PART 748 APPLICATIONS (CLASSIFICATION, … (Classification, Advisory, and License) and Documentation...

Export Administration Regulations August 2, 2010

PART 748

APPLICATIONS (CLASSIFICATION, ADVISORY, AND LICENSE) AND DOCUMENTATION

Sec. Page

748.1 General provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

748.2 Obtaining forms; mailing addresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

748.3 Classification requests, advisory opinions, and encryption registrations . . . . . . . . . . . . . . . 2

748.4 Basic guidance related to applying for a license . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

748.5 Parties to the transaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

748.6 General instructions for license applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

748.7 Applying electronically for a license or classification request . . . . . . . . . . . . . . . . . . . . . . . . 7

748.8 Unique license application requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

748.9 Support documents for license applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

748.10 Import Certificates and End-user Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

748.11 Statement by ultimate consignee and purchaser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

748.12 Special provisions for support documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

748.13 Delivery verification (DV) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

748.14 Import Certificate for firearms destined for Organization of American States member countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

748.15 Authorization Validated End-user (VEU) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

BIS-748P, BIS-748P-A: ITEM APPENDIX, AND BIS-748P-B: END-USER APPENDIX; MULTIPURPOSE APPLICATION INSTRUCTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 1

UNIQUE APPLICATION AND SUBMISSION REQUIREMENTS . . . . . . . SUPPLEMENT NO. 2

BIS-711, STATEMENT BY ULTIMATE CONSIGNEE AND PURCHASER INSTRUCTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 3


AUTHORITIES ADMINISTERING IMPORT CERTIFICATE/DELIVERY VERIFICATION (IC/DV) AND END USE CERTIFICATE SYSTEMS IN FOREIGN COUNTRIES . . . . . . . . . . . SUPPLEMENT NO. 4

U.S. IMPORT CERTIFICATE AND DELIVERY VERIFICATIONPROCEDURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 5

AUTHORITIES ISSUING IMPORT CERTIFICATES UNDER THE FIREARMS CONVENTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 6

AUTHORIZATION VALIDATED END-USER (VEU): LIST OF VALIDATED END-USERS, RESPECTIVE ITEMS ELIGIBLE FOR EXPORT, REEXPORT AND TRANSFER, AND ELIGIBLE DESTINATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 7

INFORMATION REQUIRED IN REQUESTS FOR VALIDATED END-USER (VEU) AUTHORIZATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 8

END-USER REVIEW COMMITTEE PROCEDURES . . . . . . . . . . . . . . . . . SUPPLEMENT NO. 9

Applications (Classification, Advisory, and License) and Documentation Part 748–page 1


§748.1

GENERAL PROVISIONS

(a) Scope

In this part, references to the ExportAdministration Regulations or EAR arereferences to 15 CFR chapter VII, subchapter C.The provisions of this part involve requests forclassifications and advisory opinions, exportlicense applications, encryption registration,reexport license applications, and certain licenseexception notices subject to the EAR. All terms,conditions, provisions, and instructions, includingthe applicant and consignee certifications,contained in such form(s) are incorporated as partof the EAR. For the purposes of this part, theterm “application” refers to both electronicapplications and the Form BIS-748P:Multipurpose Application.

(b) BIS responses

BIS will give a formal classification, advisoryopinion or licensing decision only through thereview of a properly completed applicationsupported by all relevant facts and requireddocumentation submitted in writing orelectronically to BIS.

(c) Confidentiality

Consistent with section 12(c) of the ExportAdministration Act, as amended, informationobtained for the purpose of considering licenseapplications, and other information obtained bythe U.S. Department of Commerce concerninglicense applications, will not be made available tothe public without the approval of the Secretaryof Commerce or of the Under Secretary forIndustry and Security.

(d) Electronic Filing Required

All export and reexport license applications

(other than Special Comprehensive License orSpecial Iraq Reconstruction License applications),encryption registrations, license exception AGRnotifications, and classification requests and theiraccompanying documents must be filed via BIS’sSimplified Network Application Processing system(SNAP-R), unless BIS authorizes submission viathe paper forms BIS 748-P (MultipurposeApplication Form), BIS-748P-A (Item Appendix)and BIS-748P-B, (End-User Appendix). Onlyoriginal paper forms may be used. Facsimiles orreproductions are not acceptable.

(1) Reasons for authorizing paper submissions.BIS will process paper applications notices orrequests if the submitting party meets one or moreof the following criteria:

(i) BIS has received no more than onesubmission (i.e. the total number of export licenseapplications, reexport license applications, licenseexception AGR notifications, and classificationrequests) from that party in the twelve monthsimmediately preceding its receipt of the currentsubmission;

(ii) The party does not have access to theInternet;

(iii) BIS has rejected the party's electronicfiling registration or revoked its eligibility to fileelectronically;

(iv) BIS has requested that the party submit apaper copy for a particular transaction; or

(v) BIS has determined that urgency, a need toimplement U.S. government policy or acircumstance outside the submitting party’s controljustify allowing paper submissions in a particularinstance.

(2) Procedure for requestingauthorization to file paper applications,notifications, or requests. The applicant muststate in Block 24 or as an attachment to the paper



application (Form BIS 748-P) which of thecriteria in paragraph (d)(1) of this section it meetsand the facts that support such statement. Submitthe completed application, notification or requestto Bureau of Industry and Security, U.S.Department of Commerce, 14 Street andth

Pennsylvania, N.W., Room H2705, WashingtonD.C. 20230.

(3) BIS decision. If BIS authorizes orrequires paper filing pursuant to this section, itwill process the application, notification orrequest in accordance with Part 750 of the EAR.If BIS rejects a request to file using paper, it willreturn the Form BIS-748P and all attachments tothe submitting party without action and will statethe reason for its decision.

§748.2

OBTAINING FORMS; MAILINGADDRESSES

(a) You may obtain the forms required by theEAR from any U.S. Department of CommerceDistrict Office; or in person or by telephone orfacsimile from the following BIS offices:

Outreach and Educational Services DivisionU.S. Department of Commerce14th Street and Pennsylvania Ave., NW.Room H1099DWashington, DC 20230Tel: (202) 482-4811Fax: (202) 482-2927

Western Regional Office:U.S. Department of Commerce3300 Irvine Avenue, Suite 345Newport Beach, CA 92660 Tel: (949) 660-0144Fax: (949) 660-9347

U.S. Export Assistance CenterBureau of Industry and Security

160 W. Santa Clara StreetSuite 725San Jose, CA 95113Tel: (408) 998-8805 or (408) 998-8806Fax: (408) 998-8677

(b) For the convenience of foreign consignees andother foreign parties, certain BIS forms may be ob-tained at U.S. Embassies and Consulates through-out the world.

§748.3

CLASSIFICATION REQUESTS,ADVISORY OPINIONS, AND

ENCRYPTION REGISTRATIONS

(a) Introduction

You may ask BIS to provide you with the correctExport Control Classification Number (ECCN)down to the paragraph (or subparagraph) level, ifappropriate. BIS will issue you a determinationthat each item identified in your classificationrequest is either described by an ECCN in theCommerce Control List (CCL) in Supplement No.1 to Part 774 of the EAR or not described by anECCN and, therefore, an "EAR99" item. Theseclassification determinations issued by BIS are notU.S. Government determinations that the itemsdescribed therein are “subject to the EAR,” as thisterm is defined in §734.3 of the EAR. Those whorequest commodity classifications and advisoryopinions should have determined that the items atissue are not subject to the exclusive export controljurisdiction of one of the other U.S. Governmentagencies listed in §734.3(b) of the EAR. Ifrequested, for a given end-use, end-user, and/ordestination, BIS will advise you whether a licenseis required, or likely to be granted, for a particulartransaction. Note that these responses do not bindBIS to issuing a license in the future. This type ofrequest, along with requests for guidance regardingother interpretations of the EAR, is commonlyreferred to as an “Advisory Opinion.” The



encryption provisions in the EAR require thesubmission of an encryption registration orclassification request in accordance with §740.17(d) of the EAR in order for certain items tobe eligible for export and reexport under LicenseException ENC (see §740.17 of the EAR) or to bereleased from “EI” controls (see §§ 742.15(b)(1)and 742.15(b)(3) of the EAR).

(b) Classification requests

Submit classification requests in accordance withthe procedures in §748.1.

(1) Each Classification Request must be limitedto six items. Exceptions may be granted by BISon a case-by-case basis for several related items ifthe relationship between the items is satisfactorilysubstantiated in the request. Classificationrequests must be supported by any descriptiveliterature, brochures, precise technicalspecifications or papers that describe the items insufficient technical detail to enable classificationby BIS submitted as PDF files attached to theSNAP-R submission unless a paper submission isauthorized pursuant to § 748.1 of he EAR..

(2) When submitting a Classification Request,you must complete Blocks 1 through 5, 14, 22(a),(b), (c), (d), and (i), 24, and 25 on the application.You must provide a recommended classificationin Block 22(a) and explain the basis for yourrecommendation based on the technicalparameters specified in the appropriate ECCN inBlock 24. If you are unable to determine arecommended classification for your item,include an explanation in Block 24, identifyingthe ambiguities or deficiencies that precluded youfrom making a recommended classification.

(3) BIS assigns each of its commodityclassifications a Commodity ClassificationAutomated Tracking System (CCATS) number.Neither the BIS classification nor the CCATSnumber may be relied upon or cited as evidence

that the U.S. Government has determined that theitems described in the commodity classificationdetermination are subject to the EAR (See 15 CFR734.3).

(c) Advisory Opinions

Advisory opinion requests must be in writing andbe submitted to the address listed in §748.1(d)(2).Both your letter and envelope must be marked“Advisory Opinion”.

(1) Your letter must contain the followinginformation if you are requesting guidanceregarding interpretations of the EAR:

(i) The name, title, and telephone andfacsimile numbers of the person to contact;

(ii) Your complete address comprised ofstreet address, city, state, country, and postal code;and

(2) If you are requesting BIS to determine whethera license is required, or the licensing policy relatedto a particular end-use, end-user, and/ordestination, in addition to the information requiredin §748.3(c)(1) you must also include:

(i) All available information on the parties to the transaction and the proposed end-use or end-user;

(ii) The model number for each item, whereappropriate;

(iii) The Export Control ClassificationNumber, if known, for each item; and

(iv) Any descriptive literature, brochures,technical specifications or papers that describe theitems in sufficient technical detail to enable BIS toverify the correct classification.

(3) Requests for Validated End-User authorizationshould be submitted in accordance with the



provisions set forth in §748.15 and SupplementNos. 8 and 9 to this part.

(4) Advisory opinions are limited in scope toBIS’s interpretation of EAR provisions. Advisoryopinions differ from commodity classifications inthat advisory opinions are not limited to theinterpretation of provisions contained in theCommerce Control List. Advisory opinions maynot be relied upon or cited as evidence that theU.S. Government has determined that the itemsdescribed in the advisory opinion are not subjectto the export control jurisdiction of anotheragency of the U.S. Government (See 15 CFR734.3).

(d) Classification requests and encryptionregistration for encryption items

A classification request or encryption registrationassociated with encryption items transferred fromthe U.S. Munitions List consistent with ExecutiveOrder 13026 of November 15, 1996 (3 CFR, 1996Comp., p. 228) and pursuant to the PresidentialMemorandum of that date may be required todetermine eligibility under License ExceptionENC or for release from “EI” controls. Refer toSupplement No. 5 to part 742 of the EAR forinformation that must be included in theencryption registration, which must be submittedin support of certain encryption classificationrequests and self-classification reports. Refer toSupplement No. 6 to part 742 of the EAR for acomplete list of technical information that isrequired for encryption classification requests.Refer to § 742.15(c) and Supplement No. 8 to part742 of the EAR for information that is required tobe submitted in a self-classification report. Referto § 742.15(b) of the EAR for instructionsregarding mass market encryption commoditiesand software, including encryption registration,self-classifications and classification requests.Refer to § 740.17 of the EAR for the provisionsof License Exception ENC, including encryptionregistration, self-classifications, classificationrequests and sales reporting. All classification

requests, registrations, and reports submitted toBIS pursuant to §§ 740.17 and 742.15(b) of theEAR for encryption items will be reviewed by theENC Encryption Request Coordinator, Ft. Meade,MD.

§748.4

BASIC GUIDANCE RELATED TOAPPLYING FOR A LICENSE

(a) License Applicant

(1) Export transactions. Only a person in theUnited States may apply for a license to exportitems from the United States. The applicant mustbe the exporter, who is the U.S. principal party ininterest with the authority to determine and controlthe sending of items out of the United States,except for Encryption License Arrangements(ELA) (see §750.7(d) of the EAR). See definitionof “exporter” in part 772 of the EAR.

(2) Routed export transactions. The U.S.principal party in interest or the duly authorizedU.S. agent of the foreign principal party in interestmay apply for a license to export items from theUnited States. Prior to submitting an application,the agent that applies for a license on behalf of theforeign principal party in interest must obtain apower of attorney or other written authorizationfrom the foreign principal party in interest. See§758.3(b) and (d) of the EAR.

(3) Reexport transactions. The U.S. or foreignprincipal party in interest, or the duly authorizedU.S. agent of the foreign principal party in interest,may apply for a license to reexport controlleditems from one country to another. Prior tosubmitting an application, an agent that applies fora license on behalf of a foreign principal party ininterest must obtain a power-of-attorney or otherwritten authorization from the foreign principalparty in interest, unless there is a preexistingrelationship by ownership, control, position of



responsibility or affiliation. See power-of-attorney requirements in paragraph (b)(2) of thissection.

(b) Disclosure of parties on license applications and the power of attorney

(1) Disclosure of parties. License applicantsmust disclose the names and addresses of allparties to a transaction. When the applicant is theU.S. agent of the foreign principal party ininterest, the applicant must disclose the fact of theagency relationship, and the name and address ofthe agent’s principal. If there is any doubt aboutwhich persons should be named as parties to thetransaction, the applicant should disclose thenames of all such persons and the functions to beperformed by each in Block 24 of the application.Note that when the foreign principal party ininterest is the ultimate consignee or end-user, thename and address need not be repeated in Block24. See “Parties to the transaction” in §748.5.

(2) Power of attorney or other writtenauthorization.

(i) Requirement. An agent must obtain apower of attorney or other written authorizationfrom the principal party in interest, unless thereis a preexisting relationship by ownership,control, position of responsibility or affiliation,prior to preparing or submitting an application fora license, when acting as either:

(A) An agent, applicant, licensee andexporter for a foreign principal party in interest ina routed transaction; or

(B) An agent who prepares anapplication for export on behalf of a U.S.principal party in interest who is the actualapplicant, licensee and exporter in an exporttransaction.

(ii) Application. Block 7 of the application(documents on file with applicant) must be

marked “other” and Block 24 (Additionalinformation) must be marked “748.4(b)(2)” toindicate that the power of attorney or other writtenauthorization is on file with the agent. See§758.3(d) for power of attorney requirement, andsee also part 762 of the EAR for recordkeepingrequirements.

(c) Prohibited from applying for a license

No person convicted of a violation of any statutespecified in section 11(h) of the ExportAdministration Act, as amended, at the discretionof the Secretary of Commerce, may apply for anylicense for a period up to 10 years from the date ofthe conviction. See §766.25 of the EAR.

(d) Prior action on a shipment

If you have obtained a license without disclosureof the facts described in this section, the licensewill be deemed to have been obtained withoutdisclosure of all facts material to the granting ofthe license and the license so obtained will bedeemed void. See part 764 of the EAR for othersanctions that may result in the event a violationoccurs.

(1) Licenses for items subject to detention orseizure. If you submit a license application foritems that you know have been detained or seizedby the Office of Export Enforcement or by the U.S.Customs Service, you must disclose this fact toBIS when you submit your license application.

(2) Licenses for items previously exported. Youmay not submit a license application to BIScovering a shipment that is already laden aboardthe exporting carrier, exported or reexported. Ifsuch export or reexport should not have been madewithout first securing a license authorizing theshipment, you must send a letter of explanation tothe

Office of Export EnforcementU.S. Department of Commerce



14th and Pennsylvania Avenue, N.W.,H4520

Washington, D.C. 20230

The letter must state why a license was notobtained and disclose all facts concerning theshipment that would normally have beendisclosed on the license application. You will beinformed of any action and furnished anyinstructions by the Office of Export Enforcement.

(e) Multiple shipments

Your license application need not be limited to asingle shipment, but may represent a reasonableestimate of items to be shipped throughout thevalidity of the license. Do not wait until thelicense you are using expires before submitting anew application. You may submit a newapplication prior to the expiration of your currentlicense in order to ensure uninterrupted shipping.

(f) Second application

You may not submit a second license applicationcovering the same proposed transaction while thefirst is pending action by BIS.

(g) Resubmission

If a license application is returned without actionto you by BIS or your application represents atransaction previously denied by BIS, and youwant to resubmit the license application, a newlicense application must be completed inaccordance with the instructions contained inSupplement No. 1 to part 748. Cite theApplication Control Number on your originalapplication in Block 24 on the new licenseapplication.

(h) Emergency processing

Applicants may request emergency processing oflicense applications by contacting the Outreachand Educational Services Division of the Office

of Exporter Services by telephone on (202)482-4811 or by facsimile on (202) 482-2927.Refer to the Application Control Number whenmaking emergency processing requests. BIS willexpedite its evaluation, and attempt to expedite theevaluations of other government agencies, of alicense application when, in its sole judgement, thecircumstances justify emergency processing.Emergency processing is not available for SpecialComprehensive License applications. See§750.7(h) of the EAR for the limit on the validityperiod of emergency licenses.

§748.5

PARTIES TO THE TRANSACTION

The following parties may be entered on theapplication. The definitions, which also appear inPart 772 of the EAR, are set out here for yourconvenience to assist you in filling out yourapplication correctly.

(a) Applicant

The person who applies for an export or reexportlicense, and who has the authority of a principalparty in interest to determine and control theexport or reexport of items. See §748.4(a) anddefinition of “exporter” in part 772 of the EAR.

(b) Other party authorized to receive license

The person authorized by the applicant to receivethe license. If a person and address is listed inBlock 15 of the application, the Bureau of Industryand Security will send the license to that personinstead of the applicant. Designation of anotherparty to receive the license does not alter theresponsibilities of the applicant, licensee orexporter.



(c) Purchaser

The person abroad who has entered into thetransaction to purchase an item for delivery to theultimate consignee. In most cases, the purchaseris not a bank, forwarding agent, or intermediary.The purchaser and ultimate consignee may be thesame entity.

(d) Intermediate Consignee

The person that acts as an agent for a principalparty in interest and takes possession of the itemsfor the purpose of effecting delivery of the itemsto the ultimate consignee. The intermediateconsignee may be a bank, forwarding agent, orother person who acts as an agent for a principalparty in interest.

(e) Ultimate Consignee

The principal party in interest located abroad whoreceives the exported or reexported items. Theultimate consignee is not a forwarding agent orother intermediary, but may be the end-user.

(f) End-User

The person abroad that receives and ultimatelyuses the exported or reexported items. The end-user is not a forwarding agent or intermediary, butmay be the purchaser or ultimate consignee.

§748.6

GENERAL INSTRUCTIONS FOR LICENSE APPLICATIONS

(a) Instructions

General instructions for filling out licenseapplications are in Supp. No. 1 to this part.Special instructions for applications involving

certain transactions are listed in §748.8 anddescribed fully in Supp. No. 2 to this part.

(b) Application Control Number

Each application has an application controlnumber. The Application Control Number,consisting of a letter followed by six digits, is foruse by BIS when processing applications, and byapplicants when communicating with BISconcerning pending applications. This number isused for tracking purposes within the U.S.Government. The Application Control Number isnot a license number.

(c) Approval or denial in entirety

License applications may be approved in whole orin part, denied in whole or in part, or returnedwithout action. However, you may specificallyrequest that your license application be consideredas a whole and either approved or denied in itsentirety.

(d) Combining items on license applications

Any items may be combined on a singleapplication; however, if the items differdramatically (e.g., computers and shotguns) thenumber of BIS offices to which a licenseapplication may be referred for review mayincrease significantly. Accordingly, it isrecommended that you limit items on each licenseapplication to those that are similar and/or related.

(e) Attachments to applications

Documents required to be submitted withapplications filed via SNAP-R must be submittedas PDF files using the procedures described inSNAP-R. Documents required to be submittedwith paper applications must bear the applicationcontrol number to which they relate and, ifapplicable, be stapled to the paper form. Wherenecessary, BIS may require you to submit



additional information beyond that stated in theEAR confirming or amplifying informationcontained in your license application.

(f) Changes in facts

Answers to all items on the license applicationwill be deemed to be continuing representations ofthe existing facts or circumstances. Any materialor substantive change in the terms of the order, orin the facts relating to the transaction, must bepromptly reported to BIS, whether a license hasbeen granted or the license application is stillunder consideration. If a license has been grantedand such changes are not excepted in §750.7(c) ofthe EAR, they must be reported immediately toBIS, even though shipments against the licensemay be partially or wholly completed, during thevalidity period of the license.

(g) Request for extended license validity period

An extended validity period will generally begranted if your transaction is related to a multi-year project, when production lead time will notpermit export or reexport during the normalvalidity period or for other similar circumstances.A continuing requirement to supply spare orreplacement parts will not normally justify anextended validity period. To request an extendedvalidity period, include justification for yourrequest in Block 24 on the application.

§748.7

APPLYING ELECTRONICALLY FOR ALICENSE OR CLASSIFICATION

REQUEST

(a) Authorization

You may apply electronically once you have been

authorized to do so by BIS. An authorization tosubmit applications electronically may be limitedor withdrawn by BIS at any time. There are noprerequisites for obtaining permission to submitelectronically or limitations in terms of countryeligibility. However, BIS may direct for anyreason that any electronic application beresubmitted in writing, in whole or in part.

(1) Requesting approval to submit applicationselectronically. To submit applicationselectronically, your company must submit awritten request to BIS. Written requests may befaxed to (202) 219-9179 or (202) 219-9182(Washington, DC), faxed to (949) 660-9347(Newport Beach, CA), or submitted to theaddresses identified in § 748.1(d)(2) of this part.Both the envelope and letter must be marked “Attn:Electronic Submission Request”. Your letter mustcontain your company's name, and the address,telephone number, and name of the principalcontact person in your company. Before approvingyour request, BIS will provide you with languagefor a number of required certifications. Once youhave completed the necessary certifications, youmay be approved by BIS to submit applicationselectronically.

(2) Assignment and use of company andpersonal identification numbers.

(i) Each company granted permission tosubmit applications electronically will be assigneda company identification number. Each personapproved by BIS to submit applicationselectronically for the company will be assigned apersonal identification number (“PIN”) by BIS. APIN will be assigned to you only if your companyhas certified to BIS that you are authorized to actfor it in making electronic submissions under theEAR.

(ii) Your company may reveal the assignedcompany identification number only to the PINholders, their supervisors, employees, or agents ofthe company with a commercial justification for



knowing the company identification number.

(iii) An individual PIN holder may not:

(A) Disclose the PIN to anyone;

(B) Record the PIN either in writing orelectronically;

(C) Authorize another person to use thePIN; or

(D) Use the PIN following terminationby BIS or your company of your authorization orapproval for PIN use.

(iv) To prevent misuse of the PIN:

(A) If a PIN is lost, stolen or otherwisecompromised, the company and the PIN holdermust report the loss, theft or compromise of thePIN immediately by telephoning BIS at(202)482-0436. You must confirm thisnotification in writing within two business days toBIS at the address provided in § 748.1(d)(2) ofthis part.

(B) Your company is responsible forimmediately notifying BIS whenever a PIN holderleaves the employ of the company or otherwiseceases to be authorized by the company to submitapplications electronically on its behalf.

(v) No person may use, copy, steal orotherwise compromise a PIN assigned to anotherperson; and no person may use, copy, steal orotherwise compromise the company identificationnumber where the company has not authorizedsuch person to have access to the number.

(b) Electronic submission of applications

(1) All applications. Upon submission of therequired certifications and approval of thecompany's request to use electronic submission,BIS will provide instructions both on the

method to transmit applications electronicallyand the process for submitting requiredsupporting documents and technicalspecifications. These instructions may bemodified by BIS from time to time.

(2) License Applications. The electronicsubmission of an application for license willconstitute an export control document. Suchsubmissions must provide the same informationas written applications and are subject to the recordkeeping provisions of part 762 of the EAR. The applicant company and PIN holdersubmitting the application will be deemed tomake all representations and certifications as ifthe submission were made in writing by thecompany and signed by the submitting PINholder. Electronic submission of a licenseapplication will be considered complete upon thetransmittal of the application to BIS or to anentity under contract to receive such applicationsfor BIS.

(c) Updating

An applicant company must promptly notify BISof any change in its name or address. If yourcompany wishes to have an individual added as aPIN holder, your company must advise BIS andfollow the instructions provided by BIS. Yourcompany should conduct periodic reviews toensure that PINs are held only by individualswhose current responsibilities make it necessaryand appropriate that they act for the company inthis capacity.

§748.8

UNIQUE APPLICATION ANDSUBMISSION REQUIREMENTS

In addition to the instructions contained inSupplement No. 1 to this part 748, you must alsoensure that the additional requirements for certainitems or types of transactions described in this



section are addressed in your license application.See Supplement No. 2 to this part 748 if yourapplication involves:

(a) Chemicals, medicinals, and pharmaceuticals.

(b) Communications intercepting devices.

(c) Digital computers, telecommunications, andrelated equipment.

(d) Gift parcels; consolidated in a singleshipment.

(e) Intransit shipments through the United States.

(f) Intransit shipments outside of the UnitedStates.

(g) Nuclear Nonproliferation items and end-uses.

(h) Numerical control devices, motion controlboards, numerically controlled machine tools,dimensional inspection machines, directnumerical control systems, specially designedassemblies and specially designed software.

(i) Parts, components, and materials incorporatedabroad into foreign-made products.

(j) Ship stores, plane stores, supplies, and equip-ment.

(k) Regional stability controlled items.

(l) Reexports.

(m) Robots.

(n) Short Supply controlled items.

(o) Technology.

(p) Temporary exports or reexports.

(q) Exports of chemicals controlled for CW

reasons by ECCN 1C350 to countries not listed inSupplement No. 2 to part 745 of the EAR..

(r) Encryption classification requests andencryption registrations.

(s) Foreign National Review Request.

(t) Foreign National Support Statement for deemedexports.

(u) Aircraft and vessels on temporary sojourn.

(v) In-country transfers.

§748.9

SUPPORT DOCUMENTS FOR LICENSEAPPLICATIONS

(a) Exemptions

If you plan to submit a license applicationinvolving one of the following situations and youritem is not a firearms item destined for an OASmember country, no support documentation isrequired. Simply submit the license application. Ifyour item is a firearms item (Reason for Controlidentified as “FC” on the Commerce Control List,Supplement No. 1 to part 774 of the EAR) destinedfor an OAS member country, proceed to section748.14 of this part.

(1) All exports and reexports involving ultimateconsignees located in any of the followingdestinations:

BahamasBarbadosBelizeBermudaBoliviaBrazilCanada



ChileColombiaCosta RicaDominican RepublicEcuadorEl SalvadorFrench West IndiesFrench GuianaGreenlandGuatemalaGuyanaHaiti Honduras JamaicaLeeward and Windward IslandsMexico Miquelon and St. Pierre IslandsNetherlands AntillesNicaraguaPanamaParaguayPeruSurinamTrinidad and TobagoUruguayVenezuela

(2) The ultimate consignee or purchaser is aforeign government(s) or foreign governmentagency(ies), other than the government of thePeople’s Republic of China. To determinewhether the parties to your transaction meet thedefinition of “government agency” refer to thedefinition contained in part 772 of the EAR.Remember, if either the ultimate consignee orpurchaser is not a foreign government or foreigngovernment agency, a statement is required fromthe nongovernmental party.

(3) The license application is filed by, or onbehalf of, a relief agency registered with theAdvisory Committee on Voluntary Foreign Aid,U.S. Agency for International Development, forexport to a member agency in the foreign country.

(4) The license application is submitted to export

or reexport items for temporary exhibit,demonstration, or testing purposes.

(5) The license application is submitted for itemscontrolled for short supply reasons (see part 754 ofthe EAR).

(6) The license application is submitted under theSpecial Comprehensive License proceduredescribed in part 752 of the EAR.

(7) The license application is submitted to exportor reexport software or technology.

(8) The license application is submitted to exportor reexport encryption items controlled underECCNs 5A002, 5B002, 5D002 and 5E002.

(b) Support document requirements

License applications not exempt under paragraph(a) of this section generally must be supported bydocuments designed to elicit informationconcerning the disposition of the items intendedfor export or reexport. These support documentsmust be either submitted at the time the licenseapplication is filed or retained in the applicant'sfiles in accordance with the recordkeepingprovisions of part 762 of the EAR. The type ofsupport documentation required is dependent onthe item involved and the country of ultimatedestination. To determine which type of supportdocumentation is required, answer the followingquestions:

(1) Does your transaction involve items controlledfor national security reasons? Does yourtransaction involve items destined for the People'sRepublic of China (PRC)?

(i) If yes, continue with question number 2 inparagraph (b)(2) of this section.

(ii) If no, your transaction may require aStatement by Ultimate Consignee and Purchaser.Read the remainder of this section beginning with



paragraph (c) of this section, then proceed to§748.11 of the EAR.

(2) Does your transaction involve itemscontrolled for national security reasons destinedfor one of the following countries? (This appliesonly to those overseas destinations specificallylisted.) If your item is destined for the PRC, doesyour transaction involve items that require alicense to the PRC for any reason?

ArgentinaAustraliaAustria BelgiumBulgaria China (PRC)Czech RepublicDenmarkFinlandFrance GermanyGreeceHong KongHungaryIndiaIreland, Republic ofItalyJapanKorea, Republic ofLiechtensteinLuxembourgNetherlandsNew ZealandNorwayPakistanPolandPortugalRomaniaSingaporeSlovakiaSpain SwedenSwitzerlandTaiwanTurkey

United Kingdom

(i) If yes, your transaction may require anImport Certificate or End-User Statement. If yourtransaction involves items destined for the PRCthat are controlled to the PRC for any reason, yourtransaction may require a PRC End-UserStatement. Note that if the destination is the PRC,a Statement of Ultimate Consignee and Purchasermay be substituted for a PRC End-User Statementwhen the item to be exported (i.e., replacementparts and sub-assemblies) is for servicingpreviously exported items and is valued at $75,000or less.

(ii) If no, your transaction may require aStatement by Ultimate Consignee and Purchaser.Read the remainder of this section, then proceed to§748.11 of the EAR.

(c) License applications requiring support documents

License applications requiring support by either aStatement by the Ultimate Consignee andPurchaser or an Import Certificate or End-UserStatement must indicate the type of supportdocument obtained in Block 6 or 7 on yourapplication with an "X" in the appropriate box. Ifthe support document is an Import Certificate orEnd User Statement, you must also identify theoriginating country and number of the Certificateor Statement in Block 13 on your application. If alicense application is submitted without either thecorrect Block or Box marked on the application orthe required support document, the licenseapplication will be immediately returned withoutaction unless the satisfactory reasons for failing toobtain the document are supplied in Block 24 or inan attachment to your license application.

(1) License applications supported by anImport or End User Statement. You may submityour license application upon receipt of a facsimileor other legible copy of the Import Certificate orEnd-User Statement, provided that no shipment is



made against any license issued based upon theImport Certificate or End-User Statement prior toreceipt and retention of the original statement bythe applicant.

(2) License applications supported byUltimate Consignee and Purchaser statements.These types of license applications may besubmitted upon receipt of a facsimile or otherlegible copy of the original statement providedthat the applicant receives the manually-signedoriginal within 60 days from the date the originalis signed by the ultimate consignee.

(d) Exceptions to obtaining the requiredsupport document

BIS will consider the granting of an exception tothe requirement for supporting document wherethe requirements cannot be met due tocircumstances beyond your control. An exceptionwill not be granted contrary to the objectives ofthe U.S. export control laws and regulations.Refer to §748.12(d) of this part for specificinstructions on procedures for requesting anexception.

(e) Validity period

(1) When an Import or End-User Certificate or aStatement by Ultimate Consignee and Purchaseris required to support one or more licenseapplications, you must submit the first licenseapplication within the validity period shown onthe Certificate, or 6 months from the date theCertificate was issued or Statement signed,whichever is shorter.

(2) All subsequent license applications supportedby the same Import or End-Use Certificate mustbe submitted to BIS within one year from the datethat the first license application supported by thesame Import or End-Use Certificate wassubmitted to BIS.

(3) All subsequent license applications supported

by the same Statement by Ultimate Consignee andPurchaser must be submitted within two years ofthe first application if the statement was completedas a single transaction statement. If the statementwas completed as a multiple transaction statement,all applications must be submitted within twoyears of signature by the consignee or purchaser,whichever was last.=

(f) English translation requirements

All abbreviations, coded terms, or otherexpressions on support documents having specialsignificance in the trade or to the parties to thetransaction must be explained on an attachment tothe document. Documents in a language other thanEnglish must be accompanied by an attachmentgiving an accurate English translation, either madeby a translating service or certified by you to becorrect. Explanations or translations should beprovided on a separate piece of paper, and notentered on the support documents themselves.

(g) Responsibility for full disclosure

(1) Information contained in a support documentcannot be construed as extending or expanding orotherwise modifying the specific informationsupplied in a license application or license issuedby BIS. The license application covering thetransaction disclose all facts pertaining to thetransaction. The authorizations contained in theresulting license are not extended by informationcontained in an Import Certificate, End-UserCertificate or Statement by Ultimate Consigneeand Purchaser regarding reexport from the countryof destination any other facts relative to thetransaction that are not reported on the licenseapplication.

(2) Misrepresentations, either through failure todisclose facts, concealing a material fact, orfurnishing false information, will subjectresponsible parties to administrative action by BIS.Administrative action may include suspension,revocation, or denial of licensing privileges and



denial of other participation in exports from theUnited States.

(3) In obtaining the required support document,you as the applicant are not relieved of theresponsibility for full disclosure of any otherinformation concerning the ultimate destinationand end-use, end-user of which you know, even ifinconsistent with the representations made in theImport Certificate, End-User Certificate, orStatement by Ultimate Consignee and Purchaser.You are responsible for promptly notifying BIS ofany change in the facts contained in the supportdocument that comes to your attention.

(h) Effect on license application review

BIS reserves the right in all respects to determineto what extent any license will be issued coveringitems for which an Import or End-User Certificatehas been issued by a foreign government. BISwill not seek or undertake to give consideration torecommendations from the foreign government asto the action to be taken on a license application.A supporting document issued by a foreigngovernment will be only one of the factors uponwhich BIS will base its licensing action, sinceend-uses and other considerations are importantfactors in the decision making process.

(i) Request for return of support documentssubmitted to BIS

If an applicant is requested by a foreign importerto return an unused or partially used Import orEnd-User Certificate submitted to BIS in supportof a license application, the procedure provided inthis paragraph (i) should be followed:

(1) The applicant must send a letter request forreturn of an Import or End-User Certificate to theaddress stated in § 748.1(d)(2) of this part, “Attn:Import/End-User Certificate Request”.

(2) The letter request must include the name andaddress of the importer, the Application Control

Number under which the original Import or End-User Certificate was submitted, the ApplicationControl Numbers for any subsequent licenseapplications supported by the same certificate, andone of the following statements, if applicable:

(i) If the certificate covers a quantity greaterthan the total quantity identified on the licenseapplication(s) submitted against it, a statement thatthe certificate will not be used in connection withanother license application.

(ii) If you do not intend to make anyadditional shipments under a license covered bythe certificate, or are in possession of an expiredlicense covered by the certificate, a statement tothis effect, indicating the unshipped items.

(j) Recordkeeping requirements for returningcertificates retained by the applicant

(1) Though the recordkeeping provisions of theEAR require that all original support documents beretained for a period of five years, an unused orpartially used certificate may be returned at therequest of a foreign importer provided that yousubmit the original certificate, accompanied by aletter of explanation, a copy of each licensecovered by the certificate, and a list of allshipments made against each license to BIS at theaddress listed in §748.2(c). BIS will notify you inwriting whether your request has been granted.The following information must be contained inyour letter of explanation:

(i) A statement citing the foreign importer'srequest for return of the certificate;

(ii) The license number(s) that have beenissued against the certificate (including bothoutstanding and expired licenses); and(iii) If the certificate covers a quantity greater thatthe total quantity stated on the license(s), you mustinclude a statement that the certificate will not beused in connection with another licenseapplication.



(2) If your request is granted, BIS will return thecertificate to you. You must make a copy of thecertificate before you return the original to theimporter. This copy must show all theinformation contained on the original certificateincluding any notation made on the certificate byBIS. The copies must be retained on file alongwith your correspondence in accordance with therecordkeeping provisions in part 762 of the EAR.

§748.10

IMPORT CERTIFICATES AND END-USER STATEMENTS

(a) Scope

There are a variety of Import Certificates andEnd-User Statements currently in use by variousgovernments. The control exercised by thegovernment issuing the Import Certificate orEnd-User Statement is in addition to theconditions and restrictions placed on thetransaction by BIS. The laws and regulations ofthe United States are in no way modified,changed, or superseded by the issuance of anImport Certificate or End-User Statement. Thissection describes exceptions and relationships forboth Import Certificates and End-UserStatements, and generally applies only totransactions exceeding $50,000. In the case ofcountries identified in §748.9(b)(2) of this part(excluding the People’s Republic of China(PRC)), Import Certificates are required fornational security controlled items in transactionsexceeding $50,000. In the case of the PRC, End-User Statements are required for transactionsexceeding $50,000 involving all items that requirea license to the PRC for any reason. However,this $50,000 threshold is lower for certain exportsto the PRC (see paragraph (b)(3) of this section).

(b) Import Certificate or End-User Statement

Unless your transaction meets one of theexemptions stated in §748.9(a) of this part, anImport Certificate or End-User Statement must beobtained, if:

(1) Any commodities on your license applicationare controlled for national security (NS) reasons(except for items controlled under ECCNs 5A002or 5B002), or any commodities to the PRC on yourlicense application are controlled for any reason;

(2) The ultimate destination is a country listed in§748.9(b)(2) of this part; and

(3) Your license application involves the export ofcommodities classified in a single entry on theCCL, and your ultimate consignee is in anydestination listed in §748.9(b)(2), and the totalvalue of your transaction exceeds $50,000. Notethat the $50,000 transaction threshold does notapply to certain exports to the PRC. If yourtransaction involves an export to the PRC of acomputer that requires a license for any reason, anEnd-User Statement is required regardless of dollarvalue. Also, if your transaction involves an exportto the PRC of an item classified under ECCN6A003 that requires a license for any reason, anEnd-User Statement is required for transactionsexceeding $5000.

(i) Your license application may list severalseparate CCL entries. If any individual entryincluding an item that is controlled for nationalsecurity reasons exceeds $50,000, then an ImportCertificate must be obtained covering all itemscontrolled for national security reasons on yourlicense application. If the total value of entries ona license application that require a license to thePRC for any reason listed on the CCL exceeds$50,000, then a PRC End-User Statement coveringall such controlled items that require a license tothe PRC on your license application must beobtained;



(ii) If your license application involves alesser transaction that is part of a larger order foritems controlled for national security reasons (or,for the PRC, for any reason) in a single ECCNexceeding $50,000, an Import Certificate, or aPRC End-User Statement, as appropriate, must beobtained.

(iii) You may be specifically requested byBIS to obtain an Import Certificate for atransaction valued under $50,000. You also maybe specifically requested by BIS to obtain anEnd-User Statement for a transaction valuedunder $50,000 or for a transaction that requires alicense to the PRC for reasons in the EAR otherthan those listed on the CCL.

(c) How to obtain an Import Certificate orEnd-User Statement

(1) Applicants must request that the importer(e.g., ultimate consignee or purchaser) obtain theImport Certificate and that it be issued coveringonly those items that are controlled for nationalsecurity reasons. Exporters should not requestthat importers obtain Import Certificates for itemsthat are controlled for reasons other than nationalsecurity. Note that in the case of the PRC,applicants must request that the importer obtainan End-User Statement for all items on a licenseapplication that require a license to the PRC forany reason listed on the CCL. Applicants mustobtain original Import Certificate or End-UserStatements from importers.

(2) The applicant's name must appear on theImport Certificate or End-User Statementsubmitted to BIS as either the applicant, supplier,or order party. The Import Certificate may bemade out to either the ultimate consignee or thepurchaser, even though they are different parties,as long as both are located in the same country.

(3) If your transaction requires the support of aPRC End-User Statement, you must ensure thatthe following information is included on the PRC

End-User Statement signed by an official of theDepartment of Mechanic, Electronic and HighTechnology Industries, Export Control Division I,of the PRC Ministry of Commerce (MOFCOM),with MOFCOM's seal affixed to it:

(i) Title of contract and contract number(optional);

(ii) Names of importer and exporter;

(iii) End-User and end-use;

(iv) Description of the item, quantity anddollar value; and

(v) Signature of the importer and date.

Note to paragraph (c) of this section: Youshould furnish the consignee with the itemdescription contained in the CCL to be used inapplying for the Import or End-User Statement. Itis also advisable to furnish a manufacturer'scatalog, brochure, or technical specifications if theitem is new.

(d) Where to obtain Import and End-User Certificates

See Supplement No. 4 to this part for a list of theauthorities administering the Import Cer-tificate/Delivery Verification and End-UserCertificate Systems in other countries.

(e) Triangular symbol on International Import Certificates

(1) In accordance with international practice, theissuing government may stamp a triangular symbolon the International Import Certificate (IIC). Thissymbol is notification that the importer does notintend to import or retain the items in the countryissuing the certificate, but that, in any case, theitems will not be delivered to any destinationexcept in accordance with the export regulations ofthe issuing country.



(2) If you receive an IIC bearing a triangularsymbol, you must identify all parties to thetransaction on the license application, includingthose located outside the country issuing the IIC.If the importer declines to provide you with thisinformation, you may advise the importer toprovide the information directly to BIS, through aU.S. Foreign Commercial Service office, or in asealed envelope to you marked “To be opened byBIS only”.

(f) Multiple license applications supported by one certificate

An Import or End-User Certificate may covermore than one purchase order and more than oneitem. Where the certificate includes items forwhich more than one license application will besubmitted, you must include in Block 24 on yourapplication, or in an attachment to each licenseapplication submitted against the certificate, thefollowing certification:

I (We) certify that the quantities of itemsshown on this license application, based onthe Certificate identified in Block 13 of thislicense application, when added to thequantities shown on all other licenseapplications submitted to BIS based on thesame Certificate, do not total more than thetotal quantities shown on the above citedCertificate.

(g) Submission of Import Certificates and End-User Statements

Certificates and Statements must be retained onfile by the applicant in accordance with therecordkeeping provisions of part 762 of the EAR,and should not be submitted with the licenseapplication. For more information on whatImport Certificate and End-User Statementinformation must be included in licenseapplications, refer to §748.9(c) of the EAR. Inaddition, as set forth in §748.12(e), to assist inlicense reviews, BIS will require applicants, on a

random basis, to submit specific original ImportCertificate and End-User Statements.

(h) Alterations

After an Import or End-User Certificate is issuedby a foreign government, no corrections, additions,or alterations may be made on the Certificate byany person. If you desire to explain anyinformation contained on the Certificate, you mayattach a signed statement to the Certificate.

(i) Request for Delivery Verification

BIS will, on a selective basis, require DeliveryVerification documents for shipments supportedby Import Certificates. You will be notified ifDelivery Verification is required at the time ofissuance of the license. Please refer to §748.13 ofthis part for detailed information on theseprocedures.

(j) Retention procedures

You must retain on file the original copy of anycertificate issued in support of a licenseapplication submitted to BIS, unless the original issubmitted with the license application. Allrecordkeeping provisions contained in part 762 ofthe EAR apply to this requirement, except thatreproductions may not be substituted for theofficially authenticated original in this instance.

§748.11

STATEMENT BY ULTIMATE CONSIGNEE AND PURCHASER

(a) Exceptions to completing a Statement byUltimate Consignee and Purchaser

A Statement by the Ultimate Consignee and/orPurchaser involved in a transaction must becompleted unless:



(1) An International Import Certificate, aPeople's Republic of China End-User Certificate,an Indian Import Certificate, or a Bulgarian,Czech, Hungarian, Polish, Romanian or SlovakImport Certificate is required in support of thelicense application;

(2) The applicant is the same person as theultimate consignee, provided the requiredstatements are contained in Block 24 on thelicense application. This exemption does notapply where the applicant and consignee areseparate entities, such as parent and subsidiary, oraffiliated or associated firms; (3) The application is valued at $5000 or less,and is not part of a larger transaction; or

(4) The transaction meets one of the exemptionsstated in §748.9(a) of this part.

(b) Submission of the Statement by UltimateConsignee and Purchaser

A copy of the statement must be submitted withyour license application if the country of ultimatedestination is listed in either Country Group D:2,D:3, or D:4 (See Supplement No. 1 to part 740 ofthe EAR). The copy submitted by the applicantmust be of sufficient quality to ensure allassertions made on the statement are legible andthat the signatures are sufficiently legible topermit identification of the signature as that of thesigner. The applicant must receive the manually-signed original within 60 days from the date theoriginal is signed by the ultimate consignee. Theapplicant must, upon receipt, retain the manually-signed original, and both the ultimate consigneeand purchaser should retain a copy of thestatement in accordance with the recordkeepingprovisions contained in part 762 of the EAR.

(c) Form or letter

The ultimate consignee and purchaser mustcomplete either a statement on company

letterhead in accordance with paragraph (e) of thissection or Form BIS-711, Statement by UltimateConsignee and Purchaser. If the consignee andpurchaser elect to complete the statement onletterhead and both the ultimate consignee andpurchaser are the same entity, only one statementis necessary. If the ultimate consignee andpurchaser are separate entities, separate statementsmust be prepared and signed. If the ultimateconsignee and purchaser elects to complete FormBIS-711, only one Form BIS-711 (containing thesignatures of the ultimate consignee andpurchaser) need be completed. Whether yourultimate consignee and purchaser sign a writtenstatement or complete Form BIS-711, thefollowing constraints apply:

(1) Responsible officials representing the ultimateconsignee and purchaser must sign the statement.“Responsible official” is defined as someone withpersonal knowledge of the information included inthe statement, and authority to bind the ultimateconsignee or purchaser for whom they sign, andwho has the power and authority to control the useand disposition of the licensed items.

(2) The authority to sign the statement may not bedelegated to any person (agent, employee, or other)whose authority to sign is not inherent in his or herofficial position with the ultimate consignee orpurchaser for whom he or she signs. The signingofficial may be located in the U.S. or in a foreigncountry. The official title of the person signing thestatement must also be included.

(3) The consignee and/or purchaser must submitinformation that is true and correct to the best oftheir knowledge and must promptly send a newstatement to the applicant if changes in the facts orintentions contained in their statement(s) occurafter the statement(s) have been forwarded to theapplicant. Once a statement has been signed, nocorrections, additions, or alterations may be made.If a signed statement is incomplete or incorrect inany respect, a new statement must be prepared,signed and forwarded to the applicant.



(d) Instructions for completing Form BIS-711

Instructions on completing Form BIS-711 arecontained in Supplement No. 3 to this part. Theultimate consignee and purchaser may sign alegible copy of Form BIS-711. It is not necessaryto require your ultimate consignee and purchasersign an original Form BIS-711, provided allinformation contained on the copy is legible.

(e) Instructions for completing the statement on letterhead

Information in response to each of the followingcriteria must be included in the statement. If anyinformation is unknown, that fact should bedisclosed in the statement. Preprinted informationsupplied on the statement, including the name,address, or nature of business of the ultimateconsignee or purchaser appearing on theletterhead or order form is acceptable but will notconstitute evidence of either the signer's identity,the country of ultimate destination, or end-use ofthe items described in the license application.

(1) Paragraph 1. One of the followingcertifications must be included depending onwhether the statement is proffered in support of asingle license application or multiple licenseapplications:

(i) Single. This statement is to beconsidered part of a license application submittedby [name and address of applicant].

(ii) Multiple. This statement is to beconsidered a part of every license applicationsubmitted by [name and address of applicant]until two years from the date this statement issigned.

(2) Paragraph 2. One or more of the followingcertifications must be included. Note that if any

of the facts related to the following statements areunknown, this must be clearly stated.

(i) The items for which a license applicationwill be filed by [name of applicant] will be used byus as capital equipment in the form in whichreceived in a manufacturing process in [name ofcountry] and will not be reexported or incorporatedinto an end product.

(ii) The items for which a license applicationwill be filed by [name of applicant] will beprocessed or incorporated by us into the followingproduct(s) [list products] to be manufactured in[name of country] for distribution in [list name ofcountry or countries].

(iii) The items for which a license applicationwill be filed by [name of applicant] will be resoldby us in the form in which received for use orconsumption in [name of country].

(iv) The items for which a license applicationwill be filed by [name of applicant] will bereexported by us in the form in which received to[name of country or countries].

(v) The items received from [name ofapplicant] will be [describe use of the items fully].

(3) Paragraph 3. The following two certificationsmust be included:

(i) The nature of our business is [possiblechoices include; broker, distributor, fabricator,manufacturer, wholesaler, retailer, value addedreseller, original equipment manufacturer, etc.].

(ii) Our business relationship with [name ofapplicant] is [possible choices include; contractual,franchise, distributor, wholesaler, continuing andregular individual business, etc.] and we have hadthis business relationship for [number of years].

(4) Paragraph 4. The final paragraph mustinclude all of the following certifications:



(i) We certify that all of the facts containedin this statement are true and correct to the best ofour knowledge and we do not know of anyadditional facts that are inconsistent with theabove statements. We shall promptly send areplacement statement to [name of the applicant]disclosing any material change of facts orintentions described in this statement that occurafter this statement has been prepared andforwarded to [name of applicant]. Weacknowledge that the making of any falsestatement or concealment of any material fact inconnection with this statement may result inimprisonment or fine, or both, and denial, inwhole or in part, of participation in U.S. exportsor reexports.

(ii) Except as specifically authorized by theU.S. Export Administration Regulations, or bywritten approval from the Bureau of Industry andSecurity, we will not reexport, resell, or otherwisedispose of any items approved on a licensesupported by this statement:

(A) To any country not approved forexport as brought to our attention by the exporter;or

(B) To any person if there is reason tobelieve that it will result directly or indirectly indisposition of the items contrary to therepresentations made in this statement or contraryto the U.S. Export Administration Regulations.

(iii) We understand that acceptance of thisstatement as a support document cannot beconstrued as an authorization by BIS to reexportthe items in the form in which received eventhough we may have indicated the intention toreexport, and that authorization to reexport is notgranted in an export license on the basis ofinformation provided in the statement, but as aresult of a specific request in a licenseapplication.

§748.12

SPECIAL PROVISIONS FOR SUPPORT DOCUMENTS

(a) Grace periods.

Whenever the requirement for an ImportCertificate or End-User Statement or Statement byUltimate Consignee or Purchaser is imposed orextended by a change in the regulations, thelicense application need not conform to the newsupport documentation requirements for a periodof 45 days after the effective date of the regulatorychange published in the Federal Register.

(1) Requirements are usually imposed or extendedby virtue of one of the following:

(i) Addition or removal of national securitycontrols over a particular item; or

( i i )De ve lo pme nt o f a n Imp or tCertificate/Delivery Verification or End-UserCertificate program by a foreign country; or

(iii) Removal of an item from eligibility underthe Special Comprehensive License described inpart 752 of the EAR, when you hold such a speciallicense and have been exporting the item underthat license.

(2) License applications filed during the 45 daygrace period must be accompanied by anyevidence available to you that will supportrepresentations concerning the ultimate consignee,ultimate destination, and end use, such as copies ofthe order, letters of credit, correspondence betweenyou and ultimate consignee, or other documentsreceived from the ultimate consignee. You mustalso identify the regulatory change (including itseffective date) that justifies exercise of the 45 daygrace period. Note that an Import Certificate orEnd-User Statement will not be accepted, after thestated grace period, for license applicationsinvolving items that are no longer controlled for



national security reasons. If an item is removedfrom national security controls, you must obtain aStatement by Ultimate Consignee and Purchaseras described in § 748.11 of this part. Likewise,any item newly controlled for national securitypurposes requires support of an Import Certificateor End-User Statement as described in § 748.10of this part after expiration of the stated graceperiod.

(b) Reexports

If a support document would be required for anexport from the United States, the same documentwould be required for reexport to Country GroupD:1 and E:2 (see Supplement No. 1 to part 740 ofthe EAR).

(c) Granting of exceptions to the supportdocumentation requirement

An exception to obtaining the required supportdocumentation will be considered by BIS,however, an exception will not be grantedcontrary to the objectives of the U.S. exportcontrol program. A request for exception mayinvolve either a single transaction, or where thereason necessitating the request is continuing innature, multiple transactions. If satisfied by theevidence presented, BIS may waive the supportdocument requirement and accept the licenseapplication for processing. Favorableconsideration of a request for exception generallywill be given in instances where the supportdocument requirement:

(1) Imposes an undue hardship on you and/orultimate consignee (e.g., refusal by the foreigngovernment to issue an Import or End-UserCertificate and such refusal constitutesdiscrimination against you); or

(2) Cannot be complied with (e.g., the items willbe held in a foreign trade zone or bondedwarehouse for subsequent distribution in one ormore countries); or

(3) Is not applicable to the transaction (e.g., theitems will not be imported for consumption intothe named country of destination).

(d) Procedures for requesting an exception

(1) Requests for exception must be submitted withthe license application to which the request relates.Where the request relates to more than one licenseapplication it should be submitted with the firstlicense application and referred to in Block 24 onany subsequent license application. The requestfor exception must be submitted in writing on theapplicant's letterhead.

(2) In instances where you are requestingexception from obtaining an Import or End-UserCertificate, the request must be accompanied by amanually-signed original Statement by UltimateConsignee and Purchaser as described in §748.11of this part.

(3) At a minimum, the letter request must include:

(i) Name and address of ultimate consignee;

(ii) Name and address of purchaser, ifdifferent from ultimate consignee;

(iii) Location of foreign trade zone or bondedwarehouse if the items will be exported to aforeign trade zone or bonded warehouse;

(iv) Type of request, i.e., whether for a singletransaction or multiple transactions;

(v) Full explanation of the reason(s) forrequesting the exception;

(vi) Nature and duration of the businessrelationship between you and ultimate consigneeand purchaser shown on the license application;

(vii) Whether you have previously obtainedand/or submitted to BIS an Import or End-UserCertificate issued in the name of the ultimate



consignee and/or purchaser, and a list of theApplication Control Number(s) to which thecertificate(s) applied; and

(viii) Any other facts to justify granting anexception.

(4) Action by BIS.

(i) Single transaction request. Where asingle transaction is involved, BIS will act on therequest for exception at the same time as thelicense application with which the request issubmitted. In those instances where the relatedlicense application is approved, the issuance ofthe license will serve as an automatic notice to theapplicant that the exception was approved. If anyrestrictions are placed on granting of theexception, these will appear on the approval. Ifthe request for exception is not approved, BISwill advise you by letter.

(ii) Multiple transactions request. Wheremultiple transactions are involved, BIS willadvise you by letter of the action taken on theexception request. The letter will contain anyconditions or restrictions that BIS finds necessaryto impose (including an exception terminationdate if appropriate). In addition, a writtenacceptance of these conditions or restrictions maybe required from the parties to the transaction.

(e) Availability of original

The original certificate or statement must be kepton file, and made available for inspection inaccordance with the provisions of part 762 of theEAR. To ensure compliance with thisrecordkeeping requirement, BIS will requireapplicants, on a random basis, to submit specificoriginal certificates and statements that have beenretained on file. Applicants will be notified inwriting of any such request.

§748.13

DELIVERY VERIFICATION (DV)

(a) Scope

(1) BIS may request the licensee to obtainverifications of delivery on a selective basis. ADelivery Verification Certificate (DV) is adocument issued by the government of the countryof ultimate destination after the export has takenplace and the items have either entered the exportjurisdiction of the recipient country or areotherwise accounted for by the importer to theissuing government. Governments that issue DVsare listed in Supplement No. 4 to this part.

(2) If BIS decides to request verification ofdelivery, the request will appear as a condition onthe face of the license. If the license is sentdirectly to a party other than the applicantauthorized to receive the license (e.g., agent,forwarder, broker, etc.), such party is responsiblefor notifying the licensee immediately in writingthat a DV is required.

(b) Exception to obtaining Delivery Verification

The DV requirement for a particular transactiondoes not apply if the item is no longer controlledfor national security reasons following theissuance of a license.

(c) Procedure for obtaining Delivery Verification

When notified that a DV is required by BIS, thelicensee must transmit to the importer a writtenrequest for a DV at the time of making eachshipment under the license (whenever possible,this request should be submitted together with therelated bill of lading or air waybill). The requestmust include the number of the Import or End-UserCertificate for the transaction referred to on thelicense, and notify the importer that this sameImport or End-User Certificate number should beshown on the DV.



(1) The importer must obtain the DV from theappropriate government ministry identified inSupplement No. 4 to this part, and forward thecompleted DV to the licensee. The DV mustcover the items described on the license that havebeen shipped. Note that BIS must be able torelate the description provided in the DV to theapproved license. In order to ensure the sameterminology is used, the licensee should providethe importer with the description as it appears onthe license. (2) The original copy of the DV must be sent toBIS within 90 days after the last shipment hasbeen made against the license. If verification ofdelivery is required for items covered by a licenseagainst which partial shipments have been made,the licensee shall obtain the required DV for eachpartial shipment, and retain these on file until allshipments have been made against the license.Once all shipments against the license have beenmade (or the licensee has determined that nonewill be), the licensee must forward, in onepackage, all applicable DVs to Office of ExporterServices, Export Management and ComplianceDivision, Room 2705, U.S. Department ofCommerce, 14 Street and Pennsylvania Avenue,th

NW., Washington DC 20230.

(3) The documents must be forwarded with adated letter giving the license number, the name,title and signature of the authorizedrepresentative, and one of the followingstatements:

(i) The total quantity authorized by licensenumber _____ has been exported, and all deliveryverification documents are attached.

(ii) A part of the quantity authorized bylicense number _____ will not be exported.Delivery verification documents covering allitems exported are attached.

(iii) No shipment has been made against thislicense, and none is contemplated.

(d) Inability to obtain Delivery VerificationCertificates

If a licensee is unable to obtain the required DV(within the time frame stated above, or at all) fromthe importer, the licensee must promptly notifyBIS and, upon request, make available all information and records, includingcorrespondence, regarding the attempt to obtainthe DV.

§748.14

IMPORT CERTIFICATE FOR FIREARMSDESTINED FOR ORGANIZATION OF

AMERICAN STATES MEMBERCOUNTRIES

(a) Scope

Consistent with the OAS Model Regulations, BISrequires from all OAS member countries an ImportCertificate issued by the government of theimporting country for items classified as ECCNs0A984, 0A986, or 0A987. For those OAS membercountries that have not yet established orimplemented an Import Certificate procedure, BISwill accept an equivalent official document (e.g.,import license or letter of authorization) issued bythe government of the importing country assupporting documentation for the export offirearms. This section describes the requirementsfor Import Certificates or official equivalents insupport of license applications submitted to BISfor firearms items that are identified by “FCColumn 1" in the “License Requirements” sectionof the Commerce Control List.

(b) Import Certificate Procedure

An Import Certificate or equivalent officialdocument must be obtained from the governmentof the importing OAS member country for firearmsitems classified as ECCNs 0A984, 0A986, or0A987. Except as provided by §748.9(a) of the



EAR, the applicant must obtain and retain on fileeither the original or certified copy of the ImportCertificate, or an original or certified copy ofequivalent official document issued by thegovernment of the importing country in supportof any license application for export of firearmsitems classified as 0A984, 0A986, or 0A987. Allthe recordkeeping provisions of part 762 of theEAR apply to this requirement. The applicantmust clearly note the number and date of theImport Certificate or equivalent official documenton all export license applications (BIS Form748P, Multipurpose Application Form, Block 13)supported by that Certificate or equivalent officialdocument. The applicant must also indicate inBlock 7 of the application that the Certificate orequivalent official document has been receivedand will be retained on file. However, theapplicant may submit an application beforeobtaining the original or certified copy of theImport Certificate, or the official original orcertified copy of the equivalent document,provided that:

(1) The applicant has received a facsimile of theImport Certificate or equivalent official documentat the time the license application is filed; and

(2) The applicant states on the application that afacsimile of the Import Certificate or equivalentofficial document has been received and that noshipment will be made against the license prior toobtaining the original or certified copy of theImport Certificate or the original or certified copyof the equivalent official document issued by theimporting country and retaining it on file.Generally, BIS will not consider any licenseapplication for the export of firearms items if theapplication is not supported by an ImportCertificate or its official equivalent. If thegovernment of the importing country will notissue an Import Certificate or its officialequivalent, the applicant must supply theinformation described in paragraphs (g)(2)(i) and(g)(2)(vi) through (viii) of this section oncompany letterhead.

(c) Countries to which firearms controls apply

The firearms controls apply to all OAS membercountries: Antigua and Barbuda, Argentina, theBahamas, Barbados, Belize, Bolivia, Brazil,Canada, Chile, Colombia, Costa Rica, Dominica,Dominican Republic, Ecuador, El Salvador,Grenada, Guatemala, Guyana, Haiti, Honduras,Jamaica, Mexico, Nicaragua, Panama, Paraguay,Peru, St. Kitts and Nevis, Saint Lucia, SaintVincent and the Grenadines, Suriname, Trinidadand Tobago, the United States, Uruguay, andVenezuela.

(d) Items/Commodities

An Import Certificate or equivalent officialdocument is required for items controlled underExport Control Classification Numbers (ECCNs)0A984, 0A986, or 0A987.

(e) Use of the Import Certificate

An Import Certificate or equivalent officialdocument can only be used to support one BISForm-748P, Multipurpose Application. The BISForm-748P, Multipurpose Application, mustinclude the same items as those listed on theImport Certificate or the equivalent officialdocument.

(f) Validity Period

Import Certificates or equivalent officialdocuments issued by an OAS member country willbe valid for a period of one year or less. Althoughlicenses generally are valid for two years, yourability to ship may be affected by the validity ofthe Import Certificate or equivalent officialdocument.

(g) How to obtain an Import Certificate for firearms items destined to OAS member

countries

(1) Applicants must request that the importer (e.g.,



ultimate consignee or purchaser) obtain theImport Certificate or an equivalent officialdocument from the government of the importingcountry, and that it be issued covering thequantities and types of items that the applicantintends to export. Upon receipt of the ImportCertificate or its official equivalent, the importermust provide the original or a certified copy ofthe Import Certificate or the original or a certifiedcopy of the equivalent official document to theapplicant. The applicant shall obtain the requireddocuments prior to submitting a licenseapplication, except as provided in paragraphs(b)(1) and (b)(2) of this section.

(2) The Import Certificate or its officialequivalent must contain the followinginformation:

(i) Applicant’s name and address. Theapplicant may be either the exporter, supplier, ororder party.

(ii) Import Certificate Identifier/Number.

(iii) Name of the country issuing thecertificate or unique country code.

(iv) Date the Import Certificate was issued,in international date format (e.g., 24/12/98 (24December 1998), or 3/1/99 (3 January 1999)).

(v) Name of the agency issuing thecertificate, address, telephone and facsimilenumbers, signing officer name, and signature.

(vi) Name of the importer, address,telephone and facsimile numbers, country ofresidence, representative’s name if commercial orgovernment body, citizenship, and signature.

(vii) Name of the end-user(s), if known anddifferent from the importer, address, telephoneand facsimile numbers, country of residence,representative’s name if commercial (authorizeddistributor or reseller) or government body,

citizenship, and signature. Note that BIS does notrequire the identification of each end-user whenthe firearms items will be resold by a distributor orreseller if unknown at the time of export.

(viii) Description of the items approved forimport including a technical description and totalquantity of firearms, parts and components,ammunition and parts.

NOTE to paragraph (g)(2)(viii): Youmust furnish the consignee with adetailed technical description of eachitem to be given to the government forits use in issuing the Import Certificate.For example, for shotguns, provide thetype, barrel length, overall length,number of shots, the manufacturer’sname, the country of manufacture, andthe serial number for each shotgun. Forammunition, provide the caliber, velocityand force, type of bullet, manufacturer’sname and country of manufacture.

(ix) Expiration date of the Import Certificatein international date format (e.g., 24/12/98) or thedate the items must be imported, whichever isearlier.

(x) Name of the country of export (i.e., UnitedStates).

(xi) Additional information. Certaincountries may require the tariff classificationnumber, by class, under the Brussels Convention(Harmonized Tariff Code) or the specific technicaldescription of an item. For example, shotguns mayneed to be described in barrel length, overalllength, number of shots, manufacturer’s name andcountry of manufacture. The technical descriptionis not the Export Control Classification Number(ECCN).

(h) Where to obtain Import Certificates

See Supplement No. 6 to this part for a list of the



OAS member countries' authorities administeringthe Import Certificate System.

(i) Alterations

After an Import Certificate or official equivalentdocument is used to support the issuance of alicense, no corrections, additions, or alterationsmay be made on the Certificate by any person. Ifyou desire to explain any information containedon the Import Certificate or official equivalentdocument, you may attach a signed statement tothe Import Certificate or official equivalent.

(j) Request for return of Import Certificates

A U.S. exporter may be requested by a foreignimporter to return an unused Import Certificate.Refer to §748.9(j) of this part for procedures andrecordkeeping requirements for returning anImport Certificate retained by the applicant.

§748.15

AUTHORIZATION VALIDATEDEND-USER (VEU)

Authorization Validated End-User (VEU) permitsthe export, reexport, and transfer to validatedend-users of any eligible items that will be used ina specific eligible destination. Validatedend-users are those who have been approved inadvance pursuant to the requirements of thissection. To be eligible for authorization VEU,exporters, reexporters, and potential validatedend-users must adhere to the conditions andrestrictions set forth in paragraphs (a) through (f)of this section. If a request for VEU authorizationfor a particular end-user is not granted, no newlicense requirement is triggered. In addition, sucha result does not render the end-user ineligible forlicense approvals from BIS.

(a) Eligible end-users

The only end-users to whom eligible items may beexported, reexported, or transferred under VEU arethose validated end-users identified in SupplementNo. 7 to Part 748, according to the provisions inthis section and those set forth in Supplement Nos.8 and 9 to this part that have been granted VEUstatus by the End-User Review Committee (ERC)according to the process set forth in SupplementNo. 9 to this part.

(1) Requests for authorization must be submittedin the form of an advisory opinion request, asdescribed in §748.3(c)(2), and should include a listof items (items for purposes of authorization VEUinclude commodities, software and technology,except as excluded by paragraph (c) of thissection), identified by ECCN, that exporters orreexporters intend to export, reexport or transfer toan eligible end-user, once approved. To ensure athorough review, requests for VEU authorizationmust include the information described inSupplement No. 8 to this part. Requests forauthorization will be accepted from exporters,reexporters or end-users. Submit the request to:

The Office of Exporter Services Bureau of Industry and SecurityU.S. Department of Commerce14th Street and Pennsylvania Avenue, NW. Room 2705Washington, DC 20230

Mark the package “Request for AuthorizationValidated End-User.”

(2) In evaluating an end-user for eligibility underauthorization VEU, the ERC will consider a rangeof information, including such factors as: theentity's record of exclusive engagement in civilend-use activities; the entity's compliance withU.S. export controls; the need for an on-site reviewprior to approval; the entity's capability ofcomplying with the requirements of authorizationVEU; the entity's agreement to on-site reviews toensure adherence to the conditions of the VEU



authorization by representatives of the U. S.Government; and the entity's relationships withU.S. and foreign companies. In addition, whenevaluating the eligibility of an end-user, the ERCwill consider the status of export controls and thesupport and adherence to multilateral exportcontrol regimes of the government of the eligibledestination.

(3) The VEU authorization is subject to revision,suspension or revocation entirely or in part.

(4) Information submitted in a VEU request isdeemed to constitute continuing representationsof existing facts or circumstances. Any materialor substantive change relating to the authorizationmust be promptly reported to BIS, whether VEUauthorization has been granted or is still underconsideration.

(b) Eligible destinations

Authorization VEU may be used for the followingdestinations:

(1) The People's Republic of China.

(2) India.

(c) Item restrictions

Items controlled under the EAR for missiletechnology (MT) and crime control (CC) reasonsmay not be exported or reexported under thisauthorization.

(d) End-use restrictions

Items obtained under authorization VEU may beused only for civil end-uses and may not be usedfor any activities described in part 744 of theEAR. Exports, reexports, or transfers made underauthorization VEU may only be made to anend-user listed in Supplement No. 7 to this part ifthe items will be consigned to and for use by thevalidated end-user. Eligible end-users who obtain

items under VEU may only:

(1) Use such items at the end-user's own facilitylocated in an eligible destination or at a facilitylocated in an eligible destination over which theend-user demonstrates effective control; (2) Consume such items during use; or

(3) Transfer or reexport such items only asauthorized by BIS.

Note to paragraph (d): Authorizations setforth in Supplement No. 7 to this part arecountry-specific. Authorization as a validatedend-user for one country specified in paragraph (b)of this section does not constitute authorization asa validated end-user for any other countryspecified in that paragraph.

(e) Certification and recordkeeping

Prior to an initial export or reexport to a validatedend-user under authorization VEU, exporters orreexporters must obtain certifications from thevalidated end-user regarding end-use andcompliance with VEU requirements. Suchcertifications must include the contents set forth inSupplement No. 8 to this part. Certifications andall records relating to VEU must be retained byexporters or reexporters in accordance with therecordkeeping requirements set forth in part 762 ofthe EAR.

(f) Reporting and review requirements

(1) (i) Reports. Reexporters who make use ofauthorization VEU are required to submit annualreports to BIS. These reports must include, foreach validated end-user to whom the exporter orreexporter exported or reexported eligible items:

(A) The name and address of eachvalidated end-user to whom eligible items werereexported;



(B) The eligible destination to whichthe 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 eachyear, and must cover the period of January 1through December 31 of the prior year. Reportsmust be sent to:

Office of Exporter ServicesBureau of Industry and SecurityU.S. Department of Commerce

14th Street and Constitution Avenue, NWRoom 2705Washington, DC 20230

Mark the package “Authorization ValidatedEnd-User Reports”.

(2) Reviews. Records related to activities coveredby authorization VEU that are maintained byexporters, reexporters, and validated end-userswho make use of authorization VEU will bereviewed on a periodic basis. Upon request byBIS, exporters, reexporters, and validatedend-users must allow review of records, includingon-site reviews covering the information set forthin paragraphs (e) and (f)(1) of this section.

Applications (Classification, Advisory, and License) and Documentation Supplement No. 1 to Part 748–page 1


BIS-748P, BIS-748P-A: ITEM APPENDIX, AND BIS-748P-B: END-USER APPENDIX;MULTIPURPOSE APPLICATION INSTRUCTIONS

All information must be legibly typed within thelines for each Block or Box, except where asignature is required. Enter only one typed line oftext per Block or line. Where there is a choice ofentering telephone numbers or facsimile numbers,and you wish to provide a facsimile numberinstead of a telephone number, identify thefacsimile number with the letter “F” immediatelyafter the number (e.g., 022-358-0-123456F). Ifyou are completing this form to requestclassification of your item, you must completeBlocks 1 through 5, 14, 22(a), (b), (c), (d), and (i),24, and 25 only.

Block 1: Contact Person. Enter the name of theperson who can answer questionsconcerning the application.

Block 2: Telephone. Enter the telephone numberof the person who can answer questionsconcerning the application.

Block 3: Facsimile. Enter the facsimile number,if available, of the person who cananswer questions concerning theapplication.

Block 4: Date of Application. Enter the currentdate.

Block 5: Type of Application. Export. If theitems are located within the UnitedStates, and you wish to export thoseitems, mark the Box labeled “Export”with an (X). Reexport. If the items arelocated outside the United States, markthe Box labeled “Reexport” with an (X).Classification. If you are requesting BISto classify your item against theCommerce Control List (CCL), mark theBox labeled “Classification Request”with an (X). Encryption Registration. If

you are requesting encryptionregistration under License ExceptionENC (§740.17 of the EAR) or “massmarket” encryption provisions(§742.15(b) of the EAR), mark the Boxlabeled “Encryption Registration” withan (X). Special ComprehensiveLicense. If you are submitting aSpecial Comprehensive Licenseapplication in accordance with theprocedures described in part 752 of theEAR, mark the Box labeled “SpecialComprehensive License” with an (X).

Block 6: D o c u m e n t s s u b m i t t e d w i t hA p p l i c a t i o n . R e v i e w t h edocumentation you are required tosubmit with your application inaccordance with the provisions of part748 of the EAR, and mark allapplicable Boxes with an (X).

Mark the Box “Foreign Availability”with an (X) if you are submitting anassertion of foreign availability withyour license application. See part 768of the EAR for instructions on foreignavailability submissions.

If you are not making a foreignavailability assertion under part 768 ofthe EAR, you may still mark the box“Foreign Availability” with an (X), ifyou are submitting an assertion offoreign availability with your licenseapplication. Foreign availabilityassertions covered under part 768 arelimited to items controlled for nationalsecurity reasons. However, if anapplicant intends to include foreignavailability support material for itemsnot controlled for national securityreasons, applicants are permitted to do



this as part of the license application by markingthe box “Foreign Availability” with an (X) andincluding the foreign availability information,along with the support material for the licenseapplication. Applicants must clearly label thissupport material as “Foreign availabilityinformation - outside the scope of part 768". Although this information is outside the scope ofpart 768, applicants should still use SupplementNo. 1 to part 768 for general guidance regardingwhat types of information may be suitable fordemonstrating foreign availability. The purpose ofsubmitting this type of foreign availabilityinformation will be to make the U.S. Governmentmore aware of the foreign availability of items notcontrolled for national security reasons.

Mark the “Tech. Specs.” box with an (X)if you are submitting descriptiveliterature, brochures, technicalspecifications, etc. with your application.

Block 7: Documents on File with Applicant.Certify that you have retained on file allapplicable documents as required by theprovisions of part 748 by placing an (X)in the appropriate Box(es).

Block 8: Special Comprehensive License. Com-plete this Block only if you aresubmitting an application for a SpecialComprehensive License in accordancewith part 752 of the EAR.

Block 9: Special Purpose. Complete this Blockfor certain items or types of transactionsonly if specifically required inSupplement No. 2 to this part.

Block 10: R e s ub m i s s i o n Appl i c a t i o nControl Number. If your originalapplication was returned withoutaction (RWA), provide theApplication Control Number. Thisdoes not apply to applications

returned without being registered.

Block 11: Replacement License Number.If you have received a license foridentical items to the sameultimate consignee, but would liketo make a modification that is notexcepted in §750.7(c) of the EAR,to the license as originallyapproved, enter the original licensenumber and complete Blocks 12through 25, where applicable.Include a statement in Block 24regarding what changes you wishto make to the original license.

Block 12: Items Previously Exported. ThisBlock should be completed only ifyou have marked the “Reexport”box in Block 5. Enter the licensenumber, License Exceptionsymbol (for exports under GeneralLicenses, enter the appropriateGeneral License symbol), or otherauthorization under which theitems were originally exported, ifknown.

Block 13: Import/End-User Certificate.Enter the name of the country andnumber of the Import or End UserCertificate obtained in accordancewith provisions of this part.

Block 14: Applicant. Enter the applicant'sname, street address, city,state/country, and postal code.Provide a complete street address.P.O. Boxes are not acceptable.Refer to §748.5(a) of this part for adefinition of “applicant”. If youhave marked “Export” in Block 5,you must include your company'sEmployer Identification Numberunless you are filing as an



individual or as an agent on behalfof the exporter. The EmployeeIdentification Number is assignedby the Internal Revenue Service fortax identification purposes.Accordingly, you should consultyour company's financial officer oraccounting division to obtain thisnumber.

Block 15: Other Party Authorized toReceive License. If you would likeBIS to transmit the approvedlicense to another party designatedby you, complete all information inthis Block, including name, streetaddress, city, country, postal codeand telephone number. Leave thisspace blank if the license is to besent to the applicant. Designationof another party to receive thelicense does not alter theresponsibilities of the applicant.

Block 16: Purchaser. Enter the purchaser'scomplete name, street address, city,country, postal code, and telephoneor facsimile number. Refer to§748.5(c) of this part for adefinition of “purchaser”. If thepurchaser is also the ultimateconsignee, enter the complete nameand address. If your proposedtransaction does not involve aseparate purchaser, leave Block 16blank.

Block 17: Intermediate Consignee. Enter theintermediate consignee's completename, street address, city, country,postal code, and telephone orfacsimile number. Provide acomplete street address, P.O. Boxesare not acceptable. Refer to§748.5(d) of this part for adefinition of “intermediate

consignee”. If this party isidentical to that listed in Block 16,enter the complete name andaddress. If your proposedtransaction does not involve use ofan intermediate consignee, enter“None”. If your proposedtransaction involves more than oneintermediate consignee, providethe same information in Block 24for each additional intermediateconsignee.

Block 18: Ultimate Consignee. This Blockmust be completed if you aresubmitting a license application.Enter the ultimate consignee'scomplete name, street address,city, country, postal code, andtelephone or facsimile number.Provide a complete street address,P.O. Boxes are not acceptable.The ultimate consignee is the partywho will actually receive the itemfor the end-use designated inBlock 21. Refer to §748.5(e) ofthis part for a definition of“ultimate consignee”. A bank,freight forwarder, forwardingagent, or other intermediary maynot be identified as the ultimatec ons ign e e . Go ve r n me n tpurchasing organizations are thesole exception to this requirement.This type of entity may beidentified as the government entitythat is the actual ultimateconsignee in those instances whenthe items are to be transferred tothe government entity that is theactual end-user, provided theactual end-user and end-use isclearly identified in Block 21 or inthe additional documentationattached to the application.



If your application is for thereexport of items previouslyexported, enter the new ultimateconsignee's complete name, streetaddress, city, country, postal code,and telephone or facsimile number.Provide a complete street address,P.O. Boxes are not acceptable. Ifyour application involves atemporary export or reexport, theapplicant should be shown as theultimate consignee in care of aperson or entity who will havecontrol over the items abroad.

Block 19: End-User. Complete this Blockonly if the ultimate consigneeidentified in Block 18 is not theactual end-user. If there will bemore than one end-user, use FormBIS-748P-B to identify eachadditional end-user. Enter eachend-user's complete name, streetaddress, 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. Ifyour application involves thereexport of items previouslyexported, enter the original ultimateconsignee's complete name, streetaddress, city, country, postal code,and telephone or facsimile number.Provide a complete street address,P.O. Boxes are not acceptable. Theoriginal ultimate consignee is theentity identified in the originalapplication for export as theultimate consignee or the partycurrently in possession of the items.

Block 21: Specific End-Use. This Blockmust be completed if you aresubmitting a license application.

Provide a complete and detaileddescription of the end-use intendedby the ultimate consignee and/orend-user(s). If you are requestingapproval of a reexport, provide acomplete and detailed descriptionof the end-use intended by the newultimate consignee or end-user(s)and indicate any other countriesfor which resale or reexport isrequested. If additional space isnecessary, use Block 21 on FormBIS-748P-A o r B. Bespecific—such vague descriptionss u c h a s “ r e s e a r c h ” ,“manufacturing”, or “scientificuses” are not acceptable.

Block 22: For a license application you mustcomplete each of the sub-blockscontained in this Block. If you aresubmitting a classification request,you need not complete Blocks (e),(f), (g), and (h). If you wish toexport, reexport or have BISclassify more than one item, useForm BIS-748P-A for additionalitems.

(a) ECCN. Enter the Export ControlClassification Number (ECCN) thatcorresponds to the item you wish toexport or reexport. If you are askingBIS to classify your item, provide arecommended classification for the itemin this Block.

(b) CTP. You must enter the “AdjustedPeak Performance” (“APP”) in thisBlock if your application includes adigital computer or equipmentcontaining a computer as described inSupplement No. 2 to this part.Instructions on calculating the APP arecontained in a Technical Note at theend of Category 4 in the CCL.



(c) Model Number. Enter the correctmodel number for the item.

(d) CCATS Number. If you have receiveda classification for this item from BIS,provide the CCATS number shown onthe classification issued by BIS.

(e) Quantity. Identify the quantity to beexported or reexported, in terms of the“Unit” identified for the ECCN enteredin Block 22(a). If the “Unit” for an itemis “$ value”, enter the quantity in unitscommonly used in the trade.

(f) Units. The “Unit” paragraph withineach ECCN will list a specific “Unit” forthose items controlled by the entry. The“Unit” must be entered on all licenseapplications submitted to BIS. If an itemis licensed in terms of “$ value”, the unitof quantity commonly used in trade mustalso be shown on the license application.This Block may be left blank on licenseapplications only if the “Unit” for theECCN entered in Block 22(a) is shownas “N/A” on the CCL.

(g) Unit Price. Provide the fair marketvalue of the items you wish to export orreexport. Round all prices to the nearestwhole dollar amount. Give the exactunit price only if the value is less than$0.50. If normal trade practices make itimpractical to establish a firm contractprice, state in Block 24 the precise termsupon which the price is to be ascertainedand from which the contract price maybe objectively determined.

(h) Total Price. Provide the total price ofthe item(s) described in Block 22(j).

(i) Manufacturer. Provide the name onlyof the manufacturer, if known, for each

of the items you wish to export,reexport, or have BIS classify, ifdifferent from the applicant.

(j) Technical Description. Provide a de-scription of the item(s) you wish toexport, reexport, or have BIS classify.Provide details when necessary toidentify the specific item(s), include allcharacteristics or parameters shown inthe appl icable ECCN us ingmeasurements identified in the ECCN(e.g., basic ingredients, composition,electrical parameters, size, gauge,grade, horsepower, etc.). Thesecharacteristics must be identified forthe items in the proposed transactionwhen they are different than thecharacteristics described in promotionalbrochure(s).

Block 23: Total Application Dollar Value.Enter the total value of all itemscontained on the application inU.S. Dollars. The use of othercurrencies is not acceptable.

Block 24: Additional Information. Enteradditional data pertinent to theapplication as required in theE A R . In c l u d e s p e c i a lcertifications, names of parties ofinterest not disclosed elsewhere,explanat ion of documentsattached, etc. Do not includeinformation concerning Block 22in this space.

If your application represents apreviously denied application, you mustprovide the Application ControlNumber from the original application.

If you are requesting BIS to classifyyour product, use this space to explainwhy you believe the ECCN entered in



Block 22(a) is appropriate. Thisexplanation must contain ananalysis of the item in terms of thetechnical control parametersspecified in the appropriate ECCN.If you have not identified arecommended classification inBlock 22(a), you must state thereason you cannot determine thea ppropr ia te c las s i f i c a t i o n ,identifying anything in theregulations that you believeprecluded you from determining thecorrect classification.

If additional space is necessary, useBlock 24 on Form BIS-748P-A or B.

Block 25: You, as the applicant or dulyauthorized agent of the applicant,must manually sign in this Block.Rubber-stamped or electronicsignatures are not acceptable. Ifyou are an agent of the applicant,i naddition to providing your nameand title in this Block, you mustenter your company's name inBlock 24. Type both your nameand title in the space provided.



UNIQUE APPLICATION AND SUBMISSION REQUIREMENTS

In addition to the instructions contained inSupplement No. 1 to part 748, you must alsoensure that the additional requirements for certainitems or types of transactions described in thissupplement are addressed in your licenseapplication. All other blocks not specificallyidentified in this supplement must be completedin accordance with the instructions contained inSupplement No. 1 to part 748. The term “Block”used in this supplement relates to Form BIS-748P,unless otherwise noted.

(a) Chemicals, medicinals, andpharmaceuticals

If you are submitting a license application for theexport or reexport of chemicals, medicinals,and/or pharmaceuticals, the following informationmust be provided in Block 22.

(1) Facts relating to the grade, form,concentration, mixture(s), or ingredients as maybe necessary to identify the item accurately, and;

(2) The Chemical Abstract Service Registry(C.A.S.) numbers, if they exist, must beidentified.

(b) Communications intercepting devices

If you are required to submit a license applicationunder §742.13 of this part, you must enter thewords “Communications Intercepting Device(s)”in Block 9. The item you are requesting to exportor reexport must be specified by name in Block22(j).

(c) Computers, telecommunications,information security items, and related

equipment

If your license application includes itemscontrolled by both Category 4 and Category 5,

your license application must be submitted underCategory 5 of the Commerce Control List (§774.1of the EAR) - see Category 5 Part 1 Notes 1 and 2and Part 2 Note 1. License applications includingcomputers controlled by Category 4 must identifyan “Adjusted Peak Performance” (“APP”) inBlock 22(b). If the principal function istelecommunications, an APP is not required.Computers, related equipment, or softwareperforming telecommunication or local areanetwork functions will be evaluated against thetelecommunications performance characteristicsof Category 5 Part 1, while information securitycommodities, software and technology will beevaluated against the information securityperformance characteristics of Category 5 Part 2.

(1) Requirements for license applications thatinclude computers. If you are submitting alicense application to export or reexportcomputers or equipment containing computers todestinations in Country Group D:1 (SeeSupplement No. 1 to part 740 of the EAR), or toupgrade existing computer installations in thosecountries, you must also include technicalspecifications and product brochures tocorroborate the data supplied in your licenseapplication, in addition to the APP in Block22(b).

(2) Security Safeguard Plan requirement. The United States requires security safeguards forexports, reexports, and transfers (in-country) ofHigh Performance Computers (HPCs) to ensurethat they are used for peaceful purposes. If youare submitting a license application for an export,reexport, or in-country transfer of a highperformance computer to or within a destinationin Computer Tier 3 (see §740.7(c)(1) of the EAR)or to Cuba, Iran, North Korea, Sudan, or Syriayou must include with your license application asecurity safeguard plan signed by the end-user,who may also be the ultimate consignee. Thisrequirement also applies to exports, reexports,



and transfers (in-country) of components orelectronic assemblies to upgrade existing“computer” installations in those countries. Asample security safeguard plan is posted on BIS'swebpage at http://www.bis.doc.gov/hpcs/SecuritySafeguardPlans.html.

(d) Gift parcels; consolidated in a singleshipment

If you are submitting a license application toexport multiple gift parcels for delivery toindividuals residing in a foreign country, youmust include the following information in yourlicense application. NOTE: Each gift parcelmust meet the terms and conditions described forgift parcels in License Exception GFT (see§740.12(a) of the EAR).

(1) In Block 16, enter the word “None”;

(2) In Block 18, enter the word “Various” insteadof the name and address of a single ultimateconsignee;

(3) In Block 21, enter the phrase “For personaluse by recipients”;

(4) In Block 22(e), indicate a reasonable estimateof the number of parcels to be shipped during thevalidity of the license;

(5) In Block 22(j), enter the phrase “Gift Parcels”;and

(6) In Block 23, indicate a reasonable valueapproximation proportionate to the quantity ofgift parcels identified in Block 22(e).

(e) Intransit through the United States

If you are submitting a license application foritems moving intransit through the United Statesthat do not qualify for the intransit provisions ofLicense Exception TMP (see §740.9(b)(1) of theEAR), you must provide the following

information with your license application:

(1) In Block 9, enter the phrase “IntransitShipment”;

(2) In Block 24, enter the name and address ofthe foreign consignor who shipped the items tothe United States and state the origin of theshipment;

(3) Any available evidence showing the approvalor acquiescence of the exporting country (or thecountry of which the exporter is a resident) forshipments to the proposed ultimate destination.Such evidence may be in the form of a TransitAuthorization Certificate; and

(4) Any support documentation required by§748.9 of this part for the country of ultimatedestination.

(f) Intransit outside of the United States

If you are submitting a license application basedon General Prohibition Eight stated in§736.2(b)(8) of the EAR and identification of theintermediate consignee in the country of unladingor transit is unknown at the time the licenseapplication is submitted, the country of unladingor transit must be shown in Block 17.

(g) Nuclear Nonproliferation items and end-uses

(1) Statement requirement. If a license isrequired to export or reexport items described in§742.3 of the EAR, or any other item (exceptthose controlled for short supply reasons) wherethe item is intended for a nuclear end-use, prior tosubmitting a license application, you must obtaina signed written statement from the end-usercertifying the following:

(i) The items to be exported or replicasthereof (“replicas” refers to items producedabroad based

http://www.bxa.doc.gov/hpcs/SecuritySafeguardPlans.html

http://www.bxa.doc.gov/hpcs/SecuritySafeguardPlans.html



on physical examination of the item originallyexported, matching it in all critical design andperformance parameters), will not be used in anyof the activities described in §744.2(a) of theEAR; and

(ii) Written authorization will be obtainedfrom the BIS prior to reexporting the items,unless they are destined to Canada or would beeligible for export from the United States to thenew country of destination under NLR based onCountry Chart NP Column 1.

(2) License application requirements. Alongwith the required certification, you must includethe following information in your licenseapplication:

(i) In Block 7, place an (X) in the box titled“Nuclear Certification”;

(ii) In Block 9, enter the phrase “NUCLEARCONTROLS”;

(iii) In Block 21, provide, if known, thespecific geographic locations of any installations,establishments, or sites at which the items will beused;

(iv) In Block 22(j), if applicable, include adescription of any specific features of design orspecific modifications that make the item capableof nuclear explosive activities, or of safeguardedor unsafeguarded nuclear activities as describedin §744.2(a)(3) of the EAR; and

(v) In Block 24, if your license applicationis being submitted because you know that yourtransaction involves a nuclear end-use describedin §744.2 of the EAR, you must fully explain thebasis for your knowledge that the items areintended for the purpose(s) described §744.2 ofthe EAR. Indicate, if possible, the specificend-use(s) the items will have in designing,developing, fabricating, or testing nuclearweapons or nuclear explosive devices or in

designing, constructing, fabricating, or operatingthe facilities described in §744.2(a)(3) of theEAR.

(h) Numerical control devices, motion controlboards, numerically controlled machine tools,

dimensional inspection machines, directnumerical control systems, specially designed

assemblies and specially designed software

(1) If you are submitting a license application toexport, reexport, or request BIS to classifynumerical control devices, motion control boards,numerically controlled machine tools,dimensional inspection machines, and speciallydesigned software you must include the followinginformation in your license application:

(i) For numerical control devices and motioncontrol boards:

(A) Make and model number of thecontrol unit;

(B) Description and internalconfiguration of numerical control device. If thedevice is a computer with motion controlboard(s), then include the make and modelnumber of the computer;

(C) Description of the manner in whicha computer will be connected to the CNC unit foron-line processing of CAD data. Specify themake and model of the computer;

(D) Number of axes the control unit iscapable of simultaneously controlling in acoordinated contouring mode, and type ofinterpolation (linear, circular, and other);

(E) Minimum programmableincrement;

(F) A description and an itemized listof all software/firmware to be supplied with thecontrol device or motion control board, including



software/firmware for axis interpolation functionand for any programmable control unit or deviceto be supplied with the control unit;

(G) Description of capabilities relatedto “real time processing” and receiving computeraided-design.

(H) A description of capability toaccept additional boards or software that wouldpermit an upgrade of the electronic device ormotion control board above the control levelsspecified in ECCN 2B001; and

(I) Specify if the electronic device hasbeen downgraded, and if so can it be upgraded infuture.

(ii) For numerically controlled machinetools and dimensional inspection machines:

(A) Name and model number ofmachine tool or dimensional inspection machine;

(B) Type of equipment, e.g., horizontalboring machine, machining center, dimensionalinspection machine, turning center, water jet, etc.;

(C) Description of the linear and rotaryaxes capable of being simultaneously controlledin a coordinated contouring mode, regardless ofthe fact that the coordinated movement of themachine axis may be limited by the numericalcontrol unit supplied by the machine tool;

(D) Maximum workpiece diameter forcylindrical grinding machines;

(E) Motion (camming) of the spindleaxis measured in the axial direction in onerevolution of the spindle, and a description of themethod of measurement for turning machine toolsonly;

(F) Motion (run out) of the spindle axismeasured in the radial direction in one revolution

of the spindle, and a description of the method ofmeasurement;

(G) Overall positioning accuracy ineach axis, and a description of the method formeasurement; and

(H) Slide motion test results.

(i) Parts, components, and materialsincorporated abroad into foreign-made

products

BIS will consider license applications to export orreexport to multiple consignees or multiplecountries when an application is required forforeign produced direct product containing partsand components subject to the EAR in §732.4(b)of the EAR and to General Prohibition Two statedin §736.2(b)(2) of the EAR. Such requests willnot be approved for countries listed in CountryGroup E:2 (See Supplement No. 1 to part 740 ofthe EAR), and may be approved only in limitedcircumstances for countries listed in CountryGroup D:1.

(1) License applications for the export of partsand components. If you are submitting a licenseapplication for the export of parts, components, ormaterials to be incorporated abroad into productsthat will then be sent to designated thirdcountries, you must enter in Block 21, adescription of end-use including a generaldescription of the commodities to bemanufactured, their typical end-use, and thecountries where those commodities will bemarketed. The countries may be listed specificallyor may be identified by Country Groups,geographic areas, etc.

(2) License applications for the reexport ofincorporated parts and components. If you aresubmitting a license application for the reexportof parts, components, or materials incorporatedabroad into products that will be sent todesignated third countries you must include the



following information in your license application:

(i) In Block 9, enter the phrase “Parts andComponents”;

(ii) In Block 18, enter the name, streetaddress, city and country of the foreign party whowill be receiving the foreign-made product. If youare requesting approval for multiple countries orconsignees enter “Various” in Block 18, and listthe specific countries, Country Groups, orgeographic areas in Block 24;

(iii) In Block 20, enter the name, streetaddress, city, and country of the foreign partywho will be exporting the foreign-made productincorporating U.S. origin parts, components ormaterials;

(iv) In Block 21, describe the activity of theultimate consignee identified in Block 18 and theend-use of the foreign-made product. Indicate thefinal configuration if the product is intended to beincorporated in a larger system. If the end-use isunknown, state “unknown” and describe thegeneral activities of the end-user;

(v) In Block 22(e), specify the quantity foreach foreign-made product. If this information isunknown, enter “Unknown” in Block 22(e);

(vi) In Block 22(h), enter the digit “0" foreach foreign-made product;

(vii) In Block 22(j), describe theforeign-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, inU.S. dollars, of the foreign-made product (if morethan one foreign-made product is listed on thelicense application, specify the unit value for eachtype/model/part number). Also include adescription of the U.S. content (including theapplicable Export Control ClassificationNumber(s)) and its value in U.S. dollars. If more

than one foreign-made product is identified on thelicense application, describe the U.S. content andspecify the U.S. content value for eachforeign-made product. Also, provide sufficientsupporting information to explain the basis for thestated values. To the extent possible, explain howmuch of the value of the foreign-made productrepresents foreign origin parts, components, ormaterials, as opposed to labor, overhead, etc.When the U.S. content varies and cannot bespecified in advance, provide a range ofpercentage and value that would indicate theminimum and maximum U.S. content;

(viii) Include separately in Block 22(j) adescription of any U.S. origin spare parts to bereexported with the foreign-made product, if theyexceed the amount allowed by §740.10 of theEAR. Enter the quantity, if appropriate, in Block22(e). Enter the ECCN for the spare parts inBlock 22(a) and enter the value of the spare partsin Block 22(h);

(ix) In Block 23, enter the digit “0";

(x) If the foreign-made product is the directproduct of U.S. origin technology that wasexported or reexported subject to writtenassurance, 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 acountry listed ipn Country Group D:1 or E:1 (seeSupplement No. 1 to part 740 of the EAR)describe in Block 24 the type of technology andhow it will be used.

(j) Ship stores, plane stores, supplies, and equipment

(1) Vessels under construction. If you aresubmitting a license application for the export orreexport of items, including ship stores, supplies,and equipment, to a vessel under construction youmust include the following information in yourlicense application:



(i) In Block 18, enter the name, streetaddress, city, and country of the shipyard wherevessel is being constructed;

(ii) In Block 22(j), state the length of thevessel 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 thisinformation is unknown, enter “Unknown” in thisBlock):

(A) Hull number and name of vessel;

(B) Type of vessel;

(C) Name and business address ofprospective owner, and the prospective owner'snationality; and

(D) Country of registry or intendedcountry of registry.

(2) Aircraft under construction. If you aresubmitting a license application for the export orreexport of items, including plane stores,supplies, and equipment, to an aircraft underconstruction you must include the followinginformation in your license application:

(i) In Block 18, enter the name and addressof the plant where the aircraft is beingconstructed;

(ii) In Block 22(j), enter the followinginformation (if this information is unknown, enter“Unknown” in this Block):

(A) Type of aircraft and model number;

(B) Name and business address ofprospective owner and his nationality; and

(C) Country of registry or intendedcountry of registry.

(3) Operating vessels and aircraft. If you are

submitting a license application for the export orreexport of items, including ship or plane stores,supplies, and equipment to an operating vessel oraircraft, whether in operation or being repaired,you must include the following information inyour license application:

(i) In Block 18, enter the name of the owner,the name of the vessel, if applicable, and port orpoint where the items will be taken aboard;

(ii) In Block 18, enter the followingstatement if, at the time of filing the licenseapplication, it is uncertain where the vessel oraircraft will take on the items, but it is known thatthe items will not be shipped to a country listed inCountry Group D:1 or E:2 (see Supplement No. 1to part 740 of the EAR):

Uncertain; however, shipment(s) willnot be made to Country Groups D:1 orE:2.

(iii) Provide information as described inparagraph (j)(1)(ii) of this supplement for vesselsor information contained in paragraph (j)(2)(ii) ofthis supplement for aircraft.

(k) Regional stability controlled items

(1) If you are submitting a license application forthe export or reexport of items controlled forregional stability reasons and subject to licensingunder RS Column 1 on the Country Chart, yourlicense application must be accompanied by fulltechnical specifications.

(2) If you are submitting a license application forthe export or reexport to Austria, Cyprus, Finland,Ireland, Israel, Malta, Mexico, Singapore orSweden of items controlled by ECCNs 2A984,2D984 or 2E984 to a person designated by agovernment end-user, pursuant to contract, yourlicense application to export to such designatedperson must include a statement from thegovernment end-user to be eligible for the



licensing policy under §742.6(b)(2)(ii). Aresponsible official representing the designatedend-user must sign the statement. “Responsibleofficial” is defined as someone with personalknowledge of the information included in thestatement, and authority to bind the designatedend-user for whom they sign, and who has thepower and authority to control the use anddisposition of the licensed items. Statementsfrom government end-users that the person is sodesignated (i.e., support documents submitted inaccordance with this paragraph (k)(2)) mustaddress the following three criteria for a licenseapplication to be reviewed in accordance with thelicense review policy in §742.6(b)(2)(ii):

(i) U.S. Department of Homeland Security(DHS) Customer Contract Number or agreementreference number, End-user name (company),complete address (including street address, city,state, country and postal code), end-user point ofcontact (POC);

(ii) Brief contract description, includingDHS Project information and projected outcome;and

(iii) The statement shall include acertification stating “We certify that all of therepresentations in this statement are true andcorrect to the best of our knowledge and we donot know of any additional representations whichare inconsistent with the above statement.”

(l) Reexports

If you know that an item that requires a license tobe exported from the United States to a certainforeign destination will be reexported to a thirddestination also requiring approval, such a requestmust be included on the license application. Thelicense application must specify the country towhich the reexport will be made in Block 24. Ifthe export does not require a license but thereexport does, you may apply for a license for thereexport, or you may export without a license and

notify the consignee of the requirement to seek alicense to reexport.

(m) Robots

If you are submitting a license application for theexport or reexport of items controlled by ECCNs2B007 or 2D001 (including robots, robotcontrollers, end-effectors, or related software) thefollowing information must be provided in Block24:

(1) Specify if the robot is equipped with a visionsystem and its make, type, and model number;

(2) Specify if the robot is specially designed tocomply with national safety standards forexplosive munitions environments;

(3) Specify if the robot is specially designed foroutdoor applications and if it meets militaryspecifications for those applications;

(4) Specify if the robot is specially designed foroperating in an electro-magnetic pulse (EMP)environment;

(5) Specify if the robot is specially designed orrated as radiation-hardened beyond that necessaryto withstand normal industrial (i.e., non-nuclearindustry) ionizing radiation, and its rating in grays(Silicon);

(6) Describe the robot's capability of usingsensors, image processing or scene analysis togenerate or to modify robot program instructionsor data;

(7) Describe the manner in which the robot maybe used in nuclear industry/manufacturing; and

(8) Specify if the robot controllers, end-effectors,or software are specially designed for robotscontrolled by ECCN 2B007, and why.

(n) Short Supply controlled items



If you are submitting a license application for theexport of items controlled for short supplyreasons, you must consult part 754 of the EAR forinstructions on preparing your license application.

(o) Technology

(1) License application instructions. If you aresubmitting a license application for the export orreexport of technology you must check the boxlabeled “Letter of Explanation” in Block 6, enterthe word “Technology” in Block 9, leave Blocks22(e) and (i) blank, and include a generalstatement that specifies the technology (e.g.,blueprints, manuals, etc.) in Block 22(j).

(2) Letter of explanation. Each licenseapplication to export or reexport technology mustbe supported by a comprehensive letter ofexplanation. This letter must describe all thefacts for a complete disclosure of the transactionincluding, if applicable, the followinginformation:

(i) The identities of all parties to thetransaction;

(ii) The exact project location where thetechnology will be used;

(iii) The type of technology to be exported orreexported;

(iv) The form in which the export orreexport will be made;

(v) The uses for which the data will beemployed;

(vi) An explanation of the process, product,size, and output capacity of all items to beproduced with the technology, if applicable, orother description that delineates, defines, andlimits the data to be transmitted (the “technicalscope”); and

(vii) The availability abroad of comparableforeign technology.

(3) Special provisions.

(i) Technology controlled for nationalsecurity reasons. If you are submitting a licenseapplication to export technology controlled fornational security reasons to a country not listed inCountry Group D:1 or E:1 (see Supplement No. 1to part 740 of the EAR), upon request, you mustprovide BIS a copy of the written letter from theultimate consignee assuring that, unless priorauthorization is obtained from BIS, the consigneewill not knowingly reexport the technology to anydestination, or export the direct product of thetechnology, directly or indirectly, to a countrylisted in Country Group D:1 or E:1 (seeSupplement No. 2 to part 740 of the EAR). If youare unable to obtain this letter of assurance fromyour consignee, you must state in your licenseapplication why the assurances could not beobtained.

(ii) Maritime nuclear propulsion plants andrelated items. If you are submitting a licenseapplication to export or reexport technologyrelating to maritime nuclear propulsion plants andrelated items including maritime (civil) nuclearpropulsion plants, their land prototypes, andspecial facilities for their construction, support, ormaintenance, including any machinery, device,component, or equipment specifically developedor designed for use in such plants or facilities youmust include the following information in yourlicense application:

(A) A description of the foreign projectfor which the technology will be furnished;

(B) A description of the scope of theproposed services to be offered by the applicant,his consultant(s), and his subcontractor(s),including all the design data that will bedisclosed;



(C) The names, addresses and titles ofall personnel of the applicant, the applicant'sconsultant(s) and subcontractor(s) who willdiscuss or disclose the technology or be involvedin the design or development of the technology;

(D) The beginning and terminationdates of the period of time during which thetechnology will be discussed or disclosed and aproposed time schedule of the reports theapplicant will submit to BIS, detailing thetechnology discussed or disclosed during theperiod of the license;

(E) The following certification:

I (We) certify that if thislicense application is approved, I (we)and any consultants, subcontractors, orother persons employed or retained byus in connection with the projectlicensed will not discuss with ordisclose to others, directly or indirectly,any technology relating to U.S. navalnuclear propulsion plants. I (We)further certify that I (we) will furnish tothe Bureau of Industry and Security allreports and information it may requireconcerning specific transmittals ordisclosures of technology under anylicense granted as a result of thislicense application.

(F) A statement of the steps that youwill take to assure that personnel of the applicant,the applicant's consultant(s) and subcontractor(s)will not discuss or disclose to others technologyrelating to U.S. naval nuclear propulsion plants;and

(G) A written statement of assurancefrom the foreign importer as described inparagraph (o)(3)(i) of this Supplement.

(p) Temporary exports or reexports

If you are submitting a license application for thetemporary export or reexport of an item (noteligible for the temporary exports and reexportsprovisions of License Exception TMP (see§740.9(a) of the EAR)) you must include thefollowing certification in Block 24:

The items described on this licenseapplication are to be temporarily exported(or reexported) for (state the purpose e.g.,demonstration, testing, exhibition, etc.), usedsolely for the purpose authorized, andreturned to the United States (or originatingcountry) as soon as the temporary purposehas ended, but in no case later than one yearof the date of export (or reexport), unlessother disposition has been authorized inwriting by the Bureau of Industry andSecurity.

(q) Chemicals controlled for CW reasonsunder ECCN 1C350

In addition to any supporting documentationrequired by part 748, you must also obtain fromyour consignee an End-Use Certificate for theexport of chemicals controlled for CW reasons byECCN 1C350 to non-States Parties (destinationsnot listed in Supplement No. 2 to part 745 of theEAR). See §745.2 of the EAR. In addition to theEnd-Use Certificate, you may still be required toobtain a Statement by Ultimate Consignee andPurchaser (Form BIS-711P) as supportdocumentation. Consult §§748.9 and 748.11 ofthe EAR.

(r) Encryption registrations and classification requests

Failure to follow the instructions in this paragraphmay delay consideration of your encryptionclassification request or encryption registration.

(1) Encryption registration. Fill out blocks 1-4,14, 15, 24, and 25 pursuant to the instructions inSupplement No. 1 to this Part. Leave blocks 6, 7,



8, 9-13, and 16-23 blank. In Block 5 (Type ofApplication), 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 inSupplement No. 1 to this Part. Leave blocks 6, 7,8, 10-13, 18-21, and 23 blank. Follow thedirections specified for the blocks indicatedbelow.

(i) In Block 5 (Type of Application), placean "X" in the box marked "classification" or"commodity classification" if submittingelectronically for classification requests.

(ii) In Block 9 (Special Purpose).

(A) If submitting via SNAP-R, checkthe box "check here if you are submittinginformation about encryption required by 740.17or 742.15 of the EAR."

(B) From the drop down menu inSNAP-R, choose:

(1) “License Exception ENC” ifyou if you are submitting an encryptionclassification request for specified LicenseException ENC provisions (§§ 740.17(b)(2) or(b)(3) of the EAR);

(2) “Mass Market Encryption” ifyou are submitting an encryption classificationrequest for certain mass market encryption items(§ 742.15(b)(3) of the EAR).

(3) “Encryption - other” if you aresubmitting an encryption classification, foranother reason.

(iii) In Block 24 (Additional Information),insert your most recent Encryption RegistrationNumber (ERN).

(s) Foreign National Review Request

(1) BIS-748P “Multipurpose Application”form. If you are submitting a Foreign NationalReview (FNR) request for the deemed export oftechnology or source code, you must include thefollowing information on the BIS-748P“Multipurpose Application” form:

(i) In Block 1 through 3, insert name,telephone, and facsimile of the personthat is most knowledgeable about theforeign national;

(ii) In Block 4 (Date of Application), enterthe date;

(iii) In Block 5 (Type of Application), placean “X” in the box marked “Other”;

(iv) In Block 6 (Documents Submitted withApplication), place an “X” in “Other”to signify that you are submitting theForeign National Review SupportStatement(s) with the BIS-748P, andplace an “X” in “BIS-748P-B” if youare submitting this FNR for multipleforeign nationals;

(v) In Block 9 (Special Purpose), insert thephrase “Foreign National Review(FNR)”;

(vi) In Block 14 (Applicant), insert thename of the applicant;

(vii) In Block 18 (Ultimate Consignee),insert the name and address of theForeign National;

(viii) In Block 21 (Specific End-Use),insert any information which maybe of interest regarding the exportof 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 ofthe signer; and

(xi) All other Blocks on the application maybe left blank.

(2) Multiple Foreign Nationals. If you aresubmitting a Foreign National Review Requestfor more than one individual, you may add otherforeign nationals by completing and attachingform BIS-748P-B “End-User Appendix.”

(t) Foreign National Review Support Statement

To request review of your FNR, you must submitto BIS a FNR support statement as set forth belowon company letterhead, along with Form BIS-748P (Multipurpose Application), or its electronicequivalent. For FNRs that include multipleforeign nationals, an FNR support statement mustbe 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, andcountry;

(5) U.S. Address: street address, city, state, zip;

(6) Overseas Address: street address, city,province, country;

(7) Visa type (with expiration date and placeissued, 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 datesreceived) (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 positionrequirements and individual’s qualificationsrelated to the position; and

(14) Prior Employment Record, (includingoverseas 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 vesseltraveling on a temporary sojourn, state the valueof the aircraft or vessel as $0 in box 22(g) (unitprice) and 22(h) (total price). In box 23 (TotalApplication Dollar Value), insert the total valueof items other than the aircraft or vessel that areincluded in the same application. If theapplication is only for the aircraft or vessel ontemporary sojourn, insert $0.

(v) In-country transfers.

To request an in-country transfer, you mustspecify “in-country transfer” in Block 9 (SpecialPurpose) and mark “Reexport” in Block 5 (Typeof Application) of the BIS-748P “MultipurposeApplication” form. The application also mustspecify the same foreign country for both theoriginal ultimate consignee and the new ultimateconsignee.

Applications (Classification, Advisory, and License) and Documentation Supplement No. 3 to Part 748


BIS-711, STATEMENT BY ULTIMATE CONSIGNEE AND PURCHASER

INSTRUCTIONS

All information must be typed or legibly printedin each appropriate Block or Box.

Block 1: Ultimate Consignee. The UltimateConsignee must be the person abroadwho is actually to receive the materialfor the disposition stated in Block 2. Abank, freight forwarder, forwardingagent, or other intermediary is notacceptable as the Ultimate Consignee.

Block 2: Disposition or Use of Items byUltimate Consignee named in Block1. Place an (X) in “A.,” “B.,” “C.,”“D.,” and “E.,” as appropriate, and fillin the required information.

Block 3: Nature of Business of UltimateConsignee named in Block 1.Complete both “A” and “B”.

Possible choices for “A” include:broker, distributor, fabricator,manufacturer, wholesaler, retailer,value added reseller, original equipmentmanufacturer, etc.

Possible choices for “B” include:contractual, franchise, distributor,wholesaler, continuing and regularindividual business, etc.

Block 4: Additional Information. Provide any

other information not appearingelsewhere on the form such as otherparties to the transaction, and any othermaterial facts that may be of value inconsidering license applicationssupported by this statement.

Block 5: Assistance in Preparing Statement.Name all persons, other than employeesof the ultimate consignee or purchaser,who assisted in the preparation of thisform.

Block 6: Ultimate Consignee. Enter the re-quested information and sign the state-ment in ink. (For a definition ofultimate consignee, see §748.5(e) ofthis part.)

Block 7: Purchaser. This form must be signedin ink by the Purchaser, if the Purchaseris not the same as the UltimateConsignee identified in Block 1. (For adefinition of purchaser, see §748.5(c) ofthis part.)

Block 8: Certification for Exporter. ThisBlock must be completed to certify thatno correction, addition, or alteration onthis form was made subsequent to thesigning by the Ultimate Consignee inBlock 6 and Purchaser in Block 7.



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 IC/DV Nacional de Control de Exportaciones

Sensitivas y Material BelicoBalcarce 362 - ler. piso -

Capital Federal - CP 1064 Buenos Aires Tel. 334-0738, Fax 331-1618

Australia Director, Strategic Trade Policy IC/DVand Operations, Industry & Procurement Infrastructure Division, Department ofDefence, Campbell Park 4-1-53,

Canberra ACT 2600Phone: +61 (0)2 6266 3717, Fax: +61 (0)2 6266 2997

Austria Bundesministerium fur Handel Gewerbe IC/DV und Industrie Landstr. Haupstr. 55-57, Vienna 1031

Belgium Ministere Des Affaires Economiques, IC/DVAdministration Des Relations EconomiquesRue General Leman, 60 1040 BruxellesPhone: 02/206.58.16, Fax: 02/230.83.22

Bulgaria Ministry of Trade IC/DV 12 Al. Batenberg 1000 Sofia

China, Ministry of Commerce PRC People's Department of Mechanic, Electronic and End-UserRepublic of High Technology Industries Statement Export Control Division I

Chang An Jie No. 2Beijing 100731 China

Phone: (86)(10) 6519 7366 or 6519 7390Fax: (86)(10) 6519 7543http://cys.mofcom.gov.cn/ag/ag.html



Czech Republic Federal Ministry of Foreign Trade IC/DV Head of Licensing Politickych Veznu 20 112 49 Praha 1

Denmark Handelsministeriets IC/DV Licenskontor Kampmannsgade 1, DK 1604, Copenhagen V

IC's also issued by Danmarks Nationalbank DV Holmens Kanal 17, Copenhagen K Custom-houses

Finland Hensingin Piiritullikamari, IC/DV Kanavakatu 6 (or P.O. Box 168) 00161 Helsinki

France Ministere de l'Economie et des IC/DV Finances Direction 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 09

Germany Bundesamt fur gewerbliche IC/DV Wirtschaft Frankfurter Strasse 29-31 65760 Eschborn

Greece Banque de Greece, Direction des IC/DV Transactions Commerciales avec l'Etranger Athens

Hong Kong Trade Department, Ocean Centre, IC/DV Canton Road, Tsimshatsui, Kowloon,

Hungary Ministry of International Economic IC/DV Relations Export Control Office 1054 Budapest P.O. Box 728 H-1365, Hold Str. 17



India Deputy Director General of Foreign Indian IC Trade Udyog Bhawan,

Maulana Azad Road New Delhi 11011:

For small scale industries and entities, and those not elsewhere specified

Directorate General of Technical Indian ICDevelopment,

Udyog Bhawan, Maulana Azad Road, New Delhi 11011:

For the “organized” sector, except for computers and related equipment

Defense Research and Development Indian IC Organization

Room No. 224, “B” Wing Sena Bhawan, New Delhi 110011:

For Defense organizations

Department of Electronics, Indian IC Lok Nayak Bhawan, New Delhi 110003:

For computers and related electronic items Assistant Director, Indian IC Embassy of India, Commerce Wing, 2536 Massachusetts Ave. NW, Washington D.C. 20008:

For any of the above

Ireland, Department of Industry, Trade, IC/DVRepublic of Commerce and Tourism, Frederick House, South Frederick Street, Dublin 2

Italy Ministero del Commercio con IC/DV l'Estero Direzione Generale delle Importazioni e delle Esportazioni, Div. III, Rome or: Dogana Italiana (the town where the import takes place)



Japan Ministry of International Trade ICand Industry in:

Fukuoka, Hiroshima, Kanmon (Kitakyushu-shi), Kobe, Nagoya, Osaka, Sapporo, Sendai, Shikoku (Takamatsu-shi), Shimizu, Tokyo,

and Yokohama

Japanese Customs Offices DV

Korea, Trade Administration Division ICRepublic of Trade Bureau Ministry of Trade and Industry

Jungang-Dong, Kyonggi-Do, Building 3 Kwachon

Republic of Korea Customs House DV

Liechtenstein Swiss Federal Office for Foreign IC/DV Economic Affairs, Import and Export Division Zieglerstrasse 30, CH-3003 Bern

Luxembourg Office des Licences IC/DV Avenue de la Liberte, 10

Netherlands Centrale Dienst voor In-en Uitvoer IC/DV Engelse Kamp 2, Groningen

New Zealand Comptroller for Customs IC/DV P.O. Box 2218, Wellington

Norway Handelsdepartmentet IC/DV Direktoratet for Eksport-og-Importregulering Fr. Nansens plass 5, Oslo

Pakistan Chief Controller of Imports IC and Exports

5, Civic Center Islamabad

Joint Science Advisor, DV Ministry of Science and Technology, Secretariat Block 'S', Islamabad



Poland Ministry of Foreign Economic IC/DV Relations Department of Commodities and Services Plac Trzech Krzyzy 5, Room 358 00-507 Warsaw

Portugal Reparticao do Comercio Externo IC/DV Direccao-Geral do Comercio Secretaria de Estado do Comercio Ministerio da Economia, Lisbon

Romania National Agency for Control of IC/DV Strategic Exports and Prohibition

of Chemical Weapons, 13, Calea 13 Septembrie Casa (or P.O. Box 5-10)

Republicii, Gate A1, Bucharest, Sector 5, Phone: 401-311-2083, Fax: 401-311-1265 Singapore Controller of Imports and Exports, IC/DV

Trade Development Board World Trade Centre, 1 Maritime Square, Telok Blangah Road

Slovakia Ministry of Foreign Affairs IC Licensing-Registration Department

Spitalska 8, 813 15 Bratislava

Spain Secretary of State for Commerce IC/DV Paseo la Cistellana 162, Madrid 28046

Sweden The Association of Swedish Chambers IC/DV of Commerce & Industry P.O. Box 16050, S-103 22 Stockholm Office: Vastra Tradgardsgatan 9

Switzerland Swiss Federal Office for Foreign IC/DV Economic Affairs,

Import and Export Division, Zieglerstrasse

30 CH-3003 Bern



Taiwan Board of Foreign Trade Ministry of IC/DVEconomic Affairs

1 Hu-Kou Street, Taipei

Science-based Industrial Park Administration No. 2 Hsin Ann Road, Hsinchu

Export Processing Zone Administration 600 Chiachang Road Nantz, Kaohsiung

Turkey Ministry of Commerce, IC Department of Foreign Commerce, Ankara

Head Customs Office at the point DVof entry

United Kingdom Department of Trade and Industry IC Export Licensing Branch Millbank Tower Millbank London, SW1P 4QU

H.M. Customs and Excise, DV King's Beam House, Mark Lane London, E.C. 3



U.S. IMPORT CERTIFICATE AND DELIVERY VERIFICATION PROCEDURE

The United States participates in an ImportCertificate/Delivery Verification procedure.Under this procedure, U.S. importers aresometimes required to provide their foreignsuppliers with an U.S. International ImportCertificate that is validated by the U.S.Government. This certificate tells thegovernment of the exporter's country that theitems covered by the certificate will be importedinto the U.S. Economy and will not be reexportedexcept as authorized by U.S. export controlregulations. In addition, in some cases, theexporter's government may require a deliveryverification. Under this procedure, the U.S.Customs Service validates a certificateconfirming that the items have entered the U.S.economy. The U.S. importer must return thiscertificate to the foreign exporter.

This supplement establishes the procedures andrequirements of BIS with respect to both of theseprograms. Paragraph (a) of this Supplementcontains the requirements and procedures of theU.S. International Import Certificate procedure.Paragraph (b) of this Supplement contains therequirements and procedures of the DeliveryVerification procedure.

(a) U.S. International Import Certificates

If you are a U.S. importer, a foreign supplier mayrequest you to obtain a U.S. import certificate.The reason for this request is that the exporter'sgovernment requires a U.S. import certificate as acondition to issuing an export license. To obtainsuch a certificate you will have to fill in andexecute the U.S. International Import Certificateform (Form BIS-645P/ATF-4522/DSP-53) andsubmit it to the U.S. government agency that hasjurisdiction over the items you are importing. Indoing so, you will be making a representation tothe United States Government that you willimport the items described in the certificate intothe United States or if not so imported, you will

not divert, transship or reexport them to anotherdestination with the explicit approval of the U.S.government agency that has jurisdiction overthose items. (Representations that items will beentered into the U.S. do not preclude thetemporary unloading of items in a foreign tradezone for subsequent entry into the economy of theU.S.) If the items described in the certificate aresubject to U.S. Department of Commercejurisdiction, the Department will validate thecertificate and return it to you. You may thensend the certificate to your foreign supplier. Inthis way the government of the exporting countryis assured that the items will become subject tothe export control laws of the United States. (1) Items for which the U.S. Department ofCommerce issues U.S. International ImportCertificates and forms to use. The Departmentof Commerce issues U.S. International ImportCertificates for the following types of items.

(i) Items controlled for National Securityreasons. Items under the export licensingjurisdiction of BIS that are identified ascontrolled for national security reasons on theCommerce Control List (Supplement No. 1 to part774 of the EAR). You will need submit intriplicate a completed Form BIS-645P/ATF-4522/DSP-53;

(ii) Nuclear equipment and materials. Itemssubject to the export licensing jurisdiction of theNuclear Regulatory Commission for nuclearequipment and materials. (see 10 CFR part 110).You will need to submit in quadruplicate acompleted 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 notappear on the more limited U.S. Munitions ImportList (27 CFR 47.21). You will need to submit in



triplicate a completed Form BIS-645P. Fortriangular transactions (See paragraph (a)(5) ofthis Supplement) involving items on the U.S.Munitions List, you must contact the Departmentof State, Office of Defense Trade Controls anduse Form BIS-645P/ATF-4522/DSP-53. Youshould contact the Treasury Department, Bureauof Alcohol, Tobacco and Firearms for itemsappearing on the U.S. Munitions Import List.You will need to use Form ATF-4522.

(2) Where to submit forms. U.S. InternationalImport Certificates and requests to amendcertificates may be presented for validation eitherin person or by mail at the following locations.

(i) By courier to the Bureau of Industry andSecurity, Room 2705, 14th Street andPennsylvania Ave., NW., Washington, DC 20230,Attn: Import Certificate Request; or

(ii) In person or by mail at one of the followingDepartment of Commerce U.S. and ForeignCommercial Service District Offices:

Boston, MA Buffalo, NY Chicago, IL Cincinnati, OH Cleveland, OH Dallas, TX Detroit, MI Houston, TX Kansas City, MO Los Angeles, CA Miami, FL New Orleans, LO New York, NY Philadelphia,PA Phoenix, AZ Pittsburgh,PA Portland, OR St. Louis, MO San Francisco, CA Savannah, GA Seattle, WA

Trenton, NJ

(3) U.S. International Import Certificatevalidity periods. The U.S. International ImportCertificate must be submitted to the foreigngovernment within six months from the date ofcertification by the U.S. Department ofCommerce. The expiration of this six-monthperiod in no way affects the responsibility of theimporter to fulfill the commitments made inobtaining the certificate. If the certificate is notpresented to the government of the exportingcountry before the expiration of its validityperiod, the exporter must apply for a newcertificate. The original unused U.S.International Import Certificate must be returnedto BIS at the address specified in paragraph(a)(2)(i) of this supplement.

(4) Statements on the certificate oramendments are representations to the U.S.Government which continue in effect.

(i) All statements and representations made ina U.S. International Import Certificate or anamendment thereto, will be deemed to becontinuing in nature until the transactiondescribed in the certificate is completed and theitems are delivered into the economy of theimporting country.

(ii) Any change of fact or intention in regard tothe transaction described in the certificate shall bepromptly disclosed to BIS by the U.S. importer bypresentation of an amended certificate. Theamended certificate must describe all of thechanges and be accompanied by the originalcertificate bearing the certification of BIS. If theoriginal certificate has been transferred to theforeign exporter, you must, where possible,attempt to obtain the original certificate prior toapplying for an amendment. If the originalcertificate is unobtainable because the foreignexporter has submitted it to the appropriateforeign government, or for any other reason, theyou must submit a written statement with your



amendment giving the reasons for your failure tosubmit the original certificate.

(5) Certificates for Triangular transaction(items will not enter the U.S. or applicant isnot sure that they will enter the United States).

(i) In accordance with international practice,BIS will, upon request, stamp the certificate witha triangular symbol as notification to thegovernment of the exporting country that the U.S.importer is uncertain whether the items will beimported into the U. S. or knows that the itemswill not be imported into the U.S., but that, in anycase, the items will not be delivered to any otherdestination except in accordance with the EAR.

(ii) The triangular symbol on a certificate U.S.International Import Certificate is not, in and ofitself, an approval by BIS to transfer or sell itemsto a foreign consignee. Note that a triangularCertificate will not be issued covering foreignexcess property sold abroad by the U.S.Department of Defense.

(6) Approval to export items to a foreignconsignee prior to delivery under a U.S.International Import Certificate. The writtenapproval of BIS is required before items coveredby a U.S. International Import Certificate(whether or not bearing a triangular symbol) maybe shipped to a destination other than the U.S. orCanada or sold to a foreign purchaser, and beforetitle to or possession of such items may betransferred to a foreign transferee. Thisrequirement does not apply after the items havebeen delivered in accordance with theundertaking set forth in the Certificate or if at thetime of such shipment, sale, passage of possessionor passage of title, a License Exception or a NLRprovision of the EAR would authorize thetransaction.

(i) If prior approval is required, a letterrequesting authorization to release the shipmentshall be submitted to BIS at the address listed in

paragraph (a)(2)(i) of this supplement.

(ii) The letter must contain the certificatenumber; date issued; location of the issuingoffice; names, addresses, and identities of allparties to the complete transaction; and thequantity, dollar value, and description of theitems. The letter must be accompanied by theU.S. International Import Certificate, and all otherdocumentation required by the EAR for the itemand country of ultimate destination, as identifiedin part 748 of the EAR. If requirements stated inpart 748 of the EAR do not apply to yourtransaction, you must identify the intendedend-use of the items in your letter.

(iii) Where the letter request is approved and issupported by a foreign import certificate, nofurther approval from BIS is required for thepurchaser or transferee to resell or again transferthe items. However, where BIS approves arequest that was not supported by a foreignimport certificate, the person to whom approval isgranted is required to inform the purchaser ortransferee, in writing, that the items are to beshipped to the approved destination only and thatno other disposition of the items is permittedwithout the approval of BIS.

(iv) If the transaction is approved, a validatedletter of approval will be sent to the U.S.purchaser for retention in his records. Where aDV or other official government confirmation ofdelivery is required, the letter will so indicate.

(v) If the items covered by a certificate havebeen imported into a destination other than theU.S. and the foreign exporter of the itemsrequests a Delivery Verification, the person whoobtained the certificate must obtain a DV fromthe person to whom the items were delivered inthe actual importing country. (If a DV isunobtainable, other official governmentconfirmation of delivery must be obtained.) TheDV or other official government confirmation ofdelivery must be submitted to BIS together with



an explanatory letter giving the U.S. InternationalImport Certificate number, date issued, andlocation of issuing office. BIS will then issueForm ITA-6008, Delivery Compliance Notice, intwo copies, the original of which must beforwarded to the country of origin in order toserve as evidence to the exporting country that therequirements of the U.S. Government have beensatisfied with respect to delivery of the items.

(vi) Delivery, sale, or transfer of items toanother U.S. purchaser.

(A) Items covered by a U.S. InternationalImport Certificate may not be sold, and title to orpossession of such items may not be transferred,to another U.S. purchaser or transferee before theitems are delivered to the U.S. (or to an approvedforeign destination, as provided by paragraph(a)(5) of this Supplement), except in accordancewith the provisions described in paragraph (a)(6)of this Supplement. The provisions of thisparagraph do not apply after the items have beendelivered in accordance with the undertaking setforth in the certificate.

(B) Resale or transfer to another U.S.purchaser or transferee requires the prior approvalof BIS only in cases where the buyer or transfereeis listed in Supplement No. 1 to part 766 of theEAR. However, you, as the person who obtainedthe certificate are required to notify BIS of anychange in facts or intentions relating to thetransaction, and in all cases you will be heldresponsible for the delivery of the items inaccordance with the EAR. You are required in allcases to secure, prior to sale or transfer, and toretain in your files in accordance with therecordkeeping provisions contained in part 762 ofthe EAR, written acceptance by the purchaser ortransferee of:

(1) All obligations undertaken by, andimposed under the EAR, upon the holder of thecertificate; and

(2) An undertaking that all subsequent salesor transfers will be made subject to the sameconditions.

(iii) The responsibility of the certificate holderfor obtaining a DV also applies to those caseswhere the items are resold to a U.S. purchaser(See paragraph (b)(1) of this Supplement.)

(vii) Reexport or transshipment of items afterdelivery to U.S. Items imported into the U.S.under the provisions of a U.S. InternationalImport Certificate may not be reexported to anydestination under the intransit provisions ofLicense Exception TMP (see §740.9(b)(1) of theEAR). However, all other provisions of the EARapplicable to items of domestic origin shall applyto the reexport of items of foreign origin shippedto the U.S. under a U.S. International ImportCertificate.

(viii) Lost or destroyed U.S. InternationalImport Certificates. If a U.S. International ImportCertificate is lost or destroyed, a duplicate copymay be obtained by the person in the U.S. whoexecuted the original U.S. International ImportCertificate by submitting to any of the officeslisted in paragraph (a)(2)(i) of this supplementnew Form BIS-645P/ATF-4522/DSP-53 in thesame way as an original request, except that theforms shall be accompanied by a letter detailingthe circumstances under which the originalcertificate was lost or destroyed and certifying:

(A) That the original U.S. InternationalImport Certificate No. __________, dated__________, issued to (name and address of U.S.importer) for import from (foreign exporter'sname and address) has been lost or destroyed; and

(B) That if the original U.S. International Import Certificate is found, the applicant agreesto return the original or duplicate of the certificateto the Bureau of Industry and Security.

(ix) Unused U.S. International Import



Certificates. If the transaction will not becompleted and the U.S. International ImportCertificate will not be used, return the certificatefor cancellation to BIS at the address listed inparagraph (a)(2)(i) of this supplement.

(b) Delivery Verification Certificate

U.S. importers may be requested by their foreignsuppliers to furnish them with a certified FormBIS-647P, Delivery Verification Certificate,covering items imported into the U.S. Theserequests are made by foreign governments toassure that strategic items shipped to the U.S. arenot diverted from their intended destination. Inthese instances, the issuance of an export licenseby the foreign country is conditioned upon thesubsequent receipt of a Delivery VerificationCertificate from the U.S. importer. Accordingly,your compliance with your foreign exporter'srequest for a Delivery Verification is necessary toensure your foreign exporter fulfills itsgovernment obligations and is able to participatein future transactions with you. Failure to complymay subject your exporter to penalties that mayprevent future trade.

(1) The responsibility of a person or firmexecuting a U.S. International Import Certificatefor providing the foreign exporter withconfirmation of delivery of the items includesinstances where the items are resold or transferredto another U.S. person or firm prior to actualdelivery to the U.S. or to an approved foreigndestination. The person who executed the U.S.International Import Certificate shall secure inwriting from the U.S. purchaser or transferee, andretain in your files in accordance with therecordkeeping provisions stated in part 762 of theEAR:

(i) Acceptance of the obligation to provide thepurchaser or transferee with either the DeliveryVerification (or other official governmentconfirmation of delivery if a DeliveryVerification 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 sameobligation or assurance. In each case the seller ortransferor must transmit to the U.S. purchaser ortransferee the U.S. International ImportCertificate number covering the export from theforeign country and request that they pass it on toany other U.S. purchasers or transferees.

(2) Completion and certification of DeliveryVerification Certificates. If you are requestedby your foreign exporter to provide a DeliveryVerification, you must obtain Form BIS-647Pfrom a U.S. customs office or one of the officeslisted in paragraph (a)(2) of this supplement andcomplete all blocks (except those below the linetitled “To be completed by U.S. CustomsService”) on the form. The language used in theblock titled “Description of Goods” mustdescribe the items in the same terms as thoseshown on the applicable U.S. International ImportCertificate. Upon completion Form BIS-647Pmust be presented, in duplicate, to a U.S. customsoffice. The U.S. customs office will certify FormBIS-647P only where the import is made under awarehouse or consumption entry.

(3) Disposition of certified DeliveryVerification Certificates. The importer mustsend the original certified Delivery VerificationCertificate to the foreign exporter or otherwisedispose of it in accordance with the instructionsof the exporting country. The duplicate copy willbe retained by the U.S. customs office.

(4)(i) Issuance of a U.S. Delivery ComplianceNotice in lieu of a Delivery VerificationCertificate. If you are requested to provide aDelivery Verification Certificate but do not wishto disclose the name of your customer to theforeign exporter (e.g., in the event that the itemsare resold or transferred to another person or firmbefore the items enter the U.S.), you may submitan originally completed Form BIS-647P together



with an explanatory letter requesting a DeliveryCompliance Notice, to BIS at the address listed in(a)(2)(i) of this supplement.

(ii) BIS will provide you with a noticesignifying that the items were imported into theU.S. and that a satisfactory DV has beensubmitted to BIS. You must then forward theoriginal notice to your foreign exporter forsubmission to the foreign government. A copy ofthe notice should be retained in your files inaccordance with the recordkeeping provisionsstated in part 762 of the EAR.

(5)(i) Lost or destroyed Delivery VerificationCertificate. When a Delivery VerificationCertificate is lost or destroyed, the U.S. importermust submit a letter to BIS at the address listed inparagraph (a)(2)(i) of this supplement certifyingthat:

(A) The original Delivery VerificationCertificate has been lost or destroyed;

(B) The circumstances under which it waslost or destroyed;

(C) The type of customs entry (warehouse orconsumption), 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 theexporting government that a Delivery VerificationCertificate been issued.

(c) Penalties and sanctions for violations

The enforcement provisions of part 764 andSupplement No. 2 to part 736 of the EAR apply totransactions involving imports into the U.S.covered by this supplement and to both foreignand U.S. parties involved in a violation of thissupplement. Any provisions of part 764 andSupplement No. 2 to part 736 of the EAR which,by their terms, relate to “exports” or “exportsfrom the U.S.” are also deemed to apply andextend to imports into the U.S., applications forU.S. International Import Certificates (FormsBIS-645P presented to U.S. Department ofCommerce for certification), U.S. InternationalImport Certificates, and Delivery VerificationCertificates, described in this supplement.(Applications the documents described in thissupplement, are included within the definition of export control documents provided in part 772 ofthe EAR.) Refer to §764.3 of the EAR for moreinformation.

Applications (Classification, Advisory, and License) and Documentation Supplement No. 6 to Part 748 page 1


AUTHORITIES ISSUING IMPORT CERTIFICATES UNDER THE FIREARMS CONVENTION

[RESERVED]

[Status of Convention as of April 13, 1999 had not entered into force]



AUTHORIZATION VALIDATED END-USER (VEU): LIST OF VALIDATED END-USERS,RESPECTIVE ITEMS ELIGIBLE FOR EXPORT, REEXPORT AND TRANSFER, AND

ELIGIBLE DESTINATIONS

Country ValidatedEnd-User

Eligible Items (By ECCN) Eligible Destination

China(People’sRepublic of)

AdvancedMicro DevicesChina, Inc.

3D002, 3D003, 3E001 (as itapplies to "technology" foritems classified under 3B001,3B002, 3C002 and 3C004),3E002, 3E003.e (limited to the"development" and"production" of integratedcircuits for commercialapplications), 4D001, 4D002,4D003 and 4E001 (applicable tothe "development" of productsunder ECCN 4A003).

AMD Technologies (China)Co., LtdNo. 88, Su Tong Road, Suzhou, China 215021

Advanced Micro Devices(Shanghai) Co., Ltd.Riverfront Harbor, Building 48,Zhangjiang Hi-Tech Park1387 Zhangdong Rd.,Pudong, Shanghai, 201203

AMD Technology Development(Beijing) Co., Ltd.18F, North BuildingRaycom Infotech Park Tower C,No. 2 Science Institute SouthRd.,Zhong Guan Cun, HaidianDistrict,Beijing, China 100190

A p p l i e dM a t e r i a l s(China), Inc.

2B006.b, 2B230, 2B350.g.3,2B350.i, 3B001.b, 3B001.c,3B001.d, 3B001.e, 3B001.f,3C001, 3C002, 3D002 (limitedto "software" specially designedfor the "use" of stored programcontrolled items classifiedunder ECCN 3B001).

Applied Materials South EastAsia Pte. Ltd. - Shanghai Depotc/o Shanghai Applied MaterialsTechnical Service CenterNo. 2667 Zuchongzhi Road,Shanghai, China 201203

Applied Materials South EastAsia Pte. Ltd. - Beijing Depotc/o Beijing Applied MaterialsTechnical Service CenterNo. 1 North Di Sheng Street,BDABeijing, China 100176





2B006.b, 2B230, 2B350.g.3,2B350.i, 3B001.b, 3B001.c,3B001.d, 3B001.e, 3B001.f,3C001, 3C002, 3D002 (limitedto "software" specially designedfor the "use" of stored programcontrolled items classifiedunder ECCN 3B001), and3E001 (limited to "technology"according to the GeneralTechnology Note for the"development" or "production"of items controlled by ECCN3B001).

Applied Materials South EastAsia Pte. Ltd. - Wuxi Depotc/o Sinotrans Jiangsu FuchangLogistics Co., Ltd.1 Xi Qin Road, Wuxi ExportProcessing ZoneWuxi, Jiangsu, China 214028

Applied Materials South EastAsia Pte. Ltd. - Wuhan Depotc/o Wuhan Optics ValleyImport & Export Co., Ltd.No. 101 Guanggu Road East Lake High-TecDevelopment ZoneWuhan, Hubei, China 430074

Applied Materials (China), Inc.- Shanghai DepotNo. 2667, Zuchongzhi RoadShanghai, China 201203

Applied Materials (China), Inc.- Beijing DepotNo. 1 North Di Sheng Street,BDABeijing, China 100176

Applied Materials (Xi'an) Ltd.No. 28 Xin Xi Ave., Xi'an HighTech ParkExport Processing Zone Xi'an, Shaanxi, China 710075





BoeingTianjinCompositesCo. Ltd.

1A002.a; 1B001.f; 1C010.b;1C010.e; 1D001 (limited to“software” specially designedor modified for the“development”, “production” or“use” of equipment controlledby 1B001.f); 1E001 (limited to“technology” according to theGeneral Technology Note forthe “development” or“production” of itemscontrolled by 1A002.a, 1B001.f,1C010.b & .e, and 2B001.a);2B001.b.2 (limited to machinetools with accuracies no betterthan (i.e., less than) 13microns); 2B001.e; 2D001(limited to “software,” otherthan that controlled by 2D002,specially designed or modifiedfor the “development”,“production” or “use” ofequipment controlled by2B001.b.2 and 2B001.e);2D002 (limited to “software”for electronic devices, evenwhen residing in an electronicdevice or system, enabling suchdevices or systems to functionas a “numerical control” unit,capable of coordinatingsimultaneously more than 4axes for “contouring control”controlled by 2B001.b.2 and2B001.e).

Boeing Tianjin Composites Co.Ltd. No. 4-388 Heibei RoadTanggu Tianjin, China.





Grace

Semiconductor

Manufacturing

Corporation.

1C350.c.3, 1C350.d.7, 2B230,2B350.d.2, 2B350.g.3,2B350.i.4, 3B001.a.1, 3B001.b,3B001.c, 3B001.d, 3B001.e,3B001.f, 3B001.h, 3C002,3C004, 5B002, and 5E002(limited to productiontechnology for integratedcircuits controlled by ECCNs5A002 or 5A992 that have beensuccessfully reviewed under theencryption review processspecified in sections740.17(b)(2) or 740.17(b)(3)and 742.15 of the EAR; Notealso the guidance oncryptographic interfaces (OCI)in section 740.17(b) of theEAR).

1399 Zuchongzhi RoadZhangjiang Hi-Tech ParkShanghai, PR China 201203.





National

Semiconductor

Corporation

3A001.a.5.a.1; 3A001.a.5.a.2;3A001.a.5.a.3; 3A001.a.5.a.4;3A001.a.5.a.5; 3A001.a.5.b.

National Semiconductor HongKong LimitedBeijing Representative OfficeRoom 604, CN ResourcesBuildingNo. 8 Jianggumenbei ABeijing, China 100005

National Semiconductor HongKong LimitedShanghai Representative OfficeRoom 903-905 Central PlazaNo. 227 Huangpi Road NorthShanghai, China 200003

National Semiconductor HongKong LimitedShenzhen Representative OfficeRoom 1709 Di WangCommercial CentreShung Hing Square5002 Shenna Road EastShenzhen, China 518008





Semiconductor

Manufacturing

International

Corporation

1C350.c.3; 1C350.d.7;2B006.b.1; 2B230; 2B350.d.2; 2B350.g.3; 2B350.i.4; 3B001.a; 3B001.b;3B001.c; 3B001.d; 3B001.e;3B001.f; 3C001; 3C002;3C004; 5B002; 5E002 (limited to“technology” according to theGeneral Technology Note forthe “production” of integratedcircuits controlled by ECCN5A002 that has beensuccessfully reviewed under theencryption review processspecified in §§ 740.17.b.2 or740.17.b.3 and 742.15 of theEAR).

Semiconductor ManufacturingInternational (Shanghai)Corporation18 Zhang Jiang Rd., PudongNew AreaShanghai, China 201203

Semiconductor ManufacturingInternational (Tianjin)Corporation19 Xing Hua AvenueXi Qing EconomicDevelopment AreaTianjin, China 300385

Semiconductor ManufacturingInternational (Beijing)CorporationNo. 18 Wen Chang RoadBeijingEconomic-TechnologicalDevelopment AreaBeijing, China 100176

Semiconductor ManufacturingInternational (Chengdu)CorporationAssembly and Testing (AT2)Facility8-8 Kexin Road, ExportProcessing Zone (West Area)Chengdu, China 611731

Cension SemiconductorManufacturing Corporation3/F, 8-1 Kexin Road, ExportProcessing Zone (West Area)Chengdu, China 611731





Shanghai HuaHong NECElectronicsCompany,Ltd.

1C350.c.3; 1C350.d.7; 2B230;2B350.d.2 2B350.g.3 2B350.i.4; 3B001.c.2; 3C002; 3C004.

Headquarters and Fab. 1 ofHHNECNo. 1188 Chuan Qiao Rd.Pu Dong, Shanghai, China201206

Fab. 2 of HHNECNo. 668 Guo Shou Jing Rd.Zhang Jiang High Tech ParkPu Dong, Shanghai, China201203

India GE India

For GEITC:1C002.a.1, 1C002.a.2,1C002b.1.a and 1C002.b.1.b1E001, 2E983, 9E003.a.1, 9E003.a.4,9E003.a.5, 9E003.a.6,9E003.a.8, and 9E003.c

For BEC:1C002.a.1, 1C002.a.2,1C002.b.1.a, 1C002.b.1.b1E0019E003.a.1, 9E003.a.2,9E003.a.4, 9E003.a.5,9E003.a.6, 9E003.a.8, and9E003.c

AIFACS Bldg., 1 Rafi MargNew Delhi 110 001 India

GE India Technology Centre Private Ltd. (GEITC)122, EPIP, Phase II Hoodi Village Whitefield RoadBangalore, Karnataka 560066 India

Bangalore Engineering Centre (BEC)c/o GE India Technology Centre Private Ltd. (GEITC) 122, EPIP, Phase II Hoodi Village Whitefield RoadBangalore, Karnataka 560066 India



INFORMATION REQUIRED IN REQUESTS FOR VALIDATED END-USER (VEU) AUTHORIZATION

VEU authorization applicants must provide toBIS certain information about the prospectivevalidated end-user. This information must beincluded in requests for authorization submittedby prospective validated end-users, or exportersor reexporters who seek to have certain entitiesapproved as validated end-users. BIS may, in thecourse of its evaluation, request additionalinformation.

Required Information for Validated End-UserAuthorization Requests

(1) Name of proposed VEU candidates, includingall names under which the candidate conductsbusiness; 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 ofindividual who should be contacted if BIS has anyquestions. If the entity submitting the applicationis different from the prospective validatedend-user identified in the application, thisinformation must be submitted for both entities.If the candidate has multiple locations, allphysical addresses located in the eligibledestination must be listed.

(2) Provide an overview of the structure,ownership and business of the prospectivevalidated end-user. Include a description of theentity, including type of business activity,ownership, subsidiaries, and joint-ventureprojects, as well as an overview of any businessactivity or corporate relationship that the entityhas with either government or militaryorganizations.

(3) List the items proposed for VEUauthorization approval and their intendedend-uses. Include a description of the items; theECCN for all items, classified to thesubparagraph level, as appropriate; technical

parameters for the items including performancespecifications; and end-use description for theitems. If BIS has previously classified the item,the Commodity Classification AutomatedTracking System (CCATS) number may beprovided in lieu of the information listed in theforegoing provisions of this paragraph.

(4) Provide the physical address(es) of thelocation(s) where the item(s) will be used, if thisaddress is different from the address of theprospective validated end-user provided inparagraph (1) of this supplement.

(5) If the prospective validated end-user plans toreexport or transfer the item, specify thedestination to which the items will be reexportedor transferred.

(6) Specify how the prospective validatedend-user's record keeping system will allowcompliance with the recordkeeping requirementsset forth in §748.15(e) of the EAR. Describe thesystem that is in place to ensure compliance withVEU requirements.

(7) Include an original statement on letterhead ofthe prospective validated end-user, signed anddated by a person who has authority to legallybind the prospective validated end-user, certifyingthat the end-user will comply with all VEUrequirements. This statement must includeacknowledgement that the prospective end-user:

(i) Has been informed of and understands thatthe item(s) it may receive as a validated end-userwill have been exported in accordance with theEAR and that use or diversion of such itemscontrary to the EAR is prohibited;

(ii) Understands and will abide by allauthorization VEU end-use restrictions, includingthe requirement that items received under



authorization VEU will only be used for civilend-uses and may not be used for any activitiesdescribed in part 744 of the EAR;

(iii) Will comply with VEU recordkeepingrequirements; and

(iv) Agrees to allow on-site reviews by U.S.Government officials to verify the end-user'scompliance with the conditions of the VEUauthorization.



END-USER REVIEW COMMITTEE PROCEDURES

(1) The End-User Review Committee (ERC),composed of representatives of the Departmentsof State, Defense, Energy, and Commerce, andother agencies, as appropriate, is responsible fordetermining whether to add to, to remove from, orotherwise amend the list of validated end-usersand associated eligible items set forth inSupplement No. 7 to this part. The Department ofCommerce chairs the ERC.

(2) Unanimous vote of the Committee is requiredto authorize VEU status for a candidate or to addany eligible items to a pre-existing authorization.Majority vote of the Committee is required toremove VEU authorization or to remove eligibleitems from a pre-existing authorization.

(3) In addition to requests submitted pursuant to§748.15, the ERC will also consider candidatesfor VEU authorization that are identified by theU.S. Government. When the U.S. Governmentidentifies a candidate for VEU authorization,relevant parties (i.e., end-users and exporters orreexporters, when they can be identified) will benotified, before the ERC determines whetherVEU authorization is appropriate, as to whichend-users have been identified as potential VEUauthorization candidates. End-users are notobligated to accept the Government's nomination.

(4) The ERC will make determinations whetherto grant VEU authorization to each VEUcandidate no later than 30 calendar days after thecandidate's complete application is circulated toall ERC agencies. The Committee may requestadditional information from an applicant orpotential validated end-user related to a particularVEU candidate's application. The period duringwhich the ERC is waiting for additionalinformation from an applicant or potentialvalidated end-user is not included in calculatingthe 30 calendar day deadline for the ERC'sdetermination.

(5) If an ERC agency is not satisfied with thedecision of the ERC, that agency may escalate thematter to the Advisory Committee on ExportPolicy (ACEP). The procedures and time framefor escalating any such matters are the same asthose specified for license applications inExecutive Order 12981, as amended by ExecutiveOrders 13020, 13026 and 13117 and referenced in§750.4 of the EAR.

(6) A final determination at the appropriatedecision-making level to amend the VEUauthorization list set forth in Supplement No. 7 tothis part operates as clearance by all memberagencies to publish the amendment in the FederalRegister.

(7) The Deputy Assistant Secretary of Commercefor Export Administration will communicate thedetermination on each VEU request to therequesting party and the end-user.

PART 748 APPLICATIONS (CLASSIFICATION, … (Classification, Advisory, and License) and Documentation...

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