recipient's membership status and seek written confirmation of their registration with the Directorate of Defense Trade Controls (DDTC).

There is no charge involved with submitting your Treaty application. However, requirements involved with DISP and related security aspects, may incur costs through internal recruitment of specialist staff or through the provision of external support.

Applying for membership in the Approved Community is a voluntary commercial decision. Companies have the option of continuing to operate within the existing Australian and United States export control systems if deemed appropriate for their business application.

Australian Community members will be obliged to meet Treaty standards in protective measures for goods and technology, personnel security clearances and compliance. These standards will be published by the Australian Trade Treaty team and included in the Australian Community Manual. The Treaty security standards will be appropriate for the protection of sensitive unclassified technology.

Note: Australian Community membership is not equivalent to DISP, and does not enable Australian Community members to access national security classified information. If an Australian Community member requires access to classified Treaty Articles they will be required to meet those security requirements as per existing arrangements for classified information.

Yes. Membership of the Defence Industry Security Program (DISP) is a requirement for admission to the Australian Community.

The Australian Community Manual details the DISP requirements for Australian Community membership.

Further information is available on the Defence Industry Security Program page.

All employees requiring access to Treaty articles must possess a current Australian Government security clearance to at least baseline level and a 'need to know'. A higher level of clearance is required if the employee needs access to classified Treaty Articles.

Additional security checks are to be conducted on any staff member found to have connections and significant ties to ITAR proscribed nationals.

For further information regarding security clearances, please contact the Australian Government Security Vetting Agency.

Manufacturers and distributors are subject to the same eligibility requirements for admission to the Australian Community, which includes the requirement for the activity to involve eligible articles in support of the approved Treaty scope.

If the parts and components being manufactured or distributed currently require a Technical Assistance Agreement (TAA) or Manufacturing Licensing Agreement (MLA), the manufacturer or distributor may consider joining the Australian Community. Depending on the activities they undertake, it may remove the requirement for individual export licences or approvals.

Prospective Australian Community Members should seek DISP accreditation to the levels described within the Australian Community Manual. DISP membership to the required levels is mandatory for Australian Community Member registration. They should additionally look at the associated application form to identify information sought..

Yes. An applicant must nominate a Treaty Trade Officer and an Authorised Executive as part of their application. The Treaty Trade Officer should have an awareness of the Treaty and the associated regulations. The Authorised Executive should have a particular awareness of the compliance aspects of the Treaty and how they are relevant to their business.

Yes. Applicants have the opportunity on the Registration for Australian Community – Non Government Application form to describe their business activity as it relates to Treaty membership. The Australian Trade Treaty team will analyse this content and make a determination on a case by case basis, taking into account knowledge of planned or foreseen additions or changes to Programs, Activities, Exercises and End-Use Lists.

For the purposes of the Treaty, a facility is a space where Treaty Articles may be stored, handled or manufactured. This could be a section of a warehouse or a room in an office used for preparing tenders. The facility must be accredited by Defence as suitable for the storage, handling or manufacturing of Treaty Articles before any Treaty activity is undertaken.

Membership of the Australian Community requires that a company have access to an accredited facility. Companies that do not own the facility should provide evidence of a lease or other approval to use the facility as part of their application.

Facilities will be accredited according to the security classification of goods stored or handled at the site. At the minimum, facilities will be assessed in accordance with the requirements of Zone 2 of the Australian Government Protective Security Policy Framework, Physical Security Management Guidelines - Security Zones and Risk Mitigation Control Measures.

For Australian Community applicants and members, visit the Defence Industry Security Program page for further information about facility accreditation.

Only one accredited facility is required for membership of the Australian Community. Members can accredit further facilities, based on their business requirements, after membership has been approved.

All facilities used for storage, handling or manufacturing of Treaty Articles must be accredited.

Australian Community members that require additional facilities approved for Treaty activities should complete the form. If there are any additional questions, members should contact the Australian Trade Treaty team.

Yes.
The approval process for a Defence owned or Defence establishment located facility requires the provision of a letter from the respective Defence facility representative.

This letter is to state that the Approved Australian Community Member is approved to use the described facilities for the purpose of handling and storage of Treaty articles.

This is to be provided with the following forms for review and approval:

  • Registration for Australian Community – Non Government.
  • Additional Treaty facility Request.

Security Policies and Plans are to be provided in this case, to demonstrate the security commitment of the Applicant, however the provision of a floor plan, or lease details, are not required.

Treaty facilities are required to be approved by both Australia and United States authorities before any Treaty activities, including the storage of articles. As a result, a Community Member should seek to have their new facility accredited as soon as possible.

The process for approval of a new facility is the same as that for an Additional Facility.

Once the new facility is approved, the Australian Trade Treaty team (with confirmation from the Australian Community Member) will liaise with the United States to have the previous facility deactivated (if required), and set the new facility as the primary Treaty facility.

Australian Community members must keep records of all activities under the Treaty to assure the Australian Government that Treaty Articles are stored, handled, manufactured, transferred and marked appropriately.

The record-keeping requirements for Australian Community members are listed in the Defence Trade Controls Regulation 2013.

Note: The Regulation does not prescribe how records must be kept. So long as the required information is recorded, it may be recorded in a manner which best suits the existing processes of the Australian Community member. When making this consideration, the member should consider the level of information required to be able to accurately outline the provision of an article from an auditing perspective.

Marking requirements for Treaty Articles are listed in the Defence Trade Controls Regulation 2013. Note that the marking should follow standard Defence marking guidelines, and be red in colour and centred on the article.

The standard marking for unclassified United States Origin Defense Articles will read:

  • 'Restricted USML//REL AUS and USA Treaty Community'(where 'restricted' is a dissemination marking)

The standard marking for classified United States Origin Defence Articles will read:

  • '//[CLASSIFICATION] USML//REL AUS and USA Treaty Community//' (where [CLASSIFICATION] means the security classification level assigned to United States Defence Article).

The standard marking for unclassified Australian Origin Treaty Articles will read:

  • 'Australian unclassified USML//REL AUS and USA Treaty Community'

The standard marking for classified Australian Origin Treaty Articles will read:

  • '//AUSTRALIAN [CLASSIFICATION LEVEL] USML //REL AUS and USA Treaty Community//'; (where [CLASSIFICATION LEVEL] means the security classification assigned to the Article).

Articles should be marked where practical. If it is impractical to do so, the marking should be on documentation accompanying the article. The types of documentation accompanying a Treaty Article may include bills of lading, consignment notes, invoices and contracts.

With the exception of reporting a breach, Australian Community members are required to submit an annual compliance report. Notification of this requirement will be sent automatically to every Approved Community member at the end of each financial year. The member is required to submit their completed reports back to the Australian Trade Treaty team within 30 days of receipt.

The monitoring powers are listed in sections 41-43 of the Defence Trade Controls Act 2012. These powers are for the purpose of ascertaining an Australian Community members’ compliance with their membership approval conditions.

Compliance monitoring powers include the power to enter, search, inspect and create copies of anything relevant to the Treaty on the premises of an Australian Community member.

Monitoring powers will be exercised by 'Authorised Officers', who are approved as such by the Secretary of Defence.

You must submit a written request to the Australian Trade Treaty team. This is done by competing an Application to Transition Article into Treaty form. You will be asked to provide information such as:

  • the license number under which the defense article was previously authorized for export from the United States
  • a precise description, quantity and value of the Defense Article
  • identification of the end-user, and a description of the new end-use

Treaty articles must be listed in Part 1 of the Defense Trade Controls Munitions List, and not listed in Part 2, and be in support of an activity contained in the Treaty's scope.

Once reviewed and approved by both Governments, you will be notified and the articles can then transitioned to Treaty management.

For a third country national (who is not also an Australian citizen) to access Treaty Articles, the person must have specific authorisation from both the Government of Australia and the Government of the United States of America.

Questions can be forwarded to the Australian Trade Treaty team.

The Treaty can be used for elements of the program that involve transfers of Treaty articles between members of the Australian Community and the United States Community. Where Treaty articles need to be re-transferred to the third party, the articles would need to be transitioned out of the Treaty and exported under existing export controls. Noting this is a Government program, the initiation of a Third Party Retransfer will be required to enable the third party access to the Defence articles.

As per article 3(3) of the Treaty, defence articles acquired through the Foreign Military Sales (FMS) program are eligible after they have been delivered. The FMS program must be included on one of the scope lists and the articles intended for trade must be listed on the Defense Trade Cooperation Munitions List.

The article must then be transitioned into the Treaty through the Application to Transition Article into Treaty, which requires the completion of a form that seeks United States and Australian approval of the transition.

The Treaty arrangements can accommodate the participation of non-Australian Community members in activities under the Treaty. This is intended for situations where a sub-contractor or small-to-medium enterprise is not centrally involved in the Treaty-related activities, but requires access to Treaty Articles for a specific purpose (for example, to conduct a specialised finishing or coating process).

Australian Community members will be able to request authorisation for a sub-contractor to access the Treaty Article through a General Correspondence Letter to the United States Department of State (under the provisions of an ITAR 123.9 retransfer). If United States approval is granted, the Treaty Article will be subject to normal ITAR access requirements whilst in the sub-contractor's possession. Note that any approval from the United States is likely to incur strict provisos related to the item that the approved recipient (sub-contractor) must ensure are fully understood and implemented. These provisions will be noted on approval documentation.

Treaty controls will resume on the Treaty Article when it is returned to the Australian Community member.

The Treaty may be used for the transferring of classified articles noting the following conditions:

  • The articles must be described in Part 1 (and not Part 2) of the Defence Trade Cooperation Munitions List.
  • The articles are released pursuant to a government written request, directive or contract that provides for the export of the article. For United States origin defence articles, the written request, directive or contract must be from the United States Department of Defense. For Australian origin defense articles, the written request, directive or contract must be from the Australian Government (as per Defence Trade Cooperation Munitions List Part 2, para a(3)).

The relevant security requirements for handling articles apply in addition to Treaty compliance requirements.

To update details, please have one of your organisations’ nominated Treaty contacts email the Australian Trade Treaty team.

The destruction of a Treaty article is considered a change in end-use and therefore requires a separate United States approval. This approval can be sourced via a General Correspondence (GC) Letter to the United States Department of State (under the provisions of an ITAR 123.9 retransfer) detailing the disposal method and entity conducting the disposal.

The article will need to be listed on an existing or new ITAR agreement or licence. This should be organised with the United States supplier in the first instance, who will work with DDTC to gain the approval to remove the item from Treaty management and list it on a new authorisation.

There are several considerations to be made in this situation, including:

  • The items you intend supplying must be listed on the DTCML.
  • The contract must be linked to an approved end use for Treaty articles.
  • Your company must become a member of the Australian Community, meaning a series of actions must be undertaken including gaining DISP membership.
  • Your company must accept the compliance requirements inherent with the Treaty.

There is no requirement to operate under the Treaty and it is usually the choice of the company if they wish to join. However, Defence may at times specify use of the Treaty to improve operations, which will necessitate an application.

There are unique differences applicable to each employment type:

  • Embedded Contractors working within Defence - If employed as 'regular employees' (see ITAR 120.39) of Defence, these staff will be approved to work with Treaty articles. Some companies may request or be asked not to be employed under this clause, in this case the parent company will be required to become a Community Member.
  • Industry Partner Contractors working in support of Defence - The parent company will be required to be an Approved Community Member in all instances.

An Intermediate Consignee is a freight forwarder or transport provider that has been approved by the Australian and United States Governments to receive Treaty Articles from Australian Community members for the purposes of moving the article.

Australian Community members should consult the Approved Intermediate Consignee List to source an appropriate provider to transport their Treaty Articles.

Note: Approval to receive Treaty Articles does not include authorisation for freight consolidation which involves accessing articles.

Intermediate Consignees are not part of the Australian Community. However, Intermediate Consignees have been approved to receive Treaty Articles from Australian Community members for the purpose of moving the article to other Approved Community members.

Intermediate Consignees must possess a system capable of tracking the movement of articles in their possession including information such as time, date, location and identity of recipient. The specific requirements are detailed in the Defence Trade Controls Regulation 2013.