Authorization Validated End-User (VEU) permits the export, reexport, and transfer to validated end-users of any eligible items that will be used in a specific eligible destination. Validated end-users are those who have been approved in advance pursuant to the requirements of this section. To be eligible for authorization VEU, exporters, reexporters, and potential validated end-users must adhere to the conditions and restrictions set forth in paragraphs (a) through (f) of this section. If a request for VEU authorization for a particular end-user is not granted, no new license requirement is triggered. In addition, such a result does not render the end-user ineligible for license approvals from BIS.
(a) Eligible end-users. The only end-users to whom eligible items may be exported, reexported, or transferred under VEU are those validated end-users identified in Supplement No. 7 to Part 748, according to the provisions in this section and those set forth in Supplement Nos. 8 and 9 to this part that have been granted VEU status by the End-User Review Committee (ERC) according to the process set forth in Supplement No. 9 to this part.
(1) Requests for authorization must be submitted in the form of an advisory opinion request, as described in Sec. 748.3(c)(2), and should include a list of items (items for purposes of authorization VEU include commodities, software and technology, except as excluded by paragraph (c) of this section), identified by ECCN, that exporters or reexporters intend to export, reexport or transfer to an eligible end-user, once approved. To ensure a thorough review, requests for VEU authorization must include the information described in Supplement No. 8 to this part. Requests for authorization will be accepted from exporters, reexporters or end-users. Submit the request to: The Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue, NW., Room 2099B, Washington, DC 20230. Mark the package ``Request for Authorization Validated End-User.''
(2) In evaluating an end-user for eligibility under authorization VEU, the ERC will consider a range of information, including such factors as: the entity's record of exclusive engagement in civil end-use activities; the entity's compliance with U.S. export controls; the need for an on-site review prior to approval; the entity's capability of complying with the requirements of authorization VEU; the entity's agreement to on-site reviews to ensure adherence to the conditions of the VEU authorization by representatives of the U.S. Government; and the entity's relationships with U.S. and foreign companies. In addition, when evaluating the eligibility of an end-user, the ERC will consider the status of export controls and the support and adherence to multilateral export control regimes of the government of the eligible destination.
(3) The VEU authorization is subject to revision, suspension or revocation entirely or in part.
(4) Information submitted in a VEU request is deemed to constitute continuing representations of existing facts or circumstances. Any material or substantive change relating to the authorization must be promptly reported to BIS, whether VEU authorization has been granted or is still under consideration.
(b) Eligible destinations. Authorization VEU may be used for the following destinations:
(1) The People's Republic of China.
(2) India.
(c) Item restrictions. Items controlled under the EAR for missile technology (MT) and crime control (CC) reasons may not be exported or reexported under this authorization.
(d) End-use restrictions. Items obtained under authorization VEU may be used only for civil end-uses and may not be used for any activities described in part 744 of the EAR. Exports, reexports, or transfers made under authorization VEU may only be made to an end-user listed in Supplement No. 7 to this part if the items will be consigned to and for use by the validated end-user. Eligible end-users who obtain items under VEU may only:
(1) Use such items at the end-user's own facility located in an eligible destination or at a facility located in an eligible destination over which the end-user demonstrates effective control;
(2) Consume such items during use; or
(3) Transfer or reexport such items only as authorized by BIS.
Note to paragraph (d): Authorizations set forth in Supplement No. 7 to this part are country-specific. Authorization as a validated end-user for one country specified in paragraph (b) of this section does not constitute authorization as a validated end-user for any other country specified in that paragraph.
(e) Certification and recordkeeping. Prior to an initial export or reexport to a validated end-user under authorization VEU, exporters or reexporters must obtain certifications from the validated end-user regarding end-use and compliance with VEU requirements. Such certifications must include the contents set forth in Supplement No. 8 to this part. Certifications and all records relating to VEU must be retained by exporters or reexporters in accordance with the recordkeeping requirements set forth in part 762 of the EAR.
(f) Reporting and review requirements--(1)(i) Reports. Reexporters who make use of authorization VEU are required to submit annual reports to BIS. These reports must include, for each validated end-user to whom the exporter or reexporter exported or reexported eligible items:
(1)(i) Reports. Reexporters who make use of authorization VEU are required to submit annual reports to BIS. These reports must include, for each validated end-user to whom the exporter or reexporter exported or reexported eligible items:
(i) Reports. Reexporters who make use of authorization VEU are required to submit annual reports to BIS. These reports must include, for each validated end-user to whom the exporter or reexporter exported or reexported eligible items:
(A) The name and address of each validated end-user to whom eligible items were reexported;
(B) The eligible destination to which the items were reexported;
(C) The quantity of such items;
(D) The value of such items; and
(E) The ECCN(s) of such items.
(ii) Reports are due by February 15 of each year, and must cover the period of January 1 through December 31 of the prior year. Reports must be sent to: Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Room 2099B, Washington, DC 20230. Mark the package ``Authorization Validated End-User Reports''.
(2) Reviews. Records related to activities covered by authorization VEU that are maintained by exporters, reexporters, and validated end-users who make use of authorization VEU will be reviewed on a periodic basis. Upon request by BIS, exporters, reexporters, and validated end-users must allow review of records, including on-site reviews covering the information set forth in paragraphs (e) and (f)(1) of this section.
(g) Notification requirement. Exporters and reexporters shipping under Authorization VEU and persons transferring (in-country) under Authorization VEU are required to provide the VEUs to which they are shipping or transferring notice of the shipment or transfer. Such notification must be conveyed to the VEU in writing and must include a list of the VEU-authorized contents of the shipment or transfer and a list of the ECCNs under which the VEU-authorized items in the shipment or transfer are classified, as well as a statement that the items are being, will be, or were shipped or transferred pursuant to Authorization VEU. Notification of the export, reexport or transfer (in-country) to the VEU must be made within a timeframe agreed to in writing by the VEU and the person exporting, reexporting or transferring (in-country). The VEU and the person exporting, reexporting or transferring (in-country) must agree to the notification timeframe prior to the initial shipment or transfer under Authorization VEU. Depending on the agreement between the VEU and the person exporting, reexporting or transferring (in-country), a notification may be for individual shipments or for multiple shipments. Exporters, reexporters and VEUs are required to maintain the notifications they send or receive in accordance with their recordkeeping requirements.
(h) Termination of Conditions on VEU Authorizations. VEUs that are subject to item-specific conditions and have received items subject to such conditions under Authorization VEU are no longer bound by the conditions associated with the items if the items no longer require a license for export or reexport to the PRC or India, as applicable, or become eligible for shipment under a license exception to the destination. Items that become eligible for a License Exception are subject to the terms and conditions of the applicable License Exception and the restrictions in Sec. 740.2 of the EAR. Items that become eligible for export without a license and that remain subject to the EAR may only be exported, reexported, transferred (in-country) or disposed of in accordance with the requirements of the EAR. Termination of VEU conditions does not relieve a validated end-user of its responsibility for violations that occurred prior to the availability of a license exception or prior to the removal of license requirements.
(i) Records. Records of items that were shipped under Authorization VEU prior to the removal of a license requirement or the availability of a license exception remain subject to the review requirements of paragraph (f)(2) of this section on and after the date that the license requirement was removed or the license exception became applicable. [72 FR 33660, June 19, 2007, as amended at 72 FR 56011, Oct. 2, 2007; 73 FR 37, Jan. 2, 2008; 77 FR 75013, Dec. 19, 2012; 78 FR 13470, Feb. 28, 2013] Sec. Supplement No. 1 to Part 748--BIS-748P, BIS-748P-A; Item Appendix, and BIS-748P-B; End-User Appendix; Multipurpose Application Instructions
All information must be legibly typed within the lines for each Block or Box, except where a signature is required. Enter only one typed line of text per Block or line. Where there is a choice of entering telephone numbers or facsimile numbers, and you wish to provide a facsimile number instead of a telephone number, identify the facsimile number with the letter ``F'' immediately after the number (e.g., 022-358-0-123456F). If you are completing this form to request classification of your item, you must complete Blocks 1 through 5, 14, 22 (a), (b), (c), (d), and (i), 24, and 25 only.
Block 1: Contact Person. Enter the name of the person who can answer questions concerning the application.
Block 2: Telephone. Enter the telephone number of the person who can answer questions concerning the application.
Block 3: Facsimile. Enter the facsimile number, if available, of the person who can answer questions concerning the application.
Block 4: Date of Application. Enter the current date.
Block 5: Type of Application. Export. If the items are located within the United States, and you wish to export those items, mark the Box labeled ``Export'' with an (X). Reexport. If the items are located outside the United States, mark the Box labeled ``Reexport'' with an (X). Classification. If you are requesting BIS to classify your item against the Commerce Control List (CCL), mark the Box labeled ``Classification Request'' with an (X). Encryption Registration. If you are requesting encryption registration under License Exception ENC (Sec. 740.17 of the EAR) or ``mass market'' encryption provisions (Sec. 742.15(b) of the EAR), mark the Box labeled ``Encryption Registration'' with an (X). Special Comprehensive License. If you are submitting a Special Comprehensive License application in accordance with the procedures described in part 752 of the EAR, mark the Box labeled ``Special Comprehensive License'' with an (X). If you are submitting a License Exception STA eligibility request pursuant to Sec. 740.20(g), mark the box labeled ``Export'' with an (X) and then proceed to Block 6 of this supplement for instructions specific to such requests.
Block 6: Documents submitted with Application. Review the documentation you are required to submit with your application in accordance with the provisions of part 748 of the EAR, and mark all applicable Boxes with an (X).
Mark the Box ``Foreign Availability'' with an (X) if you are submitting an assertion of foreign availability with your license application. See part 768 of the EAR for instructions on foreign availability submissions.
If you are not making a foreign availability assertion under part 768 of the EAR, you may still mark the box ``Foreign Availability'' with an (X), if you are submitting an assertion of foreign availability with your license application. Foreign availability assertions covered under part 768 are limited to items controlled for national security reasons. However, if an applicant intends to include foreign availability support material for items not controlled for national security reasons, applicants are permitted to do this as part of the license application by marking the box ``Foreign Availability'' with an (X) and including the foreign availability information, along with the support material for the license application. Applicants must clearly label this support material as ``Foreign availability information--outside the scope of part 768''. Although this information is outside the scope of part 768, applicants should still use Supplement No. 1 to part 768 for general guidance regarding what types of information may be suitable for demonstrating foreign availability. The purpose of submitting this type of foreign availability information will be to make the U.S. Government more aware of the foreign availability of items not controlled for national security reasons.
Mark the ``Tech. Specs.'' box with an (X) if you are submitting descriptive literature, brochures, technical specifications, etc. with your application. Mark the ``Other'' box with an (X) and insert the phrase ``STA request'' for the description of the support document to submit a request for License Exception STA eligibility pursuant to Sec. 740.20(g). (See Supplement No. 2 to part 748 under paragraph (w) for unique application and submission requirements for License Exception STA eligibility requests described under this Block 6.)
Block 7: Documents on File with Applicant. Certify that you have retained on file all applicable documents as required by the provisions of part 748 by placing an (X) in the appropriate Box(es).
Block 8: Special Comprehensive License. Complete this Block only if you are submitting an application for a Special Comprehensive License in accordance with part 752 of the EAR.
Block 9: Special Purpose. Complete this block for certain items or types of transactions only if specifically required in Supplement No. 2 to this part.
Block 10: Resubmission Application Control Number. If your original application was returned without action (RWA), provide the Application Control Number. This does not apply to applications returned without being registered.
Block 11: Replacement License Number. If you have received a license for identical items to the same ultimate consignee, but would like to make a modification that is not excepted in Sec. 750.7(c) of the EAR, to the license as originally approved, enter the original license number and complete Blocks 12 through 25, where applicable. Include a statement in Block 24 regarding what changes you wish to make to the original license.
Block 12: Items Previously Exported. This Block should be completed only if you have marked the ``Reexport'' box in Block 5. Enter the license number, License Exception symbol (for exports under General Licenses, enter the appropriate General License symbol), or other authorization under which the items were originally exported, if known.
Block 13: Import/End-User Certificate. Enter the name of the country and number of the Import or End User Certificate obtained in accordance with provisions of this part.
Block 14: Applicant. Enter the applicant's name, street address, city, state/country, and postal code. Provide a complete street address. P.O. Boxes are not acceptable. Refer to Sec. 748.5(a) of this part for a definition of ``applicant''. If you have marked ``Export'' in Block 5, you must include your company's Employer Identification Number unless you are filing as an individual or as an agent on behalf of the exporter. The Employee Identification Number is assigned by the Internal Revenue Service for tax identification purposes. Accordingly, you should consult your company's financial officer or accounting division to obtain this number.
Block 15: Other Party Authorized to Receive License. If you would like BIS to transmit the approved license to another party designated by you, complete all information in this Block, including name, street address, city, country, postal code and telephone number. Leave this space blank if the license is to be sent to the applicant. Designation of another party to receive the license does not alter the responsibilities of the applicant.
Block 16: Purchaser. Enter the purchaser's complete name, street address, city, country, postal code, and telephone or facsimile number. Refer to Sec. 748.5(c) of this part for a definition of ``purchaser''. If the purchaser is also the ultimate consignee, enter the complete name and address. If your proposed transaction does not involve a separate purchaser, leave Block 16 blank.
Block 17: Intermediate consignee. Enter the intermediate consignee's complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. Refer to Sec. 748.5(d) of this part for a definition of ``intermediate consignee''. If this party is identical to that listed in Block 16, enter the complete name and address. If your proposed transaction does not involve use of an intermediate consignee, enter ``None''. If your proposed transaction involves more than one intermediate consignee, provide the same information in Block 24 for each additional intermediate consignee.
Block 18: Ultimate Consignee. This Block must be completed if you are submitting a license application. Enter the ultimate consignee's complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. The ultimate consignee is the party who will actually receive the item for the end-use designated in Block 21. Refer to Sec. 748.5(e) of this part for a definition of ``ultimate consignee''. A bank, freight forwarder, forwarding agent, or other intermediary may not be identified as the ultimate consignee. Government purchasing organizations are the sole exception to this requirement. This type of entity may be identified as the government entity that is the actual ultimate consignee in those instances when the items are to be transferred to the government entity that is the actual end-user, provided the actual end-user and end-use is clearly identified in Block 21 or in the additional documentation attached to the application.
If your application is for the reexport of items previously exported, enter the new ultimate consignee's complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. If your application involves a temporary export or reexport, the applicant should be shown as the ultimate consignee in care of a person or entity who will have control over the items abroad.
Block 19: End-User. Complete this Block only if the ultimate consignee identified in Block 18 is not the actual end-user. If there will be more than one end-user, use Form BIS-748P-B to identify each additional end-user. Enter each end-user's complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable.
Block 20: Original Ultimate Consignee. If your application involves the reexport of items previously exported, enter the original ultimate consignee's complete name, street address, city, country, postal code, and telephone or facsimile number. Provide a complete street address, P.O. Boxes are not acceptable. The original ultimate consignee is the entity identified in the original application for export as the ultimate consignee or the party currently in possession of the items.
Block 21: Specific End-Use: This Block must be completed if you are submitting a license application. Provide a complete and detailed description of the end-use intended by the ultimate consignee and/or end-user(s). If you are requesting approval of a reexport, provide a complete and detailed description of the end-use intended by the new ultimate consignee or end-user(s) and indicate any other countries for which resale or reexport is requested. If additional space is necessary, use Block 21 on Form BIS-748P-A or B. Be specific--vague descriptions such as ``research'', ``manufacturing'', or ``scientific uses'' are not acceptable.
Block 22: For a license application, you must complete each of the sub-blocks contained in this Block. If you are submitting a classification request, you need not complete Blocks (e), (f), (g), and (h). If you wish to export, reexport, or have BIS classify more than one item, use Form BIS-748P-A for additional items.
(a) ECCN. Enter the Export Control Classification Number (ECCN) that corresponds to the item you wish to export or reexport. If you are asking BIS to classify your item, provide a recommended classification for the item in this Block.
(b) CTP. You must enter the ``Adjusted Peak Performance'' (``APP'') in this Block if your application includes a digital computer or equipment containing a computer as described in Supplement No. 2 to this part. Instructions on calculating the APP are contained in a Technical Note at the end of Category 4 in the CCL.
(c) Model Number. Enter the correct model number for the item.
(d) CCATS Number. If you have received a classification for this item from BIS, provide the CCATS number shown on the classification issued by BIS.
(e) Quantity. Identify the quantity to be exported or reexported, in terms of the unit commonly used in the trade.
(f) Units. The unit of quantity used in Block 22(e) must be entered on all license applications submitted to BIS. This Block may be left blank on license applications for technology only.
(g) Unit Price. Provide the fair market value of the items you wish to export or reexport. Round all prices to the nearest whole dollar amount. Give the exact unit price only if the value is less than $0.50. If normal trade practices make it impractical to establish a firm contract price, state in Block 24 the precise terms upon which the price is to be ascertained and from which the contract price may be objectively determined.
(h) Total Price. Provide the total price of the item(s) described in Block 22(j).
(i) Manufacturer. Provide the name only of the manufacturer, if known, for each of the items you wish to export, reexport, or have BIS classify, if different from the applicant.
(j) Technical Description. Provide a description of the item(s) you wish to export, reexport, or have BIS classify. Provide details when necessary to identify the specific item(s), include all characteristics or parameters shown in the applicable ECCN using measurements identified in the ECCN (e.g., basic ingredients, composition, electrical parameters, size, gauge, grade, horsepower, etc.). These characteristics must be identified for the items in the proposed transaction when they are different than the characteristics described in promotional brochure(s).
Block 23: Total Application Dollar Value. Enter the total value of all items contained on the application in U.S. Dollars. The use of other currencies is not acceptable.
Block 24: Additional Information. Enter additional data pertinent to the application as required in the EAR. Include special certifications, names of parties of interest not disclosed elsewhere, explanation of documents attached, etc. Do not include information concerning Block 22 in this space.
If your application represents a previously denied application, you must provide the Application Control Number from the original application.
If you are requesting BIS to classify your product, use this space to explain why you believe the ECCN entered in Block 22(a) is appropriate. This explanation must contain an analysis of the item in terms of the technical control parameters specified in the appropriate ECCN. If you have not identified a recommended classification in Block 22(a), you must state the reason you cannot determine the appropriate classification, identifying anything in the regulations that you believe precluded you from determining the correct classification.
If additional space is necessary, use Block 24 on Form BIS-748P-A or B.
This Block should be completed if your application includes a 9x515 or ``600 series'' item that is equivalent to a transaction previously approved under an ITAR license or other approval. Enter the previous State license number or other approval identifier in Block 24 of the BIS license application. If more than one previous State license number or other approval identifier is applicable, then enter the most recent one. Only those license applications where the particulars of the EAR license application are equivalent as previously authorized under the ITAR license or other approval in regard to the description of the item (including the item's function, performance capabilities, form and fit), purchaser, ultimate consignee and end users on the license will receive full consideration under this paragraph, which may result in a quicker processing time. The classification of the 9x515 or ``600 series'' item in question will no longer be the same because the item would no longer be ``subject to the ITAR,'' but all other aspects of the description of the item must be the same in order to be reviewed under this expedited process under paragraph (x) of Supplement No. 2 to part 748 of the EAR.
Block 25: You, as the applicant or duly authorized agent of the applicant, must manually sign in this Block. Rubber-stamped or electronic signatures are not acceptable. If you are an agent of the applicant, in addition to providing your name and title in this Block, you must enter your company's name in Block 24. Type both your name and title in the space provided. [61 FR 12812, Mar. 25, 1996, as amended at 62 FR 25462, May 9, 1997; 68 FR 35786, June 17, 2003; 71 FR 20886, Apr. 24, 2006; 73 FR 21036, Apr. 18, 2008; 75 FR 36500, June 25, 2010; 78 FR 22724, Apr. 16, 2013; 78 FR 61745, Oct. 3, 2013; 78 FR 61902, Oct. 4, 2013; 79 FR 27436, May 13, 2014]
Sec. Supplement No. 2 to Part 748--Unique Application and Submission
Requirements
In addition to the instructions contained in Supplement No. 1 to part 748, you must also ensure that the additional requirements for certain items or types of transactions described in this supplement are addressed in your license application. All other blocks not specifically identified in this supplement must be completed in accordance with the instructions contained in Supplement No. 1 to part 748. The term ``Block'' used in this supplement relates to Form BIS-748P, unless otherwise noted.
(a) Chemicals, medicinals, and pharmaceuticals. If you are submitting a license application for the export or reexport of chemicals, medicinals, and/or pharmaceuticals, the following information must be provided in Block 22.
(1) Facts relating to the grade, form, concentration, mixture(s), or ingredients as may be necessary to identify the item accurately, and;
(2) The Chemical Abstract Service Registry (C.A.S.) numbers, if they exist, must be identified.
(b) Communications intercepting devices. If you are required to submit a license application under Sec. 742.13 of this part, you must enter the words ``Communications Intercepting Device(s)'' in Block 9. The item you are requesting to export or reexport must be specified by name in Block 22(j).
(c) Computers, telecommunications, information security items, and related equipment. If your license application includes items controlled by both Category 4 and Category 5, your license application must be submitted under Category 5 of the Commerce Control List (Sec. 774.1 of the EAR)--see Category 5 Part 1 Notes 1 and 2 and Part 2 Note 1. License applications including computers controlled by Category 4 must identify an ``Adjusted Peak Performance'' (``APP'') in Block 22(b). If the principal function is telecommunications, an APP is not required. Computers, related equipment, or software performing telecommunication or local area network functions will be evaluated against the telecommunications performance characteristics of Category 5 Part 1, while information security commodities, software and technology will be evaluated against the information security performance characteristics of Category 5 Part 2.
(1) Requirements for license applications that include computers. If you are submitting a license application to export or reexport computers or equipment containing computers to destinations in Country Group D:1 (See Supplement No. 1 to part 740 of the EAR), or to upgrade existing computer installations in those countries, you must also include technical specifications and product brochures to corroborate the data supplied in your license application, in addition to the APP in Block 22(b).
(2) Security Safeguard Plan requirement. The United States requires security safeguards for exports, reexports, and transfers (in-country) of High Performance Computers (HPCs) to ensure that they are used for peaceful purposes. If you are submitting a license application for an export, reexport, or in-country transfer of a high performance computer to or within a destination in Computer Tier 3 (see Sec. 740.7(c)(1) of the EAR) or to Cuba, Iran, North Korea, Sudan, or Syria you must include with your license application a security safeguard plan signed by the end-user, who may also be the ultimate consignee. This requirement also applies to exports, reexports, and transfers (in-country) of components or electronic assemblies to upgrade existing ``computer'' installations in those countries. A sample security safeguard plan is posted on BIS's Web page at http://www.bis.doc.gov/hpcs /SecuritySafeguardPlans.html.
(d) Gift parcels; consolidated in a single shipment. If you are submitting a license application to export multiple gift parcels for delivery to individuals residing in a foreign country, you must include the following information in your license application.
Note: Each gift parcel must meet the terms and conditions described for gift parcels in License Exception GFT (see Sec. 740.12(a) of the EAR).
(1) In Block 16, enter the word ``None'';
(2) In Block 18, enter the word ``Various'' instead of the name and address of a single ultimate consignee;
(3) In Block 21, enter the phrase ``For personal use by recipients''.
(4) In Block 22(e), indicate a reasonable estimate of the number of parcels to be shipped during the validity of the license;
(5) In Block 22(j), enter the phrase ``Gift Parcels'';
(6) In Block 23, indicate a reasonable value approximation proportionate to the quantity of gift parcels identified in Block 22(e); and
(e) Intransit through the United States. If you are submitting a license application for items moving intransit through the United States that do not qualify for the intransit provisions of License Exception TMP (see Sec. 740.9(b)(1) of the EAR), you must provide the following information with your license application:
(1) In Block 9, enter the phrase ``Intransit Shipment'';
(2) In Block 24, enter the name and address of the foreign consignor who shipped the items to the United States and state the origin of the shipment;
(3) Any available evidence showing the approval or acquiescence of the exporting country (or the country of which the exporter is a resident) for shipments to the proposed ultimate destination. Such evidence may be in the form of a Transit Authorization Certificate; and
(4) Any support documentation required by Sec. 748.9 of this part for the country of ultimate destination.
(f) Intransit outside of the United States. If you are submitting a license application based on General Prohibition Eight stated in Sec. 736.2(b)(8) of the EAR and identification of the intermediate consignee in the country of unlading or transit is unknown at the time the license application is submitted, the country of unlading or transit must be shown in Block 17.
(g) Nuclear Nonproliferation items and end-uses--(1) Statement requirement. If a license is required to export or reexport items described in Sec. 742.3 of the EAR, or any other item (except those controlled for short supply reasons) where the item is intended for a nuclear end-use, prior to submitting a license application, you must obtain a signed written statement from the end-user certifying the following:
(1) Statement requirement. If a license is required to export or reexport items described in Sec. 742.3 of the EAR, or any other item (except those controlled for short supply reasons) where the item is intended for a nuclear end-use, prior to submitting a license application, you must obtain a signed written statement from the end-user certifying the following:
(i) The items to be exported or replicas thereof (``replicas'' refers to items produced abroad based on physical examination of the item originally exported, matching it in all critical design and performance parameters), will not be used in any of the activities described in Sec. 744.2(a) of the EAR; and
(ii) Written authorization will be obtained from the BIS prior to reexporting the items, unless they are destined to Canada or would be eligible for export from the United States to the new country of destination under NLR based on Country Chart NP Column 1.
(2) License application requirements. Along with the required certification, you must include the following information in your license application:
(i) In Block 7, place an (X) in the box titled ``Nuclear Certification'';
(ii) In Block 9, enter the phrase ``NUCLEAR CONTROLS'';
(iii) In Block 21, provide, if known, the specific geographic locations of any installations, establishments, or sites at which the items will be used;
(iv) In Block 22(j), if applicable, include a description of any specific features of design or specific modifications that make the item capable of nuclear explosive activities, or of safeguarded or unsafeguarded nuclear activities as described in Sec. 744.2(a)(3) of the EAR; and
(v) In Block 24, if your license application is being submitted because you know that your transaction involves a nuclear end-use described in Sec. 744.2 of the EAR, you must fully explain the basis for your knowledge that the items are intended for the purpose(s) described Sec. 744.2 of the EAR. Indicate, if possible, the specific end-use(s) the items will have in designing, developing, fabricating, or testing nuclear weapons or nuclear explosive devices or in designing, constructing, fabricating, or operating the facilities described in Sec. 744.2(a)(3) of the EAR.
(h) Numerical control devices, motion control boards, numerically controlled machine tools, dimensional inspection machines, direct numerical control systems, specially designed assemblies and specially designed software. (1) If you are submitting a license application to export, reexport, or request BIS to classify numerical control devices, motion control boards, numerically controlled machine tools, dimensional inspection machines, and specially designed software you must include the following information in your license application:
(1) If you are submitting a license application to export, reexport, or request BIS to classify numerical control devices, motion control boards, numerically controlled machine tools, dimensional inspection machines, and specially designed software you must include the following information in your license application:
(i) For numerical control devices and motion control boards:
(A) Make and model number of the control unit;
(B) Description and internal configuration of numerical control device. If the device is a computer with motion control board(s), then include the make and model number of the computer;
(C) Description of the manner in which a computer will be connected to the CNC unit for on-line processing of CAD data. Specify the make and model of the computer;
(D) Number of axes the control unit is capable of simultaneously controlling in a coordinated contouring mode, and type of interpolation (linear, circular, and other);
(E) Minimum programmable increment;
(F) A description and an itemized list of all software/firmware to be supplied with the control device or motion control board, including software/firmware for axis interpolation function and for any programmable control unit or device to be supplied with the control unit;
(G) Description of capabilities related to ``real time processing'' and receiving computer aided-design;
(H) A description of capability to accept additional boards or software that would permit an upgrade of the electronic device or motion control board above the control levels specified in ECCN 2B001; and
(I) Specify if the electronic device has been downgraded, and if so can it be upgraded in future.
(ii) For numerically controlled machine tools and dimensional inspection machines:
(A) Name and model number of machine tool or dimensional inspection machine;
(B) Type of equipment, e.g., horizontal boring machine, machining center, dimensional inspection machine, turning center, water jet, etc.;
(C) Description of the linear and rotary axes capable of being simultaneously controlled in a coordinated contouring mode, regardless of the fact that the coordinated movement of the machine axis may be limited by the numerical control unit supplied by the machine tool;
(D) Maximum workpiece diameter for cylindrical grinding machines;
(E) Motion (camming) of the spindle axis measured in the axial direction in one revolution of the spindle, and a description of the method of measurement for turning machine tools only;
(F) Motion (run out) of the spindle axis measured in the radial direction in one revolution of the spindle, and a description of the method of measurement;
(G) Overall positioning accuracy in each axis, and a description of the method for measurement; and
(H) Slide motion test results.
(i) Parts, components, and materials incorporated abroad into foreign-made products. BIS will consider license applications to export or reexport to multiple consignees or multiple countries when an application is required for foreign produced direct product containing parts and components subject to the EAR in Sec. 732.4(b) of the EAR and to General Prohibition Two stated in Sec. 736.2(b)(2) of the EAR. Such requests will not be approved for countries listed in Country Group E:2 (See Supplement No. 1 to part 740 of the EAR), and may be approved only in limited circumstances for countries listed in Country Group D:1.
(1) License applications for the export of parts and components. If you are submitting a license application for the export of parts, components, or materials to be incorporated abroad into products that will then be sent to designated third countries, you must enter in Block 21, a description of end-use including a general description of the commodities to be manufactured, their typical end-use, and the countries where those commodities will be marketed. The countries may be listed specifically or may be identified by Country Groups, geographic areas, etc.
(2) License applications for the reexport of incorporated parts and components. If you are submitting a license application for the reexport of parts, components, or materials incorporated abroad into products that will be sent to designated third countries you must include the following information in your license application:
(i) In Block 9, enter the phrase ``Parts and Components'';
(ii) In Block 18, enter the name, street address, city and country of the foreign party who will be receiving the foreign-made product. If you are requesting approval for multiple countries or consignees enter ``Various'' in Block 18, and list the specific countries, Country Groups, or geographic areas in Block 24;
(iii) In Block 20, enter the name, street address, city, and country of the foreign party who will be exporting the foreign-made product incorporating U.S. origin parts, components or materials;
(iv) In Block 21, describe the activity of the ultimate consignee identified in Block 18 and the end-use of the foreign-made product. Indicate the final configuration if the product is intended to be incorporated in a larger system. If the end-use is unknown, state ``unknown'' and describe the general activities of the end-user;
(v) In Block 22(e), specify the quantity for each foreign-made product. If this information is unknown, enter ``Unknown'' in Block 22(e);
(vi) In Block 22(h), enter the digit ``0'' for each foreign-made product;
(vii) In Block 22(j), describe the foreign-made product that will be exported, specifying type and model or part number. Attach brochures or specifications, if available. Show as part of the description the unit value, in U.S. dollars, of the foreign-made product (if more than one foreign-made product is listed on the license application, specify the unit value for each type/model/part number). Also include a description of the U.S. content (including the applicable Export Control Classification Number(s)) and its value in U.S. dollars. If more than one foreign-made product is identified on the license application, describe the U.S. content and specify the U.S. content value for each foreign-made product. Also, provide sufficient supporting information to explain the basis for the stated values. To the extent possible, explain how much of the value of the foreign-made product represents foreign origin parts, components, or materials, as opposed to labor, overhead, etc. When the U.S. content varies and cannot be specified in advance, provide a range of percentage and value that would indicate the minimum and maximum U.S. content;
(viii) Include separately in Block 22(j) a description of any U.S. origin spare parts to be reexported with the foreign-made product, if they exceed the amount allowed by Sec. 740.10 of the EAR. Enter the quantity, if appropriate, in Block 22(e). Enter the ECCN for the spare parts in Block 22(a) and enter the value of the spare parts in Block 22(h);
(ix) In Block 23, enter the digit ``0'';
(x) If the foreign-made product is the direct product of U.S. origin technology that was exported or reexported subject to written assurance, a request for waiver of that assurance, if necessary, may be made in Block 24. If U.S. origin technology will accompany a shipment to a country listed in Country Group D:1 or E:1 (see Supplement No. 1 to part 740 of the EAR) describe in Block 24 the type of technology and how it will be used.
(j) Ship stores, plane stores, supplies, and equipment--(1) Vessels under construction. If you are submitting a license application for the export or reexport of items, including ship stores, supplies, and equipment, to a vessel under construction you must include the following information in your license application:
(1) Vessels under construction. If you are submitting a license application for the export or reexport of items, including ship stores, supplies, and equipment, to a vessel under construction you must include the following information in your license application:
(i) In Block 18, enter the name, street address, city, and country of the shipyard where vessel is being constructed;
(ii) In Block 22(j), state the length of the vessel for a vessel under 12 m (40 ft) in length. For a vessel 12 m (40 ft) in length or over, provide the following information (if this information is unknown, enter ``Unknown'' in this Block):
(A) Hull number and name of vessel;
(B) Type of vessel;
(C) Name and business address of prospective owner, and the prospective owner's nationality; and
(D) Country of registry or intended country of registry.
(2) Aircraft under construction. If you are submitting a license application for the export or reexport of items, including plane stores, supplies, and equipment, to an aircraft under construction you must include the following information in your license application:
(i) In Block 18, enter the name and address of the plant where the aircraft is being constructed;
(ii) In Block 22(j), enter the following information (if this information is unknown, enter ``Unknown'' in this Block):
(A) Type of aircraft and model number;
(B) Name and business address of prospective owner and his nationality; and
(C) Country of registry or intended country of registry.
(3) Operating vessels and aircraft. If you are submitting a license application for the export or reexport of items, including ship or plane stores, supplies, and equipment to an operating vessel or aircraft, whether in operation or being repaired, you must include the following information in your license application:
(i) In Block 18, enter the name of the owner, the name of the vessel, if applicable, and port or point where the items will be taken aboard;
(ii) In Block 18, enter the following statement if, at the time of filing the license application, it is uncertain where the vessel or aircraft will take on the items, but it is known that the items will not be shipped to a country listed in Country Group D:1 or E:2 (see Supplement No. 1 to part 740 of the EAR):
Uncertain; however, shipment(s) will not be made to Country Groups D:1 or E:2.
(iii) Provide information as described in paragraph (j)(1)(ii) of this supplement for vessels or information contained in paragraph (j)(2)(ii) of this supplement for aircraft.
(k) Regional stability controlled items. (1) If you are submitting a license application for the export or reexport of items controlled for regional stability reasons and subject to licensing under RS Column 1 on the Country Chart, your license application must be accompanied by full technical specifications.
(1) If you are submitting a license application for the export or reexport of items controlled for regional stability reasons and subject to licensing under RS Column 1 on the Country Chart, your license application must be accompanied by full technical specifications.
(2) If you are submitting a license application for the export or reexport to Austria, Cyprus, Finland, Ireland, Israel, Malta, Mexico, Singapore or Sweden of items controlled by ECCNs 2A984, 2D984 or 2E984 to a person designated by a government end-user, pursuant to contract, your license application to export to such designated person must include a statement from the government end-user to be eligible for the licensing policy under Sec. 742.6(b)(2)(ii). A responsible official representing the designated end-user must sign the statement. ``Responsible official'' is defined as someone with personal knowledge of the information included in the statement, and authority to bind the designated end-user for whom they sign, and who has the power and authority to control the use and disposition of the licensed items. Statements from government end-users that the person is so designated (i.e., support documents submitted in accordance with this paragraph (k)(2)) must address the following three criteria for a license application to be reviewed in accordance with the license review policy in Sec. 742.6(b)(2)(ii):
(i) U.S. Department of Homeland Security (DHS) Customer Contract Number or agreement reference number, End-user name (company), complete address (including street address, city, state, country and postal code), end-user point of contact (POC);
(ii) Brief contract description, including DHS Project information and projected outcome; and
(iii) The statement shall include a certification stating ``We certify that all of the representations in this statement are true and correct to the best of our knowledge and we do not know of any additional representations which are inconsistent with the above statement.''
(l) Reexports. If you know that an item that requires a license to be exported from the United States to a certain foreign destination will be reexported to a third destination also requiring approval, such a request must be included on the license application. The license application must specify the country to which the reexport will be made in Block 24. If the export does not require a license but the reexport does, you may apply for a license for the reexport, or you may export without a license and notify the consignee of the requirement to seek a license to reexport.
(m) Robots. If you are submitting a license application for the export or reexport of items controlled by ECCNs 2B007 or 2D001 (including robots, robot controllers, end-effectors, or related software) the following information must be provided in Block 24:
(1) Specify if the robot is equipped with a vision system and its make, type, and model number;
(2) Specify if the robot is specially designed to comply with national safety standards for explosive munitions environments;
(3) Specify if the robot is specially designed for outdoor applications and if it meets military specifications for those applications;
(4) Specify if the robot is specially designed for operating in an electro-magnetic pulse (EMP) environment;
(5) Specify if the robot is specially designed or rated as radiation-hardened beyond that necessary to withstand normal industrial (i.e., non-nuclear industry) ionizing radiation, and its rating in grays (Silicon);
(6) Describe the robot's capability of using sensors, image processing or scene analysis to generate or to modify robot program instructions or data;
(7) Describe the manner in which the robot may be used in nuclear industry/manufacturing; and
(8) Specify if the robot controllers, end-effectors, or software are specially designed for robots controlled by ECCN 2B007, and why.
(n) Short Supply controlled items. If you are submitting a license application for the export of items controlled for short supply reasons, you must consult part 754 of the EAR for instructions on preparing your license application.
(o) Technology--(1) License application instructions. If you are submitting a license application for the export or reexport of technology you must check the box labeled ``Letter of Explanation'' in Block 6, enter the word ``Technology'' in Block 9, leave Blocks 22(e) and (i) blank, and include a general statement that specifies the technology (e.g., blueprints, manuals, etc.) in Block 22(j).
(1) License application instructions. If you are submitting a license application for the export or reexport of technology you must check the box labeled ``Letter of Explanation'' in Block 6, enter the word ``Technology'' in Block 9, leave Blocks 22(e) and (i) blank, and include a general statement that specifies the technology (e.g., blueprints, manuals, etc.) in Block 22(j).
(2) Letter of explanation. Each license application to export or reexport technology must be supported by a comprehensive letter of explanation. This letter must describe all the facts for a complete disclosure of the transaction including, if applicable, the following information:
(i) The identities of all parties to the transaction;
(ii) The exact project location where the technology will be used;
(iii) The type of technology to be exported or reexported;
(iv) The form in which the export or reexport will be made;
(v) The uses for which the data will be employed;
(vi) An explanation of the process, product, size, and output capacity of all items to be produced with the technology, if applicable, or other description that delineates, defines, and limits the data to be transmitted (the ``technical scope''); and
(vii) The availability abroad of comparable foreign technology.
(3) Special provisions--(i) Technology controlled for national security reasons. If you are submitting a license application to export technology controlled for national security reasons to a country not listed in Country Group D:1 or E:1 (see Supplement No. 1 to part 740 of the EAR), upon request, you must provide BIS a copy of the written letter from the ultimate consignee assuring that, unless prior authorization is obtained from BIS, the consignee will not knowingly reexport the technology to any destination, or export the direct product of the technology, directly or indirectly, to a country listed in Country Group D:1 or E:1 (see Supplement No. 2 to part 740 of the EAR). If you are unable to obtain this letter of assurance from your consignee, you must state in your license application why the assurances could not be obtained.
(i) Technology controlled for national security reasons. If you are submitting a license application to export technology controlled for national security reasons to a country not listed in Country Group D:1 or E:1 (see Supplement No. 1 to part 740 of the EAR), upon request, you must provide BIS a copy of the written letter from the ultimate consignee assuring that, unless prior authorization is obtained from BIS, the consignee will not knowingly reexport the technology to any destination, or export the direct product of the technology, directly or indirectly, to a country listed in Country Group D:1 or E:1 (see Supplement No. 2 to part 740 of the EAR). If you are unable to obtain this letter of assurance from your consignee, you must state in your license application why the assurances could not be obtained.
(ii) Maritime nuclear propulsion plants and related items. If you are submitting a license application to export or reexport technology relating to maritime nuclear propulsion plants and related items including maritime (civil) nuclear propulsion plants, their land prototypes, and special facilities for their construction, support, or maintenance, including any machinery, device, component, or equipment specifically developed or designed for use in such plants or facilities you must include the following information in your license application:
(A) A description of the foreign project for which the technology will be furnished;
(B) A description of the scope of the proposed services to be offered by the applicant, his consultant(s), and his subcontractor(s), including all the design data that will be disclosed;
(C) The names, addresses and titles of all personnel of the applicant, the applicant's consultant(s) and subcontractor(s) who will discuss or disclose the technology or be involved in the design or development of the technology;
(D) The beginning and termination dates of the period of time during which the technology will be discussed or disclosed and a proposed time schedule of the reports the applicant will submit to BIS, detailing the technology discussed or disclosed during the period of the license;
(E) The following certification:
I (We) certify that if this license application is approved, I (we) and any consultants, subcontractors, or other persons employed or retained by us in connection with the project licensed will not discuss with or disclose to others, directly or indirectly, any technology relating to U.S. naval nuclear propulsion plants. I (We) further certify that I (we) will furnish to the Bureau of Industry and Security all reports and information it may require concerning specific transmittals or disclosures of technology under any license granted as a result of this license application.
(F) A statement of the steps that you will take to assure that personnel of the applicant, the applicant's consultant(s) and subcontractor(s) will not discuss or disclose to others technology relating to U.S. naval nuclear propulsion plants; and
(G) A written statement of assurance from the foreign importer as described in paragraph (o)(3)(i) of this supplement.
(p) Temporary exports or reexports. If you are submitting a license application for the temporary export or reexport of an item (not eligible for the temporary exports and reexports provisions of License Exception TMP (see Sec. 740.9(a) of the EAR)) you must include the following certification in Block 24:
The items described on this license application are to be temporarily exported (or reexported) for (state the purpose e.g., demonstration, testing, exhibition, etc.), used solely for the purpose authorized, and returned to the United States (or originating country) as soon as the temporary purpose has ended, but in no case later than one year of the date of export (or reexport), unless other disposition has been authorized in writing by the Bureau of Industry and Security.
(q) Chemicals controlled for CW reasons under ECCN 1C350. In addition to any supporting documentation required by part 748, you must also obtain from your consignee an End-Use Certificate for the export of chemicals controlled for CW reasons by ECCN 1C350 to non-States Parties (destinations not listed in Supplement No. 2 to part 745 of the EAR). See Sec. 745.2 of the EAR. In addition to the End-Use Certificate, you may still be required to obtain a Statement by Ultimate Consignee and Purchaser (Form BIS-711P) as support documentation. Consult Sec. Sec. 748.9 and 748.11 of the EAR.
(r) Encryption registrations and classification requests. Failure to follow the instructions in this paragraph may delay consideration of your encryption classification request or encryption registration.
(1) Encryption registration. Fill out blocks 1-4, 14, 15, 24, and 25 pursuant to the instructions in Supplement No. 1 to this Part. Leave blocks 6, 7, 8, 9-13, and 16-23 blank. In Block 5 (Type of Application), place an ``X'' in the box marked ``Encryption Registration''.
(2) Classification Requests. Fill out blocks 1-4, 14, 15, 22, and 25 pursuant to the instructions in Supplement No. 1 to this Part. Leave blocks 6, 7, 8, 10-13, 18-21, and 23 blank. Follow the directions specified for the blocks indicated below.
(i) In Block 5 (Type of Application), place an ``X'' in the box marked ``classification'' or ``commodity classification'' if submitting electronically for classification requests.
(ii) In Block 9 (Special Purpose).
(A) If submitting via SNAP-R, check the box ``check here if you are submitting information about encryption required by 740.17 or 742.15 of the EAR.''
(B) From the drop down menu in SNAP-R, choose:
(1) ``License Exception ENC'' if you are submitting an encryption classification request for specified License Exception ENC provisions (Sec. Sec. 740.17(b)(2) or (b)(3) of the EAR);
(2) ``Mass Market Encryption'' if you are submitting an encryption classification request for certain mass market encryption items (Sec. 742.15(b)(3) of the EAR).
(3) ``Encryption--other'' if you are submitting an encryption classification, for another reason.
(iii) In Block 24 (Additional Information), insert your most recent Encryption Registration Number (ERN).
(s) Foreign National Review Request--(1) BIS-748P ``Multipurpose Application'' form. If you are submitting a Foreign National Review (FNR) request for the deemed export of technology or source code, you must include the following information on the BIS-748P ``Multipurpose Application'' form:
(i) In Block 1 through 3, insert name, telephone, and facsimile of the person that is most knowledgeable about the foreign national;
(ii) In Block 4 (Date of Application), enter the date;
(iii) In Block 5 (Type of Application), place an ``X'' in the box marked ``Other'';
(iv) In Block 6 (Documents Submitted with Application), place an ``X'' in ``Other'' to signify that you are submitting the Foreign National Review Support Statement(s) with the BIS-748P, and place an ``X'' in ``BIS-748P-B'' if you are submitting this FNR for multiple foreign nationals;
(v) In Block 9 (Special Purpose), insert the phrase ``Foreign National Review (FNR)'';
(vi) In Block 14 (Applicant), insert the name of the applicant;
(vii) In Block 18 (Ultimate Consignee), insert the name and address of the Foreign National;
(viii) In Block 21 (Specific End-Use), insert any information which may be of interest regarding the export of the technology or source code;
(ix) In Block 24 (Additional Information), insert contact email information;
(x) In Block 25 (Signature), sign the BIS-748P, and insert the name and title of the signer; and
(xi) All other Blocks on the application may be left blank.
(2) Multiple Foreign Nationals. If you are submitting a Foreign National Review Request for more than one individual, you may add other foreign nationals by completing and attaching form BIS-748P-B ``End-User Appendix.''
(t) Foreign National Review Support Statement. To request review of your FNR, you must submit to BIS a FNR support statement as set forth below on company letterhead, along with Form BIS-748P (Multipurpose Application), or its electronic equivalent. For FNRs that include multiple foreign nationals, an FNR support statement must be submitted for each foreign national.
(1) Case number (Z number): Zxxxxxx;
(2) Name, and all other names ever used;
(3) Date of birth: dd/mm/yyyy;
(4) Place of birth: city, state/province, and country;
(5) U.S. Address: street address, city, state, zip;
(6) Overseas Address: street address, city, province, country;
(7) Visa type (with expiration date and place issued, if available): type, dd/mm/yyyy, city, country;
(8) I-94 No. xxxxxxx, dd/mm/yyyy;
(9) Passport and Country of Issue: xxxxxxxx, country;
(10) U.S. Education (schools, degrees, and dates received) (if any): degree, subject, university, city, state, country, month/year-month/year;
(11) Foreign Education: degree, subject, university, city, state, country, month/year-month/year;
(12) Employer (applicant) and address: company, street address, city, state, zip;
(13) Detailed explanation of position requirements and individual's qualifications related to the position; and
(14) Prior Employment Record, (including overseas employment) addresses and dates; explain any periods of unemployment.
(u) Aircraft and vessels on temporary sojourn. If the application is for an aircraft or a vessel traveling on a temporary sojourn, state the value of the aircraft or vessel as $0 in box 22(g) (unit price) and 22(h) (total price). In box 23 (Total Application Dollar Value), insert the total value of items other than the aircraft or vessel that are included in the same application. If the application is only for the aircraft or vessel on temporary sojourn, insert $0.
(v) In-country transfers. To request an in-country transfer, you must specify ``in-country transfer'' in Block 9 (Special Purpose) and mark ``Reexport'' in Block 5 (Type of Application) of the BIS-748P ``Multipurpose Application'' form. The application also must specify the same foreign country for both the original ultimate consignee and the new ultimate consignee.
(w) License Exception STA eligibility requests for ``600 series'' end items. To request a License Exception STA eligibility requests for ``600 series'' end items pursuant to Sec. 740.20(g), you must mark an (X) in the ``Export'' box in Block 5 (Type of Application) block. You must mark an (X) in the ``Other'' box and insert the phrase ``STA request'' '' in Block 6 (Documents submitted with application) block. You must include the specific ``600 Series'' ECCN in Block 22. In addition to the ECCN, you will need to provide sufficient information for the U.S. Government to make a determination as to STA eligibility. This will require you to submit more than merely a description of the end item. In particular, you will need to provide supporting information for why you believe that the end item does not, for example, provide a critical military or intelligence advantage to the United States or is available in countries that are not regime partners or close allies. You will also need to provide information regarding whether and, if so, how the end item is controlled by the export control laws and regulations of close allies and regime partners, if known. If you are not able to provide some of the information described above, the U.S. Government will still evaluate the request, including using resources and information that may only be available to the U.S. Government. However, when submitting such requests you are encouraged to provide as much information as you can based on the criteria noted above to assist the U.S. Government in evaluating these License Exception STA eligibility requests. In addition, you should provide BIS with the text you would propose BIS use in describing the end item in the appropriate ``600 series'' ECCN and the online table referenced in Sec. 740.20(g)(5)(i) in anticipation that the request may be approved pursuant to Sec. 740.20(g). You may submit additional information that you believe is relevant to the U.S. Government in reviewing the License Exception STA eligibility request as part of that support document or as an additional separate support document attachment to the license application.
(x) License application for a transaction involving a 9x515 or ``600 series'' item that is equivalent to a transaction previously approved under an ITAR license or other approval. To request that the U.S. Government review of a license application for a 9x515 or ``600 series'' item also take into consideration a previously approved ITAR license or other approval, applicants must also include the State license number or other approval identifier in Block 24 of the BIS license application (see the instructions in Supplement No. 1 to part 748 under Block 24).
(y) Satellite exports. (1) A license application to export a satellite controlled by ECCN 9A515.a for launch in or by a country that is not a member of the North Atlantic Treaty Organization (NATO) or a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), must include:
(1) A license application to export a satellite controlled by ECCN 9A515.a for launch in or by a country that is not a member of the North Atlantic Treaty Organization (NATO) or a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), must include:
(i) A technology transfer control plan approved by the Department of Defense and an encryption technology control plan approved by the National Security Agency, or drafts reflecting advance discussions with the departments and information identifying the U.S. Government officials familiar with the preparation of such draft plans; and
(ii) Evidence of arrangements with the Department of Defense for monitoring of the launch activities.
(2) A license application to export a satellite controlled by ECCN 9A515.a for launch in or by a country that is a member of the North Atlantic Treaty Organization (NATO) or that is a major non-NATO ally of the United States (as defined in 22 CFR 120.31 and 120.32), must include:
(i) A technology transfer control plan approved by the Department of Defense and an encryption technology control plan approved by the National Security Agency, or documentation from the Department of Defense that such plans are not required; and
(ii) Evidence of arrangements with the Department of Defense for monitoring of the launch or documentation from the Department of Defense that such monitoring is not required.
Note 1 to paragraph (y): Regardless of a satellite's or spacecraft's jurisdictional status, ownership, or origin, the ITAR controls as a ``defense service'' the furnishing of assistance (including training) by a U.S. person to a foreign person directly related to (a) the integration of a satellite or spacecraft to a launch vehicle or (b) launch failure analyses. See (See 22 CFR 121, Categories IV(i) and XV(f), and 22 CFR 124.15). [61 FR 12812, Mar. 25, 1996]
Editorial Note: For Federal Register citations affecting supplement no. 2 to part 748, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
Sec. Supplement No. 3 to Part 748--BIS-711, Statement by Ultimate
Consignee and Purchaser Instructions
All information must be typed or legibly printed in each appropriate Block or Box.
Block 1: Ultimate Consignee. The Ultimate Consignee must be the person abroad who is actually to receive the material for the disposition stated in Block 2. A bank, freight forwarder, forwarding agent, or other intermediary is not acceptable as the Ultimate Consignee.
Block 2: Disposition or Use of Items by Ultimate Consignee named in Block 1. Place an (X) in ``A.,'' ``B.,'' ``C.,'' ``D.,'' and ``E.,'' as appropriate, and fill in the required information.
Block 3: Nature of Business of Ultimate Consignee named in Block 1. Complete both ``A'' and ``B''.
Possible choices for ``A'' include: broker, distributor, fabricator, manufacturer, wholesaler, retailer, value added reseller, original equipment manufacturer, etc.
Possible choices for ``B'' include: contractual, franchise, distributor, wholesaler, continuing and regular individual business, etc.
Block 4: Additional Information. Provide any other information not appearing elsewhere on the form such as other parties to the transaction, and any other material facts that may be of value in considering license applications supported by this statement.
Block 5: Assistance in Preparing Statement. Name all persons, other than employees of the ultimate consignee or purchaser, who assisted in the preparation of this form.
Block 6: Ultimate Consignee. Enter the requested information and sign the statement in ink. (For a definition of ultimate consignee, see Sec. 748.5(e) of this part.)
Block 7: Purchaser. This form must be signed in ink by the Purchaser, if the Purchaser is not the same as the Ultimate Consignee identified in Block 1. (For a definition of purchaser, see Sec. 748.5(c) of this part.)
Block 8: Certification for Exporter. This Block must be completed to certify that no correction, addition, or alteration on this form was made subsequent to the signing by the Ultimate Consignee in Block 6 and Purchaser in Block 7. [61 FR 12812, Mar. 25, 1996, as amended at 65 FR 42568, July 10, 2000]
Sec. Supplement No. 4 to Part 748--Authorities Administering Import Certificate/Delivery Verification (IC/DV) and End-User Statement Systems
in Foreign Countries. ----------------------------------------------------------------------------------------------------------------
Country IC/DV Authorities System administered----------------------------------------------------------------------------------------------------------------Argentina......................... Secretaria Ejecutiva de la Comision Nacional de Control IC/DV
de Exportaciones Sensitivas y Material Belico Balcarce
362--ler. piso Capital Federal--CP 1064 Buenos Aires
Tel. 334-0738, Fax 331-1618Australia......................... Director, Strategic Trade Policy and Operations, IC/DV
Industry & Procurement Infrastructure Division,
Department of Defence, Campbell Park 4-1-53, Canberra
ACT 2600 Phone: +61 (0)2 6266 3717, Fax: +61 (0)2 6266
2997Austria........................... Bundesministerium fur Handel Gewerbe und Industrie IC/DV
Landstr. Haupstr. 55-57, Vienna 1031Belgium........................... Ministere Des Affaires Economiques, Administration Des IC/DV
Relations Economiques Rue General Leman, 60 1040
Bruxelles Phone: 02/206.58.16, Fax: 02/230.83.22Bulgaria.......................... Ministry of Trade 12 Al. Batenberg 1000 Sofia IC/DVChina, People's Republic of....... Ministry of Commerce; Department of Mechanic, PRC, End-User
Electronic and High Technology Industries; Export Statement
Control Division I; Chang An Jie No. 2; Beijing 100731
China; Phone: (86)(10) 6519 7366 or 6519 7390; Fax:
(86)(10) 6519 7543; http://cys.mofcom.gov.cn /ag/
ag.htmlCzech Republic.................... Federal Ministry of Foreign Trade Head of Licensing IC/DV
Politickych Veznu 20 112 49 Praha 1Denmark........................... Handelsministeriets Licenskontor Kampmannsgade 1, DK IC/DV
1604, Copenhagen V
IC's also issued by Danmarks Nationalbank Holmens Kanal DV
17, Copenhagen K Custom-housesFinland........................... Hensingin Piiritullikamari, Kanavakatu 6 (or P.O. Box IC/DV
168) 00161 HelsinkiFrance............................ Ministere de l'Economie et des Finances Direction IC/DV
Generale des Douanes et Droits Indirects Division des
Affaires Juridiques et Contentieuses 8, Rue de la Tour
des Dames, Bureau D/3, 75436, Paris Cedex 09Germany........................... Bundesamt fur gewerbliche Wirtschaft Frankfurter IC/DV
Strasse 29-31 65760 EschbornGreece............................ Banque de Greece, Direction des Transactions IC/DV
Commerciales avec l'Etranger AthensHong Kong......................... Trade Department, Ocean Centre, Canton Road, IC/DV
Tsimshatsui, Kowloon,Hungary........................... Ministry of International Economic Relations Export IC/DV
Control Office 1054 Budapest P.O. Box 728 H-1365, Hold
Str. 17India............................. For small scale industries and entities, and those not
elsewhere specified:
Deputy Director General of Foreign Trade Udyog Bhawan, Indian IC
Maulana Azad Road New Delhi 11011
For the ``organized'' sector, except for computers and
related equipment:
Directorate General of Technical Development, Udyog Indian IC
Bhawan, Maulana Azad Road, New Delhi 11011
For Defense organizations:
Defense Research and Development Organization Room No. Indian IC
224, ``B'' Wing Sena Bhawan, New Delhi 110011
For computers and related electronic items:
Department of Electronics, Lok Nayak Bhawan, New Delhi Indian IC
110003
For any of the above:
Assistant Director, Embassy of India, Commerce Wing, Indian IC
2536 Massachusetts Ave. NW, Washington D.C. 20008--Ireland, Republic of.............. Department of Industry, Trade, Commerce and Tourism, IC/DV
Frederick House, South Frederick Street, Dublin 2Italy............................. Ministero del Commercio con l'Estero Direzione Generale IC/DV
delle Importazioni e delle Esportazioni, Div. III,
Rome or: Dogana Italiana (of the town where import
takes place)Japan............................. Ministry of International Trade and Industry in: IC/DV
Fukuoka, Hiroshima, Kanmon (Kitakyushu-shi), Kobe,
Nagoya, Osaka, Sapporo, Sendai, Shikoku (Takamatsu-
shi), Shimizu, Tokyo, and Yokohama Japanese Customs
OfficesKorea, Republic of................ Trade Administration Division Trade Bureau Ministry of IC
Trade and Industry Jungang-Dong, Kyonggi-Do, Building
3 Kwachon
Republic of Korea Customs House DVLuxembourg........................ Office des Licences Avenue de la Liberte, 10 IC/DVNetherlands....................... Centrale Dienst voor In-en Uitvoer Engelse Kamp 2, IC/DV
GroningenNew Zealand....................... Comptroller for Customs P.O. Box 2218, Wellington IC/DVNorway............................ Handelsdepartmentet Direktoratet for Eksport-og- IC/DV
Importregulering Fr. Nansens plass 5, OsloPakistan.......................... Chief Controller of Imports and Exports 5, Civic Center IC
Islamabad
Joint Science Advisor, Ministry of Science and DV
Technology, Secretariat Block `S', Islamabad
Poland............................ Ministry of Foreign Economic Relations Department of IC/DV
Commodities and Services Plac Trzech Krzyzy 5, Room
358 00-507 WarsawPortugal.......................... Reparticao do Comercio Externo Direccao-Geral do IC/DV
Comercio Secretaria de Estado do Comercio Ministerio
da Economia, LisbonRomania........................... National Agency for Control of Strategic Exports and IC/DV
Prohibition of Chemical Weapons, 13, Calea 13
Septembrie Casa (or P.O. Box 5-10) Republicii, Gate A
1, Bucharest, Sector 5, Phone: 401-311-2083, Fax: 401-
311-1265Singapore......................... Controller of Imports and Exports, Trade Development IC/DV
Board World Trade Centre, 1 Maritime Square, Telok
Blangah Road,Slovakia.......................... Ministry of Foreign Affairs Licensing-Registration IC
Department Spitalska 8, 813 15 BratislavaSpain............................. Secretary of State for Commerce Paseo la Cistellana IC/DV
162, Madrid 28046Sweden............................ The Association of Swedish Chambers of Commerce & IC/DV
Industry P.O. Box 16050, S-103 22 Stockholm Office:
Vastra Tradgardsgatan 9Switzerland....................... Swiss Federal Office for Foreign Economic Affairs, IC/DV
Import and Export Division, Zieglerstrasse 30 CH-3003
BernTaiwan............................ Board of Foreign Trade Ministry of Economic Affairs 1 IC/DV
Hu-Kou Street, Taipei
Science-based Industrial Park Administration No. 2 Hsin
Ann Road, Hsinchu
Export Processing Zone Administration 600 Chiachang
Road Nantz, KaohsiungTurkey............................ Ministry of Commerce, Department of Foreign Commerce, IC
Ankara
Head Customs Office at the point of entry DVUnited Kingdom.................... Department of Trade and Industry Export Licensing IC
Branch Millbank Tower Millbank London, SW1P 4QU
H.M. Customs and Excise, King's Beam House, Mark Lane DV
London, E.C. 3---------------------------------------------------------------------------------------------------------------- [61 FR 12812, Mar. 25, 1996, as amended at 62 FR 25463, May 9, 1997; 64 FR 47105, Aug. 30, 1999; 72 FR 33661, June 19, 2007; 73 FR 37, Jan. 2, 2008; 76 FR 70339, Nov. 14, 2011; 78 FR 13470, Feb. 28, 2013] Sec. Supplement No. 5 to Part 748--U.S. Import Certificate and Delivery
Verification Procedure
The United States participates in an Import Certificate/Delivery Verification procedure. Under this procedure, U.S. importers are sometimes required to provide their foreign suppliers with an U.S. International Import Certificate that is validated by the U.S. Government. This certificate tells the government of the exporter's country that the items covered by the certificate will be imported into the U.S. Economy and will not be reexported except as authorized by U.S. export control regulations. In addition, in some cases, the exporter's government may require a delivery verification. Under this procedure, the U.S. Customs Service validates a certificate confirming that the items have entered the U.S. economy. The U.S. importer must return this certificate to the foreign exporter.
This supplement establishes the procedures and requirements of BIS with respect to both of these programs. Paragraph (a) of this supplement contains the requirements and procedures of the U.S. International Import Certificate procedure. Paragraph (b) of this supplement contains the requirements and procedures of the Delivery Verification procedure.
(a) U.S. International Import Certificates. If you are a U.S. importer, a foreign supplier may request you to obtain a U.S. import certificate. The reason for this request is that the exporter's government requires a U.S. import certificate as a condition to issuing an export license. To obtain such a certificate you will have to fill in and execute the U.S. International Import Certificate form (Form BIS-645P/ATF-4522/DSP-53) and submit it to the U.S. government agency that has jurisdiction over the items you are importing. In doing so, you will be making a representation to the United States Government that you will import the items described in the certificate into the United States or if not so imported, you will not divert, transship or reexport them to another destination with the explicit approval of the U.S. government agency that has jurisdiction over those items. (Representations that items will be entered into the U.S. do not preclude the temporary unloading of items in a foreign trade zone for subsequent entry into the economy of the U.S.) If the items described in the certificate are subject to U.S. Department of Commerce jurisdiction, the Department will validate the certificate and return it to you. You may then send the certificate to your foreign supplier. In this way the government of the exporting country is assured that the items will become subject to the export control laws of the United States.
(1) Items for which the U.S. Department of Commerce issues U.S. International Import Certificates and forms to use. The Department of Commerce issues U.S. International Import Certificates for the following types of items.
(i) Items controlled for National Security reasons. Items under the export licensing jurisdiction of BIS that are identified as controlled for national security reasons on the Commerce Control List (Supplement No. 1 to part 774 of the EAR). You will need to submit in triplicate a completed Form BIS-645P/ATF-4522/DSP-53;
(ii) Nuclear equipment and materials. Items subject to the export licensing jurisdiction of the Nuclear Regulatory Commission for nuclear equipment and materials. (see 10 CFR part 110). You will need to submit in quadruplicate a completed Form BIS-645P/ATF-4522/DSP-53; and
(iii) Munitions Items. Items listed on the U.S. Munitions List (see 22 CFR part 121) that do not appear on the more limited U.S. Munitions Import List (27 CFR 47.21). You will need to submit in triplicate a completed Form BIS-645P. For triangular transactions (See paragraph (a)(5) of this supplement) involving items on the U.S. Munitions List, you must contact the Department of State, Directorate of Defense Trade Controls and use Form BIS-645P/ATF-4522/DSP-53. You should contact the Treasury Department, Bureau of Alcohol, Tobacco and Firearms for items appearing on the U.S. Munitions Import List. You will need to use Form ATF-4522.
(2) Where to submit forms. U.S. International Import Certificates and requests to amend certificates may be presented for validation either in person or by mail at the following locations.
(i) By courier to the Bureau of Industry and Security, Room 2099B, 14th Street and Pennsylvania Ave., NW., Washington, DC 20230, Attn: Import Certificate Request; or
(ii) In person or by mail at one of the following Department of Commerce U.S. and Foreign Commercial Service District Offices: Boston, MABuffalo, NYChicago, ILCincinnati, OHCleveland, OHDallas, TXDetroit, MIHouston, TXKansas City, MOLos Angeles, CAMiami, FLNew Orleans, LONew York, NYPhiladelphia, PAPhoenix, AZPittsburgh, PAPortland, ORSt. Louis, MOSan Francisco, CASavannah, GASeattle, WATrenton, NJ
(3) U.S. International Import Certificate validity periods. The U.S. International Import Certificate must be submitted to the foreign government within six months from the date of certification by the U.S. Department of Commerce. The expiration of this six-month period in no way affects the responsibility of the importer to fulfill the commitments made in obtaining the certificate. If the certificate is not presented to the government of the exporting country before the expiration of its validity period, the exporter must apply for a new certificate. The original unused U.S. International Import Certificate must be returned to BIS at the address specified in paragraph (a)(2)(i) of this supplement.
(4) Statements on the certificate or amendments are representations to the U.S. Government which continue in effect.
(i) All statements and representations made in a U.S. International Import Certificate or an amendment thereto, will be deemed to be continuing in nature until the transaction described in the certificate is completed and the items are delivered into the economy of the importing country.
(ii) Any change of fact or intention in regard to the transaction described in the certificate shall be promptly disclosed to BIS by the U.S. importer by presentation of an amended certificate. The amended certificate must describe all of the changes and be accompanied by the original certificate bearing the certification of BIS. If the original certificate has been transferred to the foreign exporter, you must, where possible, attempt to obtain the original certificate prior to applying for an amendment. If the original certificate is unobtainable because the foreign exporter has submitted it to the appropriate foreign government, or for any other reason, then you must submit a written statement with your amendment giving the reasons for your failure to submit the original certificate.
(5) Certificates for Triangular transaction (items will not enter the U.S. or applicant is not sure that they will enter the United States).
(i) In accordance with international practice, BIS will, upon request, stamp the certificate with a triangular symbol as notification to the government of the exporting country that the U.S. importer is uncertain whether the items will be imported into the U. S. or knows that the items will not be imported into the U.S., but that, in any case, the items will not be delivered to any other destination except in accordance with the EAR.
(ii) The triangular symbol on a certificate U.S. International Import Certificate is not, in and of itself, an approval by BIS to transfer or sell items to a foreign consignee. Note that a triangular Certificate will not be issued covering foreign excess property sold abroad by the U.S. Department of Defense.
(6) Approval to export items to a foreign consignee prior to delivery under a U.S. International Import Certificate. The written approval of BIS is required before items covered by a U.S. International Import Certificate (whether or not bearing a triangular symbol) may be shipped to a destination other than the U.S. or Canada or sold to a foreign purchaser, and before title to or possession of such items may be transferred to a foreign transferee. This requirement does not apply after the items have been delivered in accordance with the undertaking set forth in the Certificate or if at the time of such shipment, sale, passage of possession or passage of title, a License Exception or a NLR provision of the EAR would authorize the transaction.
(i) If prior approval is required, a letter requesting authorization to release the shipment shall be submitted to BIS at the address listed in paragraph (a)(2)(i) of this supplement.
(ii) The letter must contain the certificate number; date issued; location of the issuing office; names, addresses, and identities of all parties to the complete transaction; and the quantity, dollar value, and description of the items. The letter must be accompanied by the U.S. International Import Certificate, and all other documentation required by the EAR for the item and country of ultimate destination, as identified in part 748 of the EAR. If requirements stated in part 748 of the EAR do not apply to your transaction, you must identify the intended end-use of the items in your letter.
(iii) Where the letter request is approved and is supported by a foreign import certificate, no further approval from BIS is required for the purchaser or transferee to resell or again transfer the items. However, where BIS approves a request that was not supported by a foreign import certificate, the person to whom approval is granted is required to inform the purchaser or transferee, in writing, that the items are to be shipped to the approved destination only and that no other disposition of the items is permitted without the approval of BIS.
(iv) If the transaction is approved, a validated letter of approval will be sent to the U.S. purchaser for retention in his records. Where a DV or other official government confirmation of delivery is required, the letter will so indicate.
(v) If the items covered by a certificate have been imported into a destination other than the U.S. and the foreign exporter of the items requests a Delivery Verification, the person who obtained the certificate must obtain a DV from the person to whom the items were delivered in the actual importing country. (If a DV is unobtainable, other official government confirmation of delivery must be obtained.) The DV or other official government confirmation of delivery must be submitted to BIS together with an explanatory letter giving the U.S. International Import Certificate number, date issued, and location of issuing office. BIS will then issue Form ITA-6008, Delivery Compliance Notice, in two copies, the original of which must be forwarded to the country of origin in order to serve as evidence to the exporting country that the requirements of the U.S. Government have been satisfied with respect to delivery of the items.
(vi) Delivery, sale, or transfer of items to another U.S. purchaser.
(A) Items covered by a U.S. International Import Certificate may not be sold, and title to or possession of such items may not be transferred, to another U.S. purchaser or transferee before the items are delivered to the U.S. (or to an approved foreign destination, as provided by paragraph (a)(5) of this supplement), except in accordance with the provisions described in paragraph (a)(6) of this supplement. The provisions of this paragraph do not apply after the items have been delivered in accordance with the undertaking set forth in the certificate.
(B) Resale or transfer to another U.S. purchaser or transferee requires the prior approval of BIS only in cases where the buyer or transferee is listed in Supplement No. 1 to part 766 of the EAR. However, you, as the person who obtained the certificate are required to notify BIS of any change in facts or intentions relating to the transaction, and in all cases you will be held responsible for the delivery of the items in accordance with the EAR. You are required in all cases to secure, prior to sale or transfer, and to retain in your files in accordance with the recordkeeping provisions contained in part 762 of the EAR, written acceptance by the purchaser or transferee of:
(1) All obligations undertaken by, and imposed under the EAR, upon the holder of the certificate; and
(2) An undertaking that all subsequent sales or transfers will be made subject to the same conditions.
(C) The responsibility of the certificate holder for obtaining a DV also applies to those cases where the items are resold to a U.S. purchaser (See paragraph (b)(1) of this supplement.
(vii) Reexport or transshipment of items after delivery to U.S. Items imported into the U.S. under the provisions of a U.S. International Import Certificate may not be reexported to any destination under the intransit provisions of License Exception TMP (see Sec. 740.9(b)(1) of the EAR). However, all other provisions of the EAR applicable to items of domestic origin shall apply to the reexport of items of foreign origin shipped to the U.S. under a U.S. International Import Certificate.
(viii) Lost or destroyed U.S. International Import Certificates. If a U.S. International Import Certificate is lost or destroyed, a duplicate copy may be obtained by the person in the U.S. who executed the original U.S. International Import Certificate by submitting to any of the offices listed in paragraph (a)(2)(i) of this supplement new Form BIS-645P/ATF-4522/DSP-53 in the same way as an original request, except that the forms shall be accompanied by a letter detailing the circumstances under which the original certificate was lost or destroyed and certifying:
(A) That the original U.S. International Import Certificate No. ------, dated ------, issued to (name and address of U.S. importer) for import from (foreign exporter's name and address) has been lost or destroyed; and
(B) That if the original U.S. International Import Certificate is found, the applicant agrees to return the original or duplicate of the certificate to the Bureau of Industry and Security.
(ix) Unused U.S. International Import Certificates. If the transaction will not be completed and the U.S. International Import Certificate will not be used, return the certificate for cancellation to BIS at the address listed in paragraph (a)(2)(i) of this supplement.
(b) Delivery Verification Certificate. U.S. importers may be requested by their foreign suppliers to furnish them with a certified Form BIS-647P, Delivery Verification Certificate, covering items imported into the U.S. These requests are made by foreign governments to assure that strategic items shipped to the U.S. are not diverted from their intended destination. In these instances, the issuance of an export license by the foreign country is conditioned upon the subsequent receipt of a Delivery Verification Certificate from the U.S. importer. Accordingly, your compliance with your foreign exporter's request for a Delivery Verification is necessary to ensure your foreign exporter fulfills its government obligations and is able to participate in future transactions with you. Failure to comply may subject your exporter to penalties that may prevent future trade.
(1) The responsibility of a person or firm executing a U.S. International Import Certificate for providing the foreign exporter with confirmation of delivery of the items includes instances where the items are resold or transferred to another U.S. person or firm prior to actual delivery to the U.S. or to an approved foreign destination. The person who executed the U.S. International Import Certificate shall secure in writing from the U.S. purchaser or transferee, and retain in your files in accordance with the recordkeeping provisions stated in part 762 of the EAR:
(i) Acceptance of the obligation to provide the purchaser or transferee with either the Delivery Verification (or other official government confirmation of delivery if a Delivery Verification is unobtainable) or assurance that this document was submitted to BIS; and
(ii) An undertaking that each succeeding U.S. transferee or purchaser will assume the same obligation or assurance. In each case the seller or transferor must transmit to the U.S. purchaser or transferee the U.S. International Import Certificate number covering the export from the foreign country and request that they pass it on to any other U.S. purchasers or transferees.
(2) Completion and certification of Delivery Verification Certificates. If you are requested by your foreign exporter to provide a Delivery Verification, you must obtain Form BIS-647P from a U.S. customs office or one of the offices listed in paragraph (a)(2) of this supplement and complete all blocks (except those below the line titled ``To be completed by U.S. Customs Service'') on the form. The language used in the block titled ``Description of Goods'' must describe the items in the same terms as those shown on the applicable U.S. International Import Certificate. Upon completion Form BIS-647P must be presented, in duplicate, to a U.S. customs office. The U.S. customs office will certify Form BIS-647P only where the import is made under a warehouse or consumption entry.
(3) Disposition of certified Delivery Verification Certificates. The importer must send the original certified Delivery Verification Certificate to the foreign exporter or otherwise dispose of it in accordance with the instructions of the exporting country. The duplicate copy will be retained by the U.S. customs office.
(4)(i) Issuance of a U.S. Delivery Compliance Notice in lieu of a Delivery Verification Certificate. If you are requested to provide a Delivery Verification Certificate but do not wish to disclose the name of your customer to the foreign exporter (e.g., in the event that the items are resold or transferred to another person or firm before the items enter the U.S.), you may submit an originally completed Form BIS-647P together with an explanatory letter requesting a Delivery Compliance Notice, to BIS at the address listed in (a)(2)(i) of this supplement.
(i) Issuance of a U.S. Delivery Compliance Notice in lieu of a Delivery Verification Certificate. If you are requested to provide a Delivery Verification Certificate but do not wish to disclose the name of your customer to the foreign exporter (e.g., in the event that the items are resold or transferred to another person or firm before the items enter the U.S.), you may submit an originally completed Form BIS-647P together with an explanatory letter requesting a Delivery Compliance Notice, to BIS at the address listed in (a)(2)(i) of this supplement.
(ii) BIS will provide you with a notice signifying that the items were imported into the U.S. and that a satisfactory DV has been submitted to BIS. You must then forward the original notice to your foreign exporter for submission to the foreign government. A copy of the notice should be retained in your files in accordance with the recordkeeping provisions stated in part 762 of the EAR.
(5)(i) Lost or destroyed Delivery Verification Certificate. When a Delivery Verification Certificate is lost or destroyed, the U.S. importer must submit a letter to BIS at the address listed in paragraph (a)(2)(i) of this supplement certifying that:
(i) Lost or destroyed Delivery Verification Certificate. When a Delivery Verification Certificate is lost or destroyed, the U.S. importer must submit a letter to BIS at the address listed in paragraph (a)(2)(i) of this supplement certifying that:
(A) The original Delivery Verification Certificate has been lost or destroyed;
(B) The circumstances under which it was lost or destroyed;
(C) The type of customs entry (warehouse or consumption), entry number, and date of entry; and
(D) The number and date of the related U.S. International Import Certificate.
(ii) BIS will, in applicable cases, notify the exporting government that a Delivery Verification Certificate been issued.
(c) Penalties and sanctions for violations. The enforcement provisions of part 764 and Supplement No. 2 to part 736 of the EAR apply to transactions involving imports into the U.S. covered by this supplement and to both foreign and U.S. parties involved in a violation of this supplement. Any provisions of part 764 and Supplement No. 2 to part 736 of the EAR which, by their terms, relate to ``exports'' or ``exports from the U.S.'' are also deemed to apply and extend to imports into the U.S., applications for U.S. International Import Certificates (Forms BIS-645P presented to U.S. Department of Commerce for certification), U.S. International Import Certificates, and Delivery Verification Certificates, described in this supplement. (Applications the documents described in this supplement, are included within the definition of export control documents provided in part 772 of the EAR.) Refer to Sec. 764.3 of the EAR for more information. [61 FR 12812, Mar. 25, 1996, as amended at 61 FR 64285, Dec. 4, 1996; 62 FR 25463, May 9, 1997; 73 FR 37, Jan. 2, 2008; 78 FR 13470, Feb. 28, 2013]
Sec. Supplement No. 6 to Part 748--Authorities Issuing Import
Certificates Under the Firearms Convention [Reserved] [Status of Convention as of April 13, 1999 had not entered into force.] [64 FR 17974, Apr. 13, 1999]
Sec. Supplement No. 7 to Part 748--Authorization Validated End-User
(VEU): List of Validated End-Users, Respective Items Eligible for
Export, Reexport and Transfer, and Eligible Destinations ----------------------------------------------------------------------------------------------------------------
Eligible items (by Eligible Federal Register
Country Validated end-user ECCN) destination citation----------------------------------------------------------------------------------------------------------------
Nothing in this Supplement shall be deemed to supersede other provisions in the EAR, including but not limited
to Sec. 748.15(c).----------------------------------------------------------------------------------------------------------------China (People's Republic of).... Advanced Micro 3D002, 3D003, AMD Technologies 75 FR 25763, 5/10/
Devices China, 3E001 (limited to (China) Co., 10.
Inc. ``technology'' Ltd., No. 88, Su 76 FR 2802, 1/18/
for items Tong Road, 11.
classified under Suzhou, China 78 FR 3319, 1/16/
3C002 and 3C004 215021. 13.
and Advanced Micro
``technology'' Devices
for use during (Shanghai) Co.,
the International Ltd., Buildings
Technology 46, 47, 48 & 49,
Roadmap for River Front
Semiconductors Harbor,
(ITRS) process Zhangjiang Hi-
for items Tech Park, 1387
classified under Zhangdong Rd.,
ECCNs 3B001 and Pudong, Shanghai,
3B002), 3E002 China 201203.
(limited to AMD Technology
``technology'' Development
for use during (Beijing) Co.,
the ITRS process Ltd., North and
for items South Buildings,
classified under RaycomInfotech,
ECCNs 3B001 and Park Tower C, No.
3B002), 3E003.e 2 Science
(limited to the Institute South
``development'' Rd., Zhong Guan
and Cun, Haidian
``production'' of District,
integrated Beijing, China
circuits for 100190.
commercial AMD Products
applications), (China) Co. Ltd.,
4D001, 4D002 and North and South
4E001 (limited to Buildings,
the RaycomInfotech
``development'' Park Tower C, No.
of products under 2 Science
ECCN 4A003). Institute South
Rd., Zhong Guan
Cun, Haidian
District,
Beijing, China
100190.
Advanced Micro- 2B230, 3B001.c and Advanced Micro- 78 FR 41293, 7/10/
Fabrication 3B001.e (items Fabrication 13.
Equipment, Inc., classified under Equipment, Inc.,
China. ECCNs 3B001.c and China, 188 Taihua
3B001.e are Road, Jinqiao
limited to Export Processing
components and Zone (South
accessories). Area), Pudong,
Shanghai 201201,
China.
Applied Materials These Items * Applied 72 FR 59164, 10/19/
(China), Inc. Authorized for Materials South 07.
those Applied East Asia Pte. 74 FR 19382, 4/29/
Materials Ltd., Shanghai 09.
Destinations Depot, c/o 75 FR 27185, 5/14/
Identified by one Shanghai Applied 10.
asterisk (*): Materials 77 FR 10953, 2/24/
2B006.b, 2B230, Technical Service 12.
2B350.g.3, Center, No. 2667,
2B350.i, 3B001.a, Zuchongzhi Road,
3B001.b, 3B001.c, Shanghai, China
3B001.e, 3B001.f, 201203.
3C001, 3C002, * Applied
3D002 (limited to Materials South
``software'' East Asia Pte.
specially Ltd., Beijing
designed for the Depot, c/o
``use'' of stored Beijing Applied
program Materials
controlled items Technical Service
classified under Center, No. 1
ECCN 3B001). North Di Sheng
Street, BDA,
Beijing, China
100176.
* Applied
Materials South
East Asia Pte.
Ltd., Wuxi Depot,
c/o Sinotrans
Jiangsu Fuchang
Logistics Co.,
Ltd., 1 Xi Qin
Road, Wuxi Export
Processing Zone,
Wuxi, Jiangsu,
China 214028.
Applied Materials
South East Asia
Pte. Ltd., Wuhan
Depot, c/o Wuhan
Optics Valley
Import & Export
Co., Ltd., No.
101 Guanggu Road,
East Lake High-
Tec Development
Zone, Wuhan,
Hubei, China
430074.
Applied Materials
(China), Inc.,
Shanghai Depot,
No. 2667,
Zuchongzhi Road,
Shanghai, China
201203.
* Applied
Materials
(China), Inc.,
Beijing Depot,
No. 1 North Di
Sheng Street,
BDA, Beijing,
China 100176.
These Items ** Applied
Authorized for Materials (Xi'an)
the Applied Ltd., No. 28 Xin
Materials Xi Ave., Xi'an
Destination High Tech Park,
Identified by two Export Processing
asterisks (**): Zone, Xi'an,
2B006.b, 2B230, Shaanxi, China
2B350.g.3, 710075.
2B350.i, 3B001.a,
3B001.b, 3B001.c,
3B001.e, 3B001.f,
3C001, 3C002,
3D002 (limited to
``software''
specially
designed for the
``use'' of stored
program
controlled items
classified under
ECCN 3B001), and
3E001 (limited to
``technology''
according to the
General
Technology Note
for the
``development''
or ``production''
of items
controlled by
ECCN 3B001).
Boeing Tianjin 1B001.f, 1D001 Boeing Tianjin 72 FR 59164, 10/19/
Composites Co. (limited to Composites Co. 07.
Ltd. ``software'' Ltd., No. 4-388 74 FR 19382, 4/29/
specially Heibei Road, 09.
designed or Tanggu Tianjin, 77FR 10953, 2/24/
modified for the China. 12.
``use'' of 77 FR 40258, 7/9/
equipment 12.
controlled by
1B001.f),
2B001.b.2
(limited to
machine tools
with accuracies
no better than
(i.e., not less
than) 13
microns), 2D001
(limited to
``software,''
other than that
controlled by
2D002, specially
designed or
modified for the
``use'' of
equipment
controlled by
2B001.b.2), and
2D002 (limited to
``software'' for
electronic
devices, even
when residing in
an electronic
device or system,
enabling such
devices or
systems to
function as a
``numerical
control'' unit,
capable of
coordinating
simultaneously
more than 4 axes
for ``contouring
control''
controlled by
2B001.b.2).
CSMC Technologies 1C350.c.3, CSMC Technologies 76 FR 2802, 1/18/
Corporation. 1C350.c.11, Fab 1 Co., Ltd., 11.
2B230.a, 2B230.b, 14 Liangxi Road, 76 FR 37634, 6/28/
2B350.f, 2B350.g, Wuxi, Jiangsu 11.
2B350.h, 3B001.e. 214061, China. 77 FR 10953, 2/24/
3B001.h (except CSMC Technologies 12.
for multilayer Fab 2 Co., Ltd., 78 FR 23472, 4/19/
masks with a 8 Xinzhou Rd. 13.
phase shift layer Wuxi National New 78 FR 78 FR 32984,
designed to Hi-Tech 6/3/13.
produce ``space Industrial
qualified'' Development Zone,
semiconductor Wuxi, Jiangsu
devices), 214028, China.
3C002.a, and
3C004.
Intel These items *Intel 78 FR 54754, 9-6-
Semiconductor authorized for Semiconductor 13.
(Dalian) Ltd. the Intel (Dalian) Ltd.,
destination No. 109 Huai He
identified by one Road East, Dalian
asterisk (*): Economic and
1A004, 1C006.d, Technology
2A226, 2A292, Development Area,
2B006.b, 2B230, Dalian, Liao Ning
2B231, 2B350, Province, 116600,
3A233.a, 3B001 China.
(except for
multilayer masks
with a phase
shift layer
designed to
produce ``space
qualified''
semiconductor
devices), 3C002,
3E002 (excluding
development and
production
technology
specific to
digital signal
processors and
digital array
processors and
further limited
to ``technology''
based on the
international
technology
roadmap for
semiconductors
(ITRS)), and
4E001(limited to
technology for
computer products
or components not
exceeding an
adjusted peak
performance (APP)
level of 12.0
weighted
teraflops).
These items ** Intel
authorized for Semiconductor
the Intel (Dalian) Ltd., c/
destination o Dalian Kintetsu
identified by two Logistics Co.,
asterisks (**): Ltd, Dayaowan
1A004, 1C006.d, Bonded Port No. 6
2A226, 2A292, Road W4 Unit A1,
2B006.b, 2B230, Dalian Economic
2B231, 2B350, and Technology
3A233.a, 3B001 Development Area,
(except for Dalian, Liao Ning
multilayer masks Province, 116601,
with a phase China.
shift layer
designed to
produce ``space
qualified''
semiconductor
devices), and
3C002.
Lam Research These Items * Lam Research 75 FR 62462, 10/12/
Service Co., Ltd. Authorized for International 10.
those Lam's Sarl (Lam 77 FR 10953, 2/24/
Destinations Shanghai 12.
Identified by a Warehouse), c/o 78 FR 3319, 1/16/
single asterisk HMG Supply Chain 13.
(*): (Shanghai) Co., 78 FR 54752, 9/6/
2B230, 2B350.c, Ltd., No. 3869, 13.
2B350.d, 2B350.g, Longdong Avenue, 79 FR 71016, 12/1/
2B350.h, 2B350.i, Pudong New 14.
3B001.c and District,
3B001.e (items Shanghai, China
classified under 201203.
ECCNs 3B001.c and * Lam Research
3B001.e International
arelimited to Sarl (Lam
``specially Shanghai
designed'' Warehouse; WGQ
components and Bonded
accessories), Warehouse), c/o
3D001 (limited to HMG Supply Chain
``software'' (Shanghai) Co.,
(excluding source Ltd., No. 55, Fei
code) ``specially la Road,
designed'' for Waigaoqiao Free
the Trade Zone,
``development'' Pudong New Area,
or ``production'' Shanghai, China
of equipment 200131.
controlled by * Lam Research
ECCN 3B001), International
3D002 (limited to Sarl (Lam Beijing
``software'' Warehouse), c/o
(excluding source Beijing Lam
code) ``specially Electronics Tech
designed'' for Center, 1
the ``use'' of Building, No. 28,
equipment Jinghai Second
controlled by Road, BDA,
ECCN 3B001), and Beijing, China
3E001 (limited to 100176.
``technology'' * Lam Research
according to the International
General Sarl (Wuxi EPZ
Technology Note Bonded
for the Warehouse), c/o
``development'' HMG WHL Logistic
of equipment (Wuxi) Co., Ltd.,
controlled by 1st Fl, Area 4,
ECCN 3B001).. No. 1, Plot J3,
No. 5 Gaolang
East Road, Export
Processing Zone,
Wuxi, China
214028.
* Lam Research
International
Sarl (Lam Beijing
Warehouse), c/o
HMG Hi-tech
Logistics
(Beijing) Co.,
Ltd., Building 3,
No. 9 Ke Chuang
Er Street,
Beijing Economic
Technological
Development Area,
Beijing, China
100176.
* Lam Research
International
Sarl (Wuhan TSS),
c/o HMG Wuhan
Logistic Co.,
Ltd., 1st-2nd
Floor, Area B,
No. 5 Building,
Hua Shi Yuan Er
Road, East-lake
Hi-Tech
Development Zone,
Wuhan, Hubei
Province, China
430223.
* Lam Research
International
Sarl (Lam
Shanghai
Warehouse
Operator), c/o
Shanghai Well-win
Logistics Co.,
Ltd., No. 2667
Zuchongzhi Road,
Pudong New
District,
Shanghai, China.
* Lam Research
International
Sarl (Lam Beijing
Warehouse), c/o
China
International
Electronic
Service Company,
1 Building, No.
28, Jinghai
Second Road, BDA,
Beijing, China
100176.
* Lam Research
International
Sarl (Lam Beijing
Warehouse), c/o
Beijing STE
International
Logistics Co.,
Ltd., Building 3,
No. 9 Ke Chuang
Er Street,
Beijing Economic
& Technological
Development Area,
Beijing, China
100176.
*Lam Research
International
Sarl (Lam Dalian
Warehouse), c/o
JD Logistics
Dalian bonded
logistic Co.,
Ltd., No. 1
Public Warehouse,
Dalian Bonded
Logistics Zone,
Dalian, China
116600.
*Lam Research
International
Sarl (Lam Xi'an
Warehouse), c/o
VR International
Logistics (Xi'an)
Co., Ltd., No. 28
Information Road,
EPZ B Zone, Xian
New District,
Xian, China
710119.
* Lam Research
International
Sarl (Wuxi Bonded
Warehouse for CIQ
inspection), c/o
SinoTrans Jiangsu
Fuchang Logistics
Co., Ltd., No. 1
Xiqin Road, Area
A, Export
Processing Zone,
New District,
Wuxi, China
214028.
These Items ** Lam Research
Authorized for Service Co.,
those Lam's Ltd., 1st Floor,
Destinations Area C, Hua Hong
Identified by two Science &
asterisks (**): Technology Park,
2B230, 2B350.c, 177 Bi Bo Road,
2B350.d, 2B350.g, Zhangjiang Hi-
2B350.h, 2B350.i, Tech Park,
3B001.c and Pudong, Shanghai,
3B001.e (items China 201203.
classified under ** Lam Research
ECCNs 3B001.c and Service Co., Ltd.
3B001.e Beijing Branch,
arelimited to 6th Floor,
``specially Building 52, No.
designed'' 2, Jingyuan North
components and Street, Beijing
accessories), Economic &
3D001 (limited to Technological
``software'' Development Area,
(excluding source Beijing, China
code) ``specially 100176.
designed'' for ** Lam Research
the Service Co.,
``development'' Ltd., Wuxi
or ``production'' Representative
of equipment Office, Room 302,
controlled by Building 6,
ECCN 3B001), Singapore
3D002(limited to International
``software'' Park, No. 89 Xing
(excluding source Chuang Si Road,
code) ``specially Wuxi New
designed''for the District, Wuxi,
``use'' of Jiangsu, China
equipment 214028.
controlled by ** Lam Research
ECCN 3B001), and Service Co.,
3E001 (limited to Ltd., Wuhan
``technology'' Representative
according to the Office, Room 302,
General Guanggu Software
Technology Note Park, Building
for the E4, No. 1
``development'' Guanshan Road,
or ``production'' Donghu
(limited to those Development Zone,
stages that Wuhan, Hubei
support Province, China
integration, 430074.
assembly ** Lam Research
(mounting), Service Co., Ltd.
inspection, (Lam Dalian
testing, and Representative
quality Office), c/o
assurance) of Intel
equipment Semiconductor
controlled by (Dalian) Ltd.,
ECCN 3B001).. No. 109 Huaihe
Road East, Dalian
Economic &
Technical
Development Area,
Dalian, China
116600.
** Lam Research
Service
(Shanghai) Co.,
Ltd. Xi'an
Branch, Room 602,
Building G,
Wangzuo Xiandai
City, 35 Tangyan
Road, Gaoxin
District, Xi'an,
China, 710065
Samsung China 1C350.c.3, Samsung China 78 FR 41291, 7/10/
Semiconductor Co. 1C350.d.7, 2B230, Semiconductor Co. 13.
Ltd 2B350.d.2, Ltd., No. 1999, 78 FR 69535, 11/20/
2B350.g.3, North Xiaohe 13.
2B350.i.3, 3A233, Road, Xi'an, 79 FR 30715, 5/29/
3B001.a.1, China 710119. 14.
3B001.b, 3B001.c,
3B001.e, 3B001.f,
3B001.h, 3C002,
3C004, 3D002, and
3E001 (limited to
``technology''
for items
classified under
3C002 and 3C004
and
``technology''
for use
consistent with
the International
Technology
Roadmap for
Semiconductors
process for items
classified under
ECCNs 3B001 and
3B002).
Semiconductor 1C350.c.3, Semiconductor 72 FR 59164, 10/19/
Manufacturing 1C350.d.7, Manufacturing 07.
International 2B006.b.1, 2B230, International 75 FR 67029, 11/1/
Corporation. 2B350.d.2, (Shanghai) 10.
2B350.d.3, Corporation, 18 77 FR 10953, 2/24/
2B350.g.3, Zhang Jiang Rd., 12.
2B350.i.3, 3A233, Pudong New Area, 78 FR 69535, 11/20/
3B001.a, 3B001.b, Shanghai, China 13.
3B001.c, 3B001.e, 201203. 79 FR 30715, 5/29/
3B001.f, 3C001, Semiconductor 14.
3C002, 3C003, Manufacturing 79 FR 34222, 6/16/
3C004, 5B002, and International 14.
5E002 (limited to (Tianjin)
``technology'' Corporation, 19
according to the Xing Hua Avenue,
General Xi Qing Economic
Technology Note Development Area,
for the Tianjin, China
``production'' of 300385..
integrated Semiconductor
circuits Manufacturing
controlled by International
ECCN 5A002 that (Beijing)
have been Corporation, No.
classified by BIS 18 Wen Chang
as eligible for Road, Beijing
License Exception Economic-
ENC under Technological
paragraph (b)(2) Development Area,
or (b)(3) of Beijing, China
Section 740.17 of 100176..
the EAR, or Semiconductor
classified by BIS Manufacturing
as a mass market International
item under (Shenzhen)
paragraph (b)(3) Corporation, Qier
of Section 742.15 Road, Export
of the EAR). Processing Zone,
Pingshan New
Area, Shenzhen,
China 518118..
Semiconductor
Manufacturing
North China
(Beijing)
Corporation, No.
18 Wen Chang
Road, Building 9,
Beijing Economic-
Technological
Development Area,
Beijing, China
100176.
Shanghai Huahong 1C350.c.3, Shanghai Huahong 78 FR 78 FR 32984,
Grace 1C350.d.7, 2B230, Grace 6/3/13.
Semiconductor 2B350.d.2, Semiconductor
Manufacturing 2B350.g.3, Manufacturing
Corporation. 2B350.i.4, Corporation--HFab
3B001.a.1, 2, 668
3B001.b, 3B001.c, Guoshoujing Road,
3B001.e, 3B001.f, Zhangjiang Hi-
3B001.h, 3C002, Tech Park,
3C004, 5B002, and Shanghai 201203
5E002 (limited to China.
production Shanghai Huahong
technology for Grace
integrated Semiconductor
circuits Manufacturing
controlled by Corporation--HFab
ECCNs 5A002 or 1, 1188 Chuanqiao
5A992 that have Road, Pudong,
been successfully Shanghai 201206
reviewed under China.
the encryption Shanghai Huahong
review process Grace
specified in Semiconductor
Sections Manufacturing
740.17(b)(2) or Corporation--GFab
740.17(b)(3) and 1, 1399
742.15 of the Zuchongzhi Road,
EAR). Zhangjiang Hi-
Tech Park,
Shanghai 201203
China.
SK hynix 3B001.a, 3B001.b, SK hynix 75 FR 62462, 10/12/
Semiconductor 3B001.c, 3B001.e, Semiconductor 10. 77 FR 40258,
(China) Ltd. and 3B001.f. (China) Ltd., Lot 7/9/12. 78 FR
K7, Wuxi High- 3319, 1/16/13. 78
tech Zone, FR 69537, 11/20/
Comprehensive 2013.
Bonded Zone, Wuxi
New District,
Jiangsu Province,
China 214028.
SK hynix 3B001.a, 3B001.b, SK hynix 75 FR 62462, 10/12/
Semiconductor 3B001.c, 3B001.e, Semiconductor 10. 77 FR 40258,
(Wuxi) Ltd. and 3B001.f. (Wuxi) Ltd., Lot 7/9/12. 78 FR
K7-1, Wuxi High- 3319, 1/16/13. 78
tech Zone, FR 69537, 11/20/
Comprehensive 2013.
Bonded Zone, Wuxi
New District,
Jiangsu Province,
China 214028.
India........................... GE India 1C002.a.1, GE India 74 FR 31620, 7/2/
Industrial Pvt 1C002.a.2, Technology Centre 09.
Ltd.. 1C002.b.1.a, Private Limited 74 FR 68147, 12/23/
1C002.b.1.b, (GEITC), No. 122, 09.
1E001, 2E003.f, EPIP, Phase II, 77 FR 10953, 2/24/
9E003.a.1, Hoodi Village, 12.
9E003.a.2, Whitefield Road,
9E003.a.4, Bangalore 560066,
9E003.a.5, Karnataka, India.
9E003.a.6, Bangalore
9E003.a.8, and Engineering
9E003.c. Center (BEC), c/o
GE India
Technology Centre
Private Limited
(GEITC), No. 122,
EPIP, Phase II,
Hoodi Village,
Whitefield Road,
Bangalore 560066,
Karnataka, India.---------------------------------------------------------------------------------------------------------------- [78 FR 32984, June 3, 2013, as amended at 78 FR 41293, July 10, 2013; 78 FR 54754, Sept. 6, 2013; 78 FR 69537, Nov. 20, 2013; 79 FR 30715, May 29, 2014; 79 FR 32626, June 5, 2014; 79 FR 34222, June 16, 2014; 79 FR 71016, Dec. 1, 2014] Sec. Supplement No. 8 to Part 748--Information Required in Requests for
Validated End-User (Veu) Authorization
VEU authorization applicants must provide to BIS certain information about the prospective validated end-user. This information must be included in requests for authorization submitted by prospective validated end-users, or exporters or reexporters who seek to have certain entities approved as validated end-users. BIS may, in the course of its evaluation, request additional information.
Required Information for Validated End-User Authorization Requests
(1) Name of proposed VEU candidates, including all names under which the candidate conducts business; complete company physical address (simply listing a post office box is insufficient); telephone number; fax number; e-mail address; company Web site (if available); and name of individual who should be contacted if BIS has any questions. If the entity submitting the application is different from the prospective validated end-user identified in the application, this information must be submitted for both entities. If the candidate has multiple locations, all physical addresses located in the eligible destination must be listed.
(2) Provide an overview of the structure, ownership and business of the prospective validated end-user. Include a description of the entity, including type of business activity, ownership, subsidiaries, and joint-venture projects, as well as an overview of any business activity or corporate relationship that the entity has with either government or military organizations.
(3) List the items proposed for VEU authorization approval and their intended end-uses. Include a description of the items; the ECCN for all items, classified to the subparagraph level, as appropriate; technical parameters for the items including performance specifications; and end-use description for the items. If BIS has previously classified the item, the Commodity Classification Automated Tracking System (CCATS) number may be provided in lieu of the information listed in the foregoing provisions of this paragraph.
(4) Provide the physical address(es) of the location(s) where the item(s) will be used, if this address is different from the address of the prospective validated end-user provided in paragraph (1) of this supplement.
(5) If the prospective validated end-user plans to reexport or transfer the item, specify the destination to which the items will be reexported or transferred.
(6) Specify how the prospective validated end-user's record keeping system will allow compliance with the recordkeeping requirements set forth in Sec. 748.15(e) of the EAR. Describe the system that is in place to ensure compliance with VEU requirements.
(7) Include an original statement on letterhead of the prospective validated end-user, signed and dated by a person who has authority to legally bind the prospective validated end-user, certifying that the end-user will comply with all VEU requirements. This statement must include acknowledgement that the prospective end-user:
(i) Has been informed of and understands that the item(s) it may receive as a validated end-user will have been exported in accordance with the EAR and that use or diversion of such items contrary to the EAR is prohibited;
(ii) Understands and will abide by all authorization VEU end-use restrictions, including the requirement that items received under authorization VEU will only be used for civil end-uses and may not be used for any activities described in part 744 of the EAR;
(iii) Will comply with VEU recordkeeping requirements; and
(iv) Agrees to allow on-site reviews by U.S. Government officials to verify the end-user's compliance with the conditions of the VEU authorization. [72 FR 33661, June 19, 2007]
Sec. Supplement No. 9 to Part 748--End-User Review Committee Procedures
(1) The End-User Review Committee (ERC), composed of representatives of the Departments of State, Defense, Energy, and Commerce, and other agencies, as appropriate, is responsible for determining whether to add to, to remove from, or otherwise amend the list of validated end-users and associated eligible items set forth in Supplement No. 7 to this part. The Department of Commerce chairs the ERC.
(2) Unanimous vote of the Committee is required to authorize VEU status for a candidate or to add any eligible items to a pre-existing authorization. Majority vote of the Committee is required to remove VEU authorization or to remove eligible items from a pre-existing authorization.
(3) In addition to requests submitted pursuant to Sec. 748.15, the ERC will also consider candidates for VEU authorization that are identified by the U.S. Government. When the U.S. Government identifies a candidate for VEU authorization, relevant parties (i.e., end-users and exporters or reexporters, when they can be identified) will be notified, before the ERC determines whether VEU authorization is appropriate, as to which end-users have been identified as potential VEU authorization candidates. End-users are not obligated to accept the Government's nomination.
(4) The ERC will make determinations whether to grant VEU authorization to each VEU candidate no later than 30 calendar days after the candidate's complete application is circulated to all ERC agencies. The Committee may request additional information from an applicant or potential validated end-user related to a particular VEU candidate's application. The period during which the ERC is waiting for additional information from an applicant or potential validated end-user is not included in calculating the 30 calendar day deadline for the ERC's determination.
(5) If an ERC agency is not satisfied with the decision of the ERC, that agency may escalate the matter to the Advisory Committee on Export Policy (ACEP). The procedures and time frame for escalating any such matters are the same as those specified for license applications in Executive Order 12981, as amended by Executive Orders 13020, 13026 and 13117 and referenced in Sec. 750.4 of the EAR.
(6) A final determination at the appropriate decision-making level to amend the VEU authorization list set forth in Supplement No. 7 to this part operates as clearance by all member agencies to publish the amendment in the Federal Register.
(7) The Deputy Assistant Secretary of Commerce for Export Administration will communicate the determination on each VEU request to the requesting party and the end-user. [72 FR 33662, June 19, 2007]