Implementing Export Regulations into a AS9100 D Management System

Mark Stevens, President, Aerospace Exports Incorporated, Moreno Valley, USA

Keywords: AS9100 and U.S. Export Control Regulations, Embedding ITAR Requirements into AS9100 Management, Compliance to US Export Regulations

Industry: Defense/Military

Level: Basic


Companies with solid processes who are AS9100 registered are losing access to RFP s because they are not or cannot properly document their compliance to the International Traffic In Arms Regulations (ITAR). For years AS9100 registered organizations have struggled with determining exactly what constitutes ITAR Compliance . Many organizations have the misconception that being Registered with the Department of State s Directorate of Defense Trade Controls (being DDTC Registered) was all that was required. This is completely false. Recently the US Government Accountability Office denied a protest from an organization that was eliminated from competition of an ARMY RFP because they failed to show ITAR compliance. Had this and many other organizations realized that following the spirit of the AS9100, they would have captured these regulatory requirements within their management system.

Using examples from recent USG RFP s, excerpts from contract clauses and recently published trade control standards published by National Aerospace Standards, this presentation will provide the attendees with the precise processes to embed into their existing AS9100 Systems, such as:

Authorization Management (Licenses, Agreements, Exemptions, Exceptions)

Export Shipments (Documentation Requirements, License Decrementation)

Broker/Freight Forwarder Management

Management responsibilities, appointment of Empowered Officials and compliance officers

Handling and storage of technical data

Receipt, handling, storing, implementation and testing of ITAR-controlled items

Document Marking

Record keeping

Restriction of access by foreign nationals to ITAR controlled items or data


Transaction Auditing

Foreign Travel and Trade Shows

Communication with employees located outside the United States

Shipping pre and post requirements

Government Reporting


Facility Control and Clean Desk Policies

I.T. Policies

HR and On-Boarding

Supplier Evaluation

Electronic transfer of technical data between employees, customers and suppliers

Screening for prohibited persons and transactions

Determining when a replacement part can be exported or when service can be provided after a licensed export.

The ITAR was written using precise terms, the attendees will learn key definitions including to aid their in their jurisdiction and classification analysis:

Specially Designed

End-Items, Components, Accessories, Parts, Software, Firmware and Equipment

Development and Production

There are 16 U.S. Agencies with authority to regulate exports or administer procedures involving exports, this presentation will provide the attendee with the an overview of the agencies involved and where they can access the cognizant regulations.

Lastly the attendee will leave with the understanding of what exactly constitutes an export. Many organizations do not allow plant tours or place giant black curtains to protect a foreign nationals from seeing a defense article. In this session we explain how the Department of State views Visual Inspection .