[Federal Register: March 25, 1996 (Rules and Regulations)]
[Page 12814-12864]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[[pp. 12814-12864]] Export Administration Regulation; Simplification of Export
Administration Regulations
[[Continued from page 12813]]
[[Page 12814]]
(ii) An acknowledgement by you that any license issued under these
emergency procedures will have a limited validity period as described
in Sec. 750.7(g) of the EAR, and that it generally will not be
extended.
(2) Prompt delivery of emergency handling requests. You are
responsible for prompt delivery of your request and license application
to BXA. You may hand-carry your request and license application or use
the services of an overnight courier to ensure prompt delivery. If you
desire to hand-carry your request and license application, you may hand
deliver it to the Exporter Counseling Division at the address stated in
Sec. 748.2(a) of this part. If you decide to use an overnight courier,
use the address listed in Sec. 748.2(c) of this part. The envelope
containing your license application should be labeled ``Attn: Exporter
Counseling Division, Emergency Handling Request Enclosed''.
(3) Review of emergency handling requests. BXA views an emergency
as an unforeseeable situation over which you have no control. On the
day of receipt, BXA will evaluate your license application and decide
whether emergency handling is warranted. Frequent emergency request
will be given particularly close scrutiny. This procedure is not
designed to become a substitute for timely filing of license
applications.
(4) Action on license applications processed under emergency
procedures. If you have submitted an emergency request, you will be
contacted by the Exporter Counseling Division informing you of whether
or not your request for emergency processing has been granted. If your
license is approved under emergency handling procedures, you will be
notified by BXA of the approval by telephone or in person. You will be
given the license number and verbal authorization to effect shipment
immediately, without waiting for the actual license. Any license
approved under these emergency handling procedures will have a limited
validity period as described in Sec. 750.7(g) of the EAR.
Sec. 748.5 Parties to the transaction on a license application.
(a) Applicant. (1) The ``applicant'' is defined as the person who,
as the principal party in interest in the transaction, has the power
and responsibility for determining and controlling the exporting or
reexporting of the items. BXA is primarily concerned with the identity
of the applicant and the applicant's role in the transaction, and not
the terms of sale.
(2) Ordinarily, a seller who delivers items in the United States to
a foreign buyer, or to the latter's forwarder or other agent, would not
be in a position to assume responsibility for the export and would not
be a proper applicant. This would normally be the situation where sale
is made f.o.b. factory, although such terms of sale may relate only to
price and are not necessarily inconsistent with the assumption by the
seller of full responsibility for effecting the export or reexport. The
seller can still be liable if the seller knows that the importer or its
agent will not obtain the required license.
(3) If the seller intends to leave the responsibility for effecting
an export or reexport in the hands of the foreign importer or the
latter's forwarding or purchasing agent in the United States, the
foreign importer should apply for the license in the foreign importer's
own name if the foreign importer is subject to the jurisdiction of the
United States at the time of export. Otherwise, the importer's
forwarding or purchasing agent or other person subject to the
jurisdiction of the U.S. must appear as applicant and exporter. In this
situation you, as the applicant, must disclose your role as agent and
the name of your principal.
(b) Order party. The order party is that person in the United
States who conducted the direct negotiations or correspondence with the
foreign purchaser or ultimate consignee and who, as a result of these
negotiations, received the order from the foreign purchaser or ultimate
consignee.
(c) Purchaser. The purchaser is that person abroad who has entered
into the transaction with the applicant to purchase an item for
delivery to the ultimate consignee. A bank, freight forwarder,
forwarding agent, or other intermediary is not the purchaser. The
purchaser and ultimate consignee may be the same entity.
(d) Intermediate consignee. The intermediate consignee is the bank,
forwarding agent, or other intermediary (if any) who acts in a foreign
country as an agent for the exporter or reexporter, the purchaser, or
the ultimate consignee, for the purpose of effecting delivery of the
export or reexport to the ultimate consignee.
(e) Ultimate consignee. The ultimate consignee is the person
located abroad who is the true party in interest in actually receiving
the export for the designated end-use. A bank, freight forwarder,
forwarding agent, or other party, when acting as an intermediary, is
not acceptable as the ultimate consignee.
Sec. 748.6 General instructions for license applications.
(a) Form and instructions. An application for license, whether to
export or reexport, must be submitted on Form BXA-748P, Multipurpose
Application (revised June 15, 1996 or later), and Form BXA-748P-A, Item
Appendix, and Form BXA-748P-B, End-User Appendix. Facsimiles or copies
of these forms are not acceptable. Instructions for preparing Form BXA-
748P are contained in Supplement No. 1 to this part 748. See
Sec. 748.7(a) of this part for instructions on submitting license
applications electronically.
(b) Application Control Number. Each application form includes a
preprinted Application Control Number. The Application Control Number,
consisting of a letter followed by six digits, is for use by BXA when
processing applications, and by applicants when communicating with BXA
concerning pending applications. This number is used for tracking
purposes within the U.S. Government. The Application Control Number is
not a license number.
(c) Approval or denial in entirety. License applications may be
approved in whole or in part, denied in whole or in part, or returned
without action. However, you may specifically request that your license
application be considered as a whole and either approved or denied in
its entirety.
(d) Combining items on license applications. Any items may be
combined on a single application, however, if the items differ
dramatically (e.g., computers and shotguns) the number of BXA offices
to which a license application may be referred for review may increase
significantly. Accordingly, it is recommended that you limit items on
each license application to those that are similar and/or related.
(e) Assembly and additional information. All documents or
correspondence accompanying your license application should bear the
Application Control Number, and be stapled together. Where necessary,
BXA may require you to submit additional information beyond that stated
in the EAR confirming or amplifying information contained in your
license application.
(f) Changes in facts. Answers to all items on the license
application will be deemed to be continuing representations of the
existing facts or circumstances. Any material or substantive change in
the terms of the order, or in the facts relating to the transaction,
must be promptly reported to BXA, whether a license has been granted or
the license application is still
[[Page 12815]]
under consideration. If a license has been granted and such changes are
not excepted in Sec. 750.7(c) of the EAR, they must be reported
immediately to BXA, even though shipments against the license may be
partially or wholly completed, during the validity period of the
license.
(g) Request for extended license validity period. An extended
validity period will generally be granted if your transaction is
related to a multi-year project, when production lead time will not
permit export or reexport during the normal validity period or for
other similar circumstances. A continuing requirement to supply spare
or replacement parts will not normally justify an extended validity
period. To request an extended validity period, include justification
for your request in Block 24 on the application.
Sec. 748.7 Applying electronically for a license or Classification
request.
(a) Authorization. You may apply electronically once you have been
authorized to do so by BXA. An authorization to submit applications
electronically may be limited or withdrawn by BXA at any time. There
are no prerequisites for obtaining permission to submit electronically
or limitations in terms of country eligibility. However, BXA may direct
for any reason that any electronic application be resubmitted in
writing, in whole or in part
(1) Requesting approval to submit applications electronically. To
submit applications electronically, your company must submit a written
request to BXA at one of the addresses identified in Sec. 748.2(c) of
this part. Both the envelope and letter must be marked ``Attn:
Electronic Submission Request''. Your letter must contain your
company's name, and the address, telephone number, and name of the
principal contact person in your company. Before approving your
request, BXA will provide you with language for a number of required
certifications. Once you have completed the necessary certifications,
you may be approved by BXA to submit applications electronically.
(2) Assignment and use of company and personal identification
numbers. (i) Each company granted permission to submit applications
electronically will be assigned a company identification number. Each
person approved by BXA to submit applications electronically for the
company will be assigned a personal identification number (``PIN'')
telephonically by BXA. A PIN will be assigned to you only if your
company has certified to BXA that you are authorized to act for it in
making electronic submissions under the EAR.
(ii) Your company may reveal the assigned company identification
number only to the PIN holders, their supervisors, employees, or agents
of the 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 or electronically;
(C) Authorize another person to use the PIN; or
(D) Use the PIN following termination by BXA or your company of
your authorization or approval for PIN use.
(iv) To prevent misuse of the PIN:
(A) If a PIN is lost, stolen or otherwise compromised, the company
and the PIN holder must report the loss, theft or compromise of the PIN
immediately by telephoning BXA at (202) 482-0436. You must confirm this
notification in writing within two business days to BXA at the address
provided in Sec. 748.2(c) of this part.
(B) Your company is responsible for immediately notifying BXA
whenever a PIN holder leaves the employ of the company or otherwise
ceases to be authorized by the company to submit applications
electronically on its behalf.
(v) No person may use, copy, steal or otherwise compromise a PIN
assigned to another person; and no person may use, copy, steal or
otherwise compromise the company identification number where the
company has not authorized such person to have access to the number.
(b) Electronic submission of applications. (1) All applications.
Upon submission of the required certifications and approval of the
company's request to use electronic submission, BXA will provide
instructions both on the method to transmit applications electronically
and the process for submitting required supporting documents and
technical specifications. These instructions may be modified by BXA
from time to time.
(2) License Applications. The electronic submission of an
application for license will constitute an export control document.
Such submissions must provide the same information as written
applications and are subject to the recordkeeping provisions of part
762 of the EAR. The applicant company and PIN holder submitting the
application will be deemed to make all representations and
certifications as if the submission were made in writing by the company
and signed by the submitting PIN holder. Electronic submission of a
license application will be considered complete upon the transmittal of
the application to BXA or to an entity under contract to receive such
applications for BXA.
(c) Maintenance of a log. Your company must maintain a log, either
manually or electronically, specifying the date and time of each
electronic submission, the ECCNs of items on each electronic
submission, and the name of the employee or agent submitting the
license application. This log may not be altered. Written corrections
must be made in a manner that does not erase or cover original entries.
If the log is maintained electronically, corrections may only be made
as notations.
(d) Updating. An applicant company must promptly notify BXA of any
change in its name or address. If your company wishes to have an
individual added as a PIN holder, your company must advise BXA and
follow the instructions provided by BXA. Your company should conduct
periodic reviews to ensure that PINs are held only by individuals whose
current responsibilities make it necessary and appropriate that they
act for the company in this capacity.
Sec. 748.8 Unique license application requirements.
In addition to the instructions contained in Supplement No. 1 to
this part 748, you must also ensure that the additional requirements
for certain items or types of transactions described in this section
are addressed in your license application. See Supplement No. 2 to this
part 748 if your application involves:
(a) Chemicals, medicinals, and pharmaceuticals.
(b) Communications intercepting devices.
(c) Digital computers, telecommunications, and related equipment.
(d) Gift parcels; consolidated in a single shipment.
(e) Intransit shipments through the United States.
(f) Intransit shipments outside of the United States.
(g) Nuclear Nonproliferation items and end-uses.
(h) Numerical control devices, motion control boards, numerically
controlled machine tools, dimensional inspection machines, direct
numerical control systems, specially designed assemblies and specially
designed software.
(i) Parts, components, and materials incorporated abroad into
foreign-made products.
(j) Ship stores, plane stores, supplies, and equipment.
(k) Regional stability controlled items.
(l) Reexports.
[[Page 12816]]
(m) Robots.
(n) Short Supply controlled items.
(o) Technology.
(p) Temporary exports or reexports.
Sec. 748.9 Support documents for license applications.
(a) Exemptions. If you plan to submit a license application
involving one of the following situations, no support documentation is
required. Simply submit the license application.
(1) All exports and reexports involving ultimate consignees located
in any of the following destinations:
Bahamas
Barbados
Belize
Bermuda
Bolivia
Brazil
Canada
Chile
Colombia
Costa Rica
Dominican Republic
Ecuador
El Salvador
French West Indies
French Guiana
Greenland
Guatemala
Guyana
Haiti
Honduras
Jamaica
Leeward and Windward Islands
Mexico
Miquelon and St. Pierre Islands
Netherlands Antilles
Nicaragua
Panama
Paraguay
Peru
Surinam
Trinidad and Tobago
Uruguay
Venezuela
(2) The ultimate consignee or purchaser is a foreign government(s)
or foreign government agency(ies). To determine whether the parties to
your transaction meet the definition of ``government agency'' refer to
the definition contained in part 772 of the EAR. Remember, if either
the ultimate consignee or purchaser is not a foreign government or
foreign government agency, a statement is required from the
nongovernmental party. However, support documents are required from
governments of the People's Republic of China, India, Bulgaria, Czech
Republic, Hungary, Poland, Romania, and Slovakia.
(3) The license application is filed by, or on behalf of, a relief
agency registered with the Advisory Committee on Voluntary Foreign Aid,
U.S. Agency for International Development, for export 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 items controlled for
short supply reasons (see part 754 of the EAR).
(6) The license application is submitted under the Special
Comprehensive License procedure described in part 752 of the EAR.
(b) Support document requirements. License applications not exempt
under paragraph (a) of this section generally must be supported by
documents designed to elicit information concerning the disposition of
the items intended for export or reexport. These support documents must
be either submitted at the time the license application is filed or
retained in the applicant's files in accordance with the recordkeeping
provisions of part 762 of the EAR. The type of support documentation
required is dependent on the item involved and the country of ultimate
destination. To determine which type of support documentation is
required, answer the following questions:
(1) Does your transaction involve items controlled for national
security reasons?
(i) If yes, continue with question number 2 in paragraph (b)(2) of
this section.
(ii) If no, your transaction may require a Statement by Ultimate
Consignee and Purchaser.
(2) Does your transaction involve items controlled for national
security reasons destined for one of the following countries? (This
applies only to those overseas destinations specifically listed.)
Argentina
Australia
Austria
Belgium
Bulgaria
China (PRC)
Czech Republic
Denmark
Finland
France
Germany
Greece
Hong Kong
Hungary
India
Ireland, Republic of
Italy
Japan
Korea, Republic of
Liechtenstein
Luxembourg
Netherlands
New Zealand
Norway
Pakistan
Poland
Portugal
Romania
Singapore
Slovakia
Spain
Sweden
Switzerland
Taiwan
Turkey
United Kingdom
(i) If yes, your transaction may require an Import or End-User
Certificate. Note that if the destination is the People's Republic of
China, a Statement of Ultimate Consignee and Purchaser may be
substituted for a PRC End-User Certificate under the following
conditions:
(1) The item to be exported is described in an Advisory Note for
Country Group D:1 (See Supplement No. 1 to part 740 of the EAR) on the
CCL; or
(2) The item to be exported (i.e., replacement parts and sub-
assemblies) is for servicing previously exported items and is valued at
$75,000 or less; or
(3) The End-User is not a Chinese entity.
(ii) If no, your transaction may require a Statement by Ultimate
Consignee or Purchaser.
(c) License applications requiring support documents. License
applications requiring support by either a Statement by the Ultimate
Consignee and Purchaser or an Import or End-User Certificate must
indicate the type of support document obtained in Block 6 or 7 on your
application with an ``X'' in the appropriate box. If the support
document is an Import or End User Certificate, you must also identify
the originating country and number of the Certificate in Block 13 on
your application. If a license application is submitted without either
the correct Block or Box marked on the application or the required
support document, the license application will be immediately returned
without action unless the satisfactory reasons for failing to obtain
the document are supplied in Block 24 or in an attachment to your
license application.
(1) License applications supported by an Import or End User
Certificate. If submission of the original certificate is not required
by Sec. 748.10(g) of this part, you may submit your license application
upon receipt of a facsimile
[[Page 12817]]
or other legible copy of the Import or End User Certificate provided
that no shipment is made against any license issued based upon the
Import or End User Certificate prior to receipt and retention of the
original statement by the applicant. If Sec. 748.10(g) of this part
requires submission of the original certificate with your license
application, you must submit the original. Copies will not be accepted.
(2) License applications supported by Ultimate Consignee and
Purchaser statements. These types of license applications may be
submitted upon receipt of a facsimile or other legible copy of the
original statement provided that the original manually-signed statement
is retained by the ultimate consignee, and you retain a copy of the
statement.
(d) Exceptions to obtaining the required support document. BXA will
consider the granting of an exception to the requirement for supporting
document where the requirements cannot be met due to circumstances
beyond your control. An exception will not be granted contrary to the
objectives of the U.S. export control laws and regulations. Refer to
Sec. 748.12(d) of this part for specific instructions on procedures for
requesting an exception.
(e) Validity period. (1) When an Import or End-User Certificate or
a Statement by Ultimate Consignee and Purchaser is required to support
one or more license applications, you must submit the first license
application within the validity period shown on the Certificate, or 6
months from the date the Certificate was issued or Statement signed,
whichever is shorter.
(2) All subsequent license applications supported by the same
Import or End-Use Certificate must be submitted to BXA within one year
from the date that the first license application supported by the same
Import or End-Use Certificate was submitted to BXA.
(3) All subsequent license applications supported by the same
Statement by Ultimate Consignee and Purchaser must be submitted within
two years of the first application if the statement was completed as a
single transaction statement. If the statement was completed as a
multiple transaction statement, all applications must be submitted
within two years of signature by the consignee or purchaser, whichever
was last.
(f) English translation requirements. All abbreviations, coded
terms, or other expressions on support documents having special
significance in the trade or to the parties to the transaction must be
explained on an attachment to the document. Documents in a language
other than English must be accompanied by an attachment giving an
accurate English translation, either made by a translating service or
certified by you to be correct. Explanations or translations should be
provided on a separate piece of paper, and not entered on the support
documents themselves.
(g) Responsibility for full disclosure. (1) Information contained
in a support document cannot be construed as extending or expanding or
otherwise modifying the specific information supplied in a license
application or license issued by BXA. The license application covering
the transaction discloses all facts pertaining to the transaction. The
authorizations contained in the resulting license are not extended by
information contained in an Import Certificate, End-User Certificate or
Statement by Ultimate Consignee and Purchaser regarding reexport from
the country of destination or any other facts relative to the
transaction that are not reported on the license application.
(2) Misrepresentations, either through failure to disclose facts,
concealing a material fact, or furnishing false information, will
subject responsible parties to administrative action by BXA.
Administrative action may include suspension, revocation, or denial of
licensing privileges and denial of other participation in exports from
the United States.
(3) In obtaining the required support document, you as the
applicant are not relieved of the responsibility for full disclosure of
any other information concerning the ultimate destination and end-use,
end-user of which you know, even if inconsistent with the
representations made in the Import Certificate, End-User Certificate,
or Statement by Ultimate Consignee and Purchaser. You are responsible
for promptly notifying BXA of any change in the facts contained in the
support document that comes to your attention.
(h) Effect on license application review. BXA reserves the right in
all respects to determine to what extent any license will be issued
covering items for which an Import or End-User Certificate has been
issued by a foreign government. BXA will not seek or undertake to give
consideration to recommendations from the foreign government as to the
action to be taken on a license application. A supporting document
issued by a foreign government will be only one of the factors upon
which BXA will base its licensing action, since end-uses and other
considerations are important factors in the decision making process.
(i) Request for return of support documents submitted to BXA. If an
applicant is requested by a foreign importer to return an unused or
partially used Import or End-User Certificate submitted to BXA in
support of a license application, the procedure provided in this
paragraph (i) should be followed:
(1) The applicant must send a letter request for return of an
Import or End-User Certificate to the address stated in Sec. 748.2(c)
of this part, ``Attn: Import/End-User Certificate Request''.
(2) The letter request must include the name and address of the
importer, the Application Control Number under which the original
Import or End-User Certificate was submitted, the Application Control
Numbers for any subsequent license applications supported by the same
certificate, and one of the following statements, if applicable:
(i) If the certificate covers a quantity greater than the total
quantity identified on the license application(s) submitted against it,
a statement that the certificate will not be used in connection with
another license application.
(ii) If you do not intend to make any additional shipments under a
license covered by the certificate, or are in possession of an expired
license covered by the certificate, a statement to this effect,
indicating the unshipped items.
(j) Recordkeeping requirements for returning certificates retained
by the applicant. (1) Though the recordkeeping provisions of the EAR
require that all original support documents be retained for a period of
five years, an unused or partially used certificate may be returned at
the request of a foreign importer provided that you submit the original
certificate, accompanied by a letter of explanation, a copy of each
license covered by the certificate, and a list of all shipments made
against each license to BXA at the address listed in Sec. 748.2(c). BXA
will notify you in writing whether your request has been granted. The
following information must be contained in your letter of explanation:
(i) A statement citing the foreign importer's request for return of
the certificate;
(ii) The license number(s) that have been issued against the
certificate (including both outstanding and expired licenses); and
(iii) If the certificate covers a quantity greater that the total
quantity stated on the license(s), you must include a statement that
the certificate will not be used in connection with another license
application.
[[Page 12818]]
(2) If your request is granted, BXA will return the certificate to
you. You must make a copy of the certificate before you return the
original to the importer. This copy must show all the information
contained on the original certificate including any notation made on
the certificate by BXA. The copies must be retained on file along with
your correspondence in accordance with the recordkeeping provisions in
part 762 of the EAR.
Sec. 748.10 Import and End-User Certificates.
(a) Scope. There are a variety of Import and End-User Certificates
currently in use by various governments. The control exercised by the
government issuing the Import or End-User Certificate is in addition to
the conditions and restrictions placed on the transaction by BXA. The
laws and regulations of the United States are in no way modified,
changed, or superseded by the issuance of an Import or End-User
Certificate. This section describes exceptions and relationships true
for both Import and End-User Certificates, and applies only to
transactions involving national security controlled items destined for
one of the countries identified in Sec. 748.9(b)(2) of this part.
(b) Import or End-User Certificate. An Import or End-User
Certificate must be obtained, unless your transaction meets one of the
exemptions stated in Sec. 748.9(a) of this part, if:
(1) Any items on your license application are controlled for
national security reasons (NS),
(2) The ultimate destination is a country listed in
Sec. 748.9(b)(2) of this part; and
(3) Your license application involves the export of items
classified in a single entry on the CCL, the total value of which
exceeds $5,000.
(i) Your license application may list several separate CCL entries.
If any entry controlled for national security reasons exceeds $5,000,
then an Import or End-User Certificate must be obtained covering all
items controlled for national security reasons on your license
application;
(ii) If your license application involves a lesser transaction that
is part of a larger order for items controlled for national security
reasons in a single ECCN exceeding $5,000, an Import or End-User
Certificate must be obtained.
(iii) You may be specifically requested by BXA to obtain an Import
Certificate for a transaction valued under $5,000.
(c) How to obtain an Import or End-User Certificate. (1) Applicants
must request that the importer (e.g., ultimate consignee or purchaser)
obtain the Import or End-User Certificate, and that it be issued
covering only those items that are controlled for national security
reasons. Importers should not be requested to obtain an Import or End-
User Certificate for items that are controlled for reasons other than
national security. Upon receipt, the importer must transmit the
original document to the applicant.
(2) The applicant's name must appear on the Import or End-User
Certificate submitted to BXA as either the applicant, supplier, or
order party. The Import Certificate may be made out to either the
ultimate consignee or the purchaser, even though they are different
parties, as long as both are located in the same country.
Note to paragraph (c) of this section: You should furnish the
consignee with the item description contained in the CCL to be used
in applying for the Import or End-User Certificate. It is also
advisable to furnish a manufacturer's catalog, brochure, or
technical specifications if the item is new.
(3) If your transaction requires support of a PRC End-User
Certificate, you must ensure the following information is included on
the PRC End-User Certificate signed by an official of the Department of
Science and Technology of the Ministry of Foreign Trade and Economic
Cooperation (MOFTEC) with MOFTEC'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 and dollar value; and
(v) Signature of the importer and date.
(d) Where to obtain Import and End-User Certificates. See
Supplement No. 4 to this part for a list of the authorities
administering the Import Certificate/Delivery Verification and End-User
Certificate Systems in other countries.
(e) Triangular symbol on International Import Certificates.
(1) In accordance with international practice, the issuing
government may stamp a triangular symbol on the International Import
Certificate (IIC). This symbol is notification that the importer does
not intend to import or retain the items in the country issuing the
certificate, but that, in any case, the items will not be delivered to
any destination except in accordance with the export regulations of the
issuing country'.
(2) If you receive an IIC bearing a triangular symbol, you must
identify all parties to the transaction on the license application,
including those located outside the country issuing the IIC. If the
importer declines to provide you with this information, you may advise
the importer to provide the information directly to BXA, through a U.S.
Foreign Commercial Service office, or in a sealed envelope to you
marked ``To be opened by BXA only''.
(f) Multiple license applications supported by one certificate. An
Import or End-User Certificate may cover more than one purchase order
and more than one item. Where the certificate includes items for which
more than one license application will be submitted, you must include
in Block 24 on your application, or in an attachment to each license
application submitted against the certificate, the following
certification:
I (We) certify that the quantities of items shown on this
license application, based on the Certificate identified in Block 13
of this license application, when added to the quantities shown on
all other license applications submitted to BXA based on the same
Certificate, do not total more than the total quantities shown on
the above cited Certificate.
(g) Submission of Import and End-User Certificates. If a PRC End-
User Certificate is required for your proposed transaction, you must
submit the original certificate with your license application. Copies
will not be accepted. All other certificates must be retained on file
by the applicant in accordance with the recordkeeping provisions of
part 762 of the EAR, and not submitted with the license application.
(h) Alterations. After an Import or End-User Certificate is issued
by a foreign government, no corrections, additions, or alterations may
be made on the Certificate by any person. If you desire to explain any
information contained on the Certificate, you may attach a signed
statement to the Certificate.
(i) Request for Delivery Verification. BXA will, on a selective
basis, require Delivery Verification documents for shipments supported
by Import Certificates. You will be notified if Delivery Verification
is required at the time of issuance of the license. Please refer to
Sec. 748.13 of this part for detailed information on these procedures.
(j) Retention procedures. You must retain on file the original copy
of any certificate issued in support of a license application submitted
to BXA, unless the original is submitted with the license application.
All recordkeeping provisions contained in part 762 of the EAR apply to
this requirement, except that reproductions may not be substituted for
the officially authenticated original in this instance.
[[Page 12819]]
Sec. 748.11 Statement by Ultimate Consignee and Purchaser.
(a) Exceptions to completing a Statement by Ultimate Consignee and
Purchaser. A Statement by the Ultimate Consignee and/or Purchaser
involved in a transaction must be completed unless:
(1) An International Import Certificate, a People's Republic of
China End-User Certificate, an Indian Import Certificate, or a
Bulgarian, Czech, Hungarian, Polish, Romanian or Slovak Import
Certificate is required in support of the license application;
(2) The applicant is the same person as the ultimate consignee,
provided the required statements are contained in Block 24 on the
license application. This exemption does not apply where the applicant
and consignee are separate entities, such as parent and subsidiary, or
affiliated 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 exemptions stated in
Sec. 748.9(a) of this part.
(b) Submission of the Statement by Ultimate Consignee and
Purchaser. A copy of the statement must be submitted with your license
application if the country of ultimate destination is listed in either
Country Group D:2, D:3, or D:4 (See Supplement No. 1 to part 740 of the
EAR). The copy submitted by the applicant must be of sufficient quality
to ensure all assertions made on the statement are legible and that the
signatures are sufficiently legible to permit identification of the
signature as that of the signer. The applicant must receive the
manually-signed original within 60 days from the date the original is
signed by the ultimate consignee. The applicant must, upon receipt,
retain the manually-signed original, and both the ultimate consignee
and purchaser should retain a copy of the statement in accordance with
the recordkeeping provisions contained in part 762 of the EAR.
(c) Form or letter. The ultimate consignee and purchaser must
complete either a statement on company letterhead in accordance with
paragraph (e) of this section or Form BXA-711, Statement by Ultimate
Consignee and Purchaser. If the consignee and purchaser elect to
complete the statement on letterhead and both the ultimate consignee
and purchaser are the same entity, only one statement is necessary. If
the ultimate consignee and purchaser are separate entities, separate
statements must be prepared and signed. If the ultimate consignee and
purchaser elects to complete Form BXA-711, only one Form BXA-711
(containing the signatures of the ultimate consignee and purchaser)
need be completed. Whether your ultimate consignee and purchaser sign a
written statement or complete Form BXA-711, the following constraints
apply:
(1) Responsible officials representing the ultimate consignee and
purchaser must sign the statement. ``Responsible official'' is defined
as someone with personal knowledge of the information included in the
statement, and authority to bind the ultimate consignee or purchaser
for whom they sign, and who has the power and authority to control the
use and disposition of the licensed items.
(2) The authority to sign the statement may not be delegated to any
person (agent, employee, or other) whose authority to sign is not
inherent in his or her official position with the ultimate consignee or
purchaser for whom he or she signs. The signing official may be located
in the U.S. or in a foreign country. The official title of the person
signing the statement must also be included.
(3) The consignee and/or purchaser must submit information that is
true and correct to the best of their knowledge and must promptly send
a new statement to the applicant if changes in the facts or intentions
contained in their statement(s) occur after the statement(s) have been
forwarded to the applicant. Once a statement has been signed, no
corrections, additions, or alterations may be made. If a signed
statement is incomplete or incorrect in any respect, a new statement
must be prepared, signed and forwarded to the applicant.
(d) Instructions for completing Form BXA-711. Instructions on
completing Form BXA-711 are contained in Supplement No. 3 to this part.
The ultimate consignee and purchaser may sign a legible copy of Form
BXA-711. It is not necessary to require your ultimate consignee and
purchaser sign an original Form BXA-711, provided all information
contained on the copy is legible.
(e) Instructions for completing the statement on letterhead.
Information in response to each of the following criteria must be
included in the statement. If any information is unknown, that fact
should be disclosed in the statement. Preprinted information supplied
on the statement, including the name, address, or nature of business of
the ultimate consignee or purchaser appearing on the letterhead or
order form is acceptable but will not constitute evidence of either the
signer's identity, the country of ultimate destination, or end-use of
the items described in the license application.
(1) Paragraph 1. One of the following certifications must be
included depending on whether the statement is proffered in support of
a single license application or multiple license applications:
(i) Single. This statement is to be considered part of a license
application submitted by [name and address of applicant].
(ii) Multiple. This statement is to be considered a part of every
license application submitted by [name and address of applicant] until
one year from the date this statement is signed.
(2) Paragraph 2. One or more of the following certifications must
be included. Note that if any of the facts related to the following
statements are unknown, this must be clearly stated.
(i) The items for which a license application will be filed by
[name of applicant] will be used by us as capital equipment in the form
in which received in a manufacturing process in [name of country] and
will not be reexported or incorporated into an end product.
(ii) The items for which a license application will be filed by
[name of applicant] will be processed or incorporated by us into the
following product(s) [list products] to be manufactured in [name of
country] for distribution in [list name of country or countries].
(iii) The items for which a license application will be filed by
[name of applicant] will be resold by us in the form in which received
for use or consumption in [name of country].
(iv) The items for which a license application will be filed by
[name of applicant] will be reexported by us in the form in which
received to [name of country or countries].
(v) The items received from [name of applicant] will be [describe
use of the items fully].
(3) Paragraph 3. The following two certifications must be included:
(i) The nature of our business is [possible choices include;
broker, distributor, fabricator, manufacturer, wholesaler, retailer,
value added reseller, original equipment manufacturer, etc.].
(ii) Our business relationship with [name of applicant] is
[possible choices include; contractual, franchise, distributor,
wholesaler, continuing and regular individual business, etc.] and we
have had this business relationship for [number of years].
(4) Paragraph 4. The final paragraph must include all of the
following certifications:
(i) We certify that all of the facts contained in this statement
are true and
[[Page 12820]]
correct to the best of our knowledge and we do not know of any
additional facts that are inconsistent with the above statements. We
shall promptly send a replacement statement to [name of the applicant]
disclosing any material change of facts or intentions described in this
statement that occur after this statement has been prepared and
forwarded to [name of applicant]. We acknowledge that the making of any
false statement or concealment of any material fact in connection with
this statement may result in imprisonment or fine, or both, and denial,
in whole or in part, of participation in U.S. exports or reexports.
(ii) Except as specifically authorized by the U.S. Export
Administration Regulations, or by written approval from the Bureau of
Export Administration, we will not reexport, resell, or otherwise
dispose of any items approved on a license supported by this statement:
(1) To any country not approved for export as brought to our
attention by the U.S. exporter; or
(2) To any person if there is reason to believe that it will result
directly or indirectly in disposition of the items contrary to the
representations made in this statement or contrary to the U.S. Export
Administration Regulations.
(iii) We understand that acceptance of this statement as a support
document cannot be construed as an authorization by BXA to reexport the
items in the form in which received even though we may have indicated
the intention to reexport, and that authorization to reexport is not
granted in an export license on the basis of information provided in
the statement, but as a result of a specific request in a license
application.
Sec. 748.12 Special provisions for support documents.
(a) Grace periods. Whenever the requirement for an Import or End-
User Certificate or Statement by Ultimate Consignee or Purchaser is
imposed or extended by a change in the regulations, the license
application need not conform to the new support documentation
requirements for a period of 45 days after the effective date of the
regulatory change published in the Federal Register.
(1) Requirements are usually imposed or extended by virtue of one
of the following:
(i) Addition or removal of national security controls over a
particular item; or
(ii) Development of an Import Certificate/Delivery Verification or
End-User Certificate program by a foreign country; or
(iii) Removal of an item from eligibility under the Special
Comprehensive License described in part 752 of the EAR, when you hold
such a special license and have been exporting the item under that
license.
(2) License applications filed during the 45 day grace period must
be accompanied by any evidence available to you that will support
representations concerning the ultimate consignee, ultimate
destination, and end use, such as copies of the order, letters of
credit, correspondence between you and ultimate consignee, or other
documents received from the ultimate consignee. You must also identify
the regulatory change (including its effective date) that justifies
exercise of the 45 day grace period. Note that an Import or End-User
Certificate will not be accepted, after the stated grace period, for
license applications involving items that are no longer controlled for
national security reasons. If an item is removed from national security
controls, you must obtain a Statement by Ultimate Consignee and
Purchaser as described in Sec. 748.11 of this part. Likewise, any item
newly controlled for national security purposes requires support of an
Import or End-User Certificate as described in Sec. 748.10 of this part
after expiration of the stated grace period.
(b) Reexports. If a support document would be required for an
export, the same document would be required for reexport to Country
Group D:1 and E:2 (See Supplement No. 1 to part 740 of the EAR).
(c) Granting of exceptions to the support documentation
requirement. An exception to obtaining the required support
documentation will be considered by BXA, however, an exception will not
be granted contrary to the objectives of the U.S. export control
program. A request for exception may involve either a single
transaction, or where the reason necessitating the request is
continuing in nature, multiple transactions. If satisfied by the
evidence presented, BXA may waive the support document requirement and
accept the license application for processing. Favorable consideration
of a request for exception generally will be given in instances where
the support document requirement:
(1) Imposes an undue hardship on you and/or ultimate consignee
(e.g., refusal by the foreign government to issue an Import or End-User
Certificate and such refusal constitutes discrimination against you);
or
(2) Cannot be complied with (e.g., the items will be held in a
foreign trade zone or bonded warehouse for subsequent distribution in
one or more countries); or
(3) Is not applicable to the transaction (e.g., the items will not
be imported for consumption into the named country of destination).
(d) Procedures for requesting an exception. (1) Requests for
exception must be submitted with the license application to which the
request relates. Where the request relates to more than one license
application it should be submitted with the first license application
and referred to in Block 24 on any subsequent license application. The
request for exception must be submitted in writing on the applicant's
letterhead.
(2) In instances where you are requesting exception from obtaining
an Import or End-User Certificate, the request must be accompanied by a
manually-signed original Statement by Ultimate Consignee and Purchaser
as described in Sec. 748.11 of this part.
(3) At a minimum, the letter request must include:
(i) Name and address of ultimate consignee;
(ii) Name and address of purchaser, if different from ultimate
consignee;
(iii) Location of foreign trade zone or bonded warehouse if the
items will be exported to a foreign trade zone or bonded warehouse;
(iv) Type of request, i.e., whether for a single transaction or
multiple transactions;
(v) Full explanation of the reason(s) for requesting the exception;
(vi) Nature and duration of the business relationship between you
and ultimate consignee and purchaser shown on the license application;
(vii) Whether you have previously obtained and/or submitted to BXA
an Import or End-User Certificate issued in the name of the ultimate
consignee and/or purchaser, and a list of the Application Control
Number(s) to which the certificate(s) applied; and
(viii) Any other facts to justify granting an exception.
(4) Action by BXA. (i) Single transaction request. Where a single
transaction is involved, BXA will act on the request for exception at
the same time as the license application with which the request is
submitted. In those instances where the related license application is
approved, the issuance of the license will serve as an automatic notice
to the applicant that the exception was approved. If any restrictions
are placed on granting of the exception, these will appear on the
approval. If the request for exception is not approved, BXA will advise
you by letter.
[[Page 12821]]
(ii) Multiple transactions request. Where multiple transactions are
involved, BXA will advise you by letter of the action taken on the
exception request. The letter will contain any conditions or
restrictions that BXA finds necessary to impose (including an exception
termination date if appropriate). In addition, a written acceptance of
these conditions or restrictions may be required from the parties to
the transaction.
(e) Availability of original. The original certificate or statement
must be kept on file, and made available for inspection in accordance
with the provisions of part 762 of the EAR. To ensure compliance with
this recordkeeping requirement, BXA will require applicants, on a
random basis, to submit specific original certificates and statements
that have been retained on file. Applicants will be notified in writing
of any such request.
Sec. 748.13 Delivery Verification (DV).
(a) Scope. (1) BXA may request applicants to obtain verifications
of delivery on a selective basis. A Delivery Verification Certificate
(DV) is a document issued by the government of the country of ultimate
destination after the export has taken place and the items have either
entered the export jurisdiction of the recipient country or are
otherwise accounted for by the importer to the issuing government.
Governments that issue DVs are listed in Supplement No. 4 to this part.
(2) If BXA decides to request verification of delivery, the request
will appear as a condition on the face of the license. If the license
is sent directly to a party other than the applicant authorized to
receive the license (e.g., agent, forwarder, broker, etc.), such party
is responsible for notifying the licensee immediately in writing that a
DV is required.
(b) Exception to obtaining Delivery Verification. The DV
requirement for a particular transaction is automatically canceled if,
subsequent to the issuance of a license, the item is no longer
controlled for national security reasons. In this instance, the
licensee must send a letter to BXA at the address listed in
Sec. 748.2(c) of this part, stating that the items on the license are
no longer controlled for national security reasons, and accordingly,
the request for DV will not be fulfilled by the licensee.
(c) Procedure for obtaining Delivery Verification. When notified
that a DV is required by BXA, the licensee must transmit to the
importer a written request for a DV at the time of making each shipment
under the license (whenever possible, this request should be submitted
together with the related bill of lading or air waybill). The request
must include the number of the Import or End-User Certificate for the
transaction referred to on the license, and notify the importer that
this same Import or End-User Certificate number should be shown on the
DV.
(1) The importer must obtain the DV from the appropriate government
ministry identified in Supplement No. 4 to this part, and forward the
completed DV to the licensee. The DV must cover the items described on
the license that have been shipped. Note that BXA must be able to
relate the description provided in the DV to the approved license. In
order to ensure the same terminology is used, the licensee should
provide the importer with the description as it appears on the license.
(2) The original copy of the DV must be sent to BXA within 90 days
after the last shipment has been made against the license. If
verification of delivery is required for items covered by a license
against which partial shipments have been made, the licensee shall
obtain the required DV for each partial shipment, and retain these on
file until all shipments have been made against the license. Once all
shipments against the license have been made (or the licensee has
determined that none will be), the licensee must forward, in one
package, all applicable DVs to BXA at the address listed in
Sec. 748.2(c) of this part.
(3) The documents must be forwarded with a dated letter giving the
license number, the name, title and signature of the authorized
representative, and one of the following statements:
(i) The total quantity authorized by license number ______ has been
exported, and all delivery verification documents are attached.
(ii) A part of the quantity authorized by license number ______
will not be exported. Delivery verification documents covering all
items exported are attached.
(iii) No shipment has been made against this license, and none is
contemplated.
(d) Inability to obtain Delivery Verification Certificates. If a
licensee is unable to obtain the required DV (within the time frame
stated above, or at all) from the importer, the licensee must promptly
notify BXA and, upon request, make available all information and
records, including correspondence, regarding the attempt to obtain the
DV.
Supplement No. 1 to Part 748 BXA-748P, BXA-748P-A; Item Appendix, and
BXA-748P-B; End-User Appendix; Multipurpose Application Instructions
All information must be legibly typed within the lines for each
Block or Box except where a signature is required. Where there is a
choice of entering telephone numbers or facsimile numbers, and you
wish to provide a facsimile number instead of a telephone number,
identify the facsimile number with the letter ``F'' immediately
after the number (e.g., 011-358-0-123456F).
Block 1: Contact Person. Enter the name of the person who can
answer questions concerning the application.
Block 2: Telephone. Enter the telephone number of the person who
can answer questions concerning the application.
Block 3: Facsimile. Enter the facsimile number, if available, of
the person who can answer questions concerning the application.
Block 4: Date of Application. Enter the current date.
Block 5: Type of Application. Export. If the items are located
within the United States, and you wish to export those items, mark
the Box labeled ``Export'' with an (X). Reexport. If the items are
located outside the United States, mark the Box labeled ``Reexport''
with an (X). Classification Request. If you are requesting BXA to
classify your item against the Commerce Control List (CCL), mark the
Box labeled ``Classification Request'' with an (X). Special
Comprehensive License. If you are submitting a Special Comprehensive
License application in accordance with procedures described in part
752 of the EAR, mark the Box labeled ``Special Comprehensive
License'' with an (X).
Block 6: Attachments submitted with Application. Review the
documentation you are required to submit with your application in
accordance with the provisions of part 748 of the EAR, and mark all
applicable Boxes with an (X).
Mark the Box ``Foreign Availability'' with an (X) if you are
submitting an assertion of foreign availability with your license
application. See part 768 of the EAR for instructions on foreign
availability submissions.
Mark the ``Tech. Specs.'' box with an (X) if you are submitting
descriptive literature, brochures, technical specifications, etc.
with your application.
Block 7: Documents on File with Applicant. Certify that you have
retained on file all applicable documents as required by the
provisions of part 748 by placing an (X) in the appropriate Box(es).
Block 8: Special Comprehensive License. Complete this Block only
if you are submitting an application for a Special Comprehensive
License in accordance with part 752 of the EAR.
Block 9: Special Purpose. Complete this box for certain items or
types of transactions only if specifically required in Supplement
No. 2 to this part.
Block 10: Resubmission Application Control Number. If your
original application was returned without action, provide the
Application Control Number for that application.
[[Page 12822]]
Block 11: Replacement License Number. If you have received a
license for identical items to the same ultimate consignee, but
would like to make a change to the license as originally approved
not excepted in Sec. 750.7(c) of the EAR, enter the license number
here, and a statement in Block 24 regarding what changes you wish to
make to the original license.
Block 12: Items Previously Exported. This Block should be
completed only if you have marked the ``Reexport'' box in Block 5.
Enter the license number, License Exception symbol (for exports
under General Licenses, enter the appropriate General License
symbol), or other authorization under which the items were
originally exported, if known.
Block 13: Import/End-User Certificate. Enter the name of the
country and number of the Import or End User Certificate obtained in
accordance with provisions of this part.
Block 14: Applicant. Enter the applicant's name, street address,
city, state/country, and postal code. Refer to Sec. 748.5(a) of this
part for a definition of ``applicant''. If you have marked
``Export'' in Block 5, you must include your company's Employer
Identification Number unless you are filing as an individual or as
an agent on behalf of the exporter. The Employer Identification
Number is assigned by the Internal Revenue Service for tax
identification purposes. Accordingly, you should consult your
company's financial officer or accounting division to obtain this
number.
Block 15: Other Party Authorized to Receive License. If you
would like BXA to transmit the approved license to another party
designated by you, complete all information in this Block, including
name, street address, city, country, postal code and telephone
number. Leave this space blank if the license is to be sent to the
applicant. Designation of another party to receive the license does
not alter the responsibilities of the applicant.
Block 16: Purchaser. Enter the purchaser's complete name, street
address, city, country, postal code and telephone or facsimile
number. Refer to Sec. 748.5(c) of this part for a definition of
``purchaser''. If the purchaser is also the ultimate consignee,
enter the words ``same as Block 18''.
Block 17: Intermediate Consignee. Enter the intermediate
consignee's complete name, street address, city, country, postal
code and telephone or facsimile number. Provide a complete street
address, P.O. Boxes are not acceptable. Refer to Sec. 748.5(d) of
this part for a definition of ``intermediate consignee''. If this
party is identical to that listed in Block 16, you may simply type
the words ``Same as Block 16''. If your proposed transaction does
not involve use of an intermediate consignee, enter ``None''. If
your proposed transaction involves use of more than one intermediate
consignee, provide the information in Block 24 for each additional
Intermediate Consignee.
Block 18: Ultimate Consignee. Enter the ultimate consignee's
complete name, street address, city, country, postal code and
telephone or facsimile number. Provide a complete street address,
P.O. Boxes are not acceptable. The ultimate consignee is the party
who will actually receive the material for the end-use designated in
Block 21.
Refer to Sec. 748.5(e) of this part for the definition of
``ultimate consignee''. A bank, freight forwarder, forwarding agent,
or other intermediary may not be identified as the ultimate
consignee. Government purchasing organizations are the sole
exception to this requirement. This type of entity may be identified
as the government entity that is the actual ultimate consignee in
those instances when the items are to be transferred to the
government entity that is the actual end-user, provided the actual
end-use and end-user is clearly identified in Block 21 or in
additional documentation attached to the application.
If your application is for the reexport of items previously
exported, enter the new ultimate consignee's complete name, street
address, city, country, postal code and telephone or facsimile
number. If your application involves a temporary export or reexport,
the applicant should be shown as the ultimate consignee in care of a
person or entity who will have control over the items abroad.
Block 19: End-User. Complete this Block only if the ultimate
consignee identified in Block 18 is not the actual end-user. If
there will be more than one end-user, enter the word ``Various'' in
this Block, and use Form BXA-748P-B to identify each of the end-
users. Enter each end user's complete name, street address, city,
country, postal code and telephone or facsimile number. Provide a
complete street address, P.O. Boxes are not acceptable.
Block 20: Original Ultimate Consignee. If your application
involves the reexport of items previously exported, enter the
original ultimate consignee's complete name, street address, city,
country, postal code and telephone or facsimile number. The original
ultimate consignee is the entity identified in the original
application for export as the ultimate consignee or the party
currently in possession of the items. Provide a complete street
address, P.O. Boxes are not acceptable.
Block 21: Specific End-Use. Provide a complete and detailed
description of the end-use intended by the ultimate consignee and/or
end-user(s). If you are requesting approval of a reexport, provide a
complete and detailed description of the end-use intended by the new
ultimate consignee or end user(s) and indicate any other countries
for which resale or reexport is requested. If additional space is
necessary, use Block 21 on Form BXA-748P-A or B. Be specific, such
vague descriptions as ``research,'' ``manufacturing,'' or
``scientific uses'' are not acceptable.
Block 22: For a license application you must complete each of
the sub-blocks contained in this Block, If you are submitting a
classification request, you need not complete Blocks (e), (f), (g),
and (h). Enter ``N/A'' in these blocks. If you wish to export,
reexport or have BXA classify more than one item, use Form BXA-748P-
A for additional items.
(a) ECCN. Enter the Export Control Classification Number (ECCN)
that corresponds to the item you wish to export or reexport. If you
are asking BXA to classify your item, provide a recommended
classification for the item in this Block.
(b) CTP. You must complete this Block if your application
involves a digital computer or equipment containing a digital
computer as described in Supplement No. 2 to this part.
Instructions on calculating the CTP are contained in a Technical
Note at the end of Category 4 in the CCL. If your application does
not involve these items, insert ``N/A'' in this Block.
(c) Model Number. Enter the correct model number for each item.
(d) CCATS Number. If you have received a classification for this
item from BXA, provide the CCATS number shown on the classification
issued by BXA. Otherwise, enter ``N/A'' in this Block.
(e) Quantity. Identify the quantity to be exported or
reexported, in terms of the ``Units'' identified for the ECCN
entered in Block 21(a). If the ``Unit'' for an item is ``$ value,''
enter the quantity in units commonly used in the trade.
(f) Units. The ``Unit'' paragraph within each ECCN will list a
specific ``Unit'' for those items controlled by the entry. The
``Unit'' must be entered on all license applications submitted to
BXA. If an item is licensed in terms of ``$ value'', the unit of
quantity commonly used in trade must also be shown on the license
application. If the unit for your particular item is shown as ``N/
A'' in the appropriate entry on the CCL, enter ``N/A'' in this
Block.
(g) Unit Price. Provide the fair market value of the items you
wish to export or reexport. Round all prices to the nearest whole
dollar amount. Give the exact unit price only if the value is less
than $0.50. If normal trade practices make it impractical to
establish a firm contract price, state in Block 24 the precise terms
upon which the price is to be ascertained and from which the
contract price may be objectively determined.
(h) Total Price. Provide the total price of the item(s)
described in Block 22(j).
(i) Manufacturer. Provide the name only of the manufacturer, if
known, for each of the items you wish to export, reexport, or have
BXA classify, if different from the applicant.
(j) Technical Description. Provide a description of the item(s)
you wish to export, reexport, or have BXA classify. Provide details
when necessary to identify the specific item(s), include all
characteristics or parameters shown in the applicable ECCN using
measurements identified in the ECCN (e.g., basic ingredients,
composition, electrical parameters, size, gauge, grade, horsepower,
etc.). These characteristics must be identified for the items in the
proposed transaction when they are different than the
characteristics described in promotional brochure(s).
Block 23: Total Application Dollar Value. Enter the total value
of all items contained on the application in U.S. Dollars. The use
of other currencies is not acceptable.
Block 24: Additional Information. Enter additional data
pertinent to the application as required in the EAR. Include special
certifications, names of parties in interest not disclosed
elsewhere, explanation of documents attached, etc. Do not include
information concerning Block 22 in this space.
If your application represents a previously denied application,
you must provide the
[[Page 12823]]
Application Control Number for the original application.
If you are asking BXA to classify your product, use this space
to explain why you believe the ECCN entered in Block 22(a) is
appropriate. This explanation must contain an analysis of the item
in terms of the technical control parameters specified in the
appropriate ECCN. If you do not identify a recommended
classification in Block 22(a), you must state the reason you cannot
determine the appropriate classification, identifying any
ambiguities or deficiencies in the regulations that precluded you
from determining the correct classification.
If additional space is necessary, use Block 24 on Form BXA-748P-
A or B.
Block 25: You, as the applicant or duly authorized agent of the
applicant, must manually sign the application. If you are an agent
of the applicant, in addition to providing your name and title in
this Block you must enter your company's name in Block 24.
Note: Rubber-stamped or electronic signatures are not
acceptable. Type both your name and title in the spaces provided.
Supplement No. 2 to Part 748--Unique License Application
Requirements
In addition to the instructions contained in Supplement No. 1 to
part 748, you must also ensure that the additional requirements for
certain items or types of transactions described in this supplement
are addressed in your license application. All other blocks not
specifically identified in this supplement must be completed in
accordance with the instructions contained in Supplement No. 1 to
part 748. The term ``Block'' used in this supplement relates to Form
BXA-748P, unless otherwise noted.
(a) Chemicals, medicinals, and pharmaceuticals. If you are
submitting a license application for the export or reexport of
chemicals, medicinals, and/or pharmaceuticals, the following
information must be provided in Block 22.
(1) Facts relating to the grade, form, concentration,
mixture(s), or ingredients as may be necessary to identify the item
accurately, and;
(2) The Chemical Abstract Service Registry (C.A.S.) numbers, if
they exist, must be identified.
(b) Communications intercepting devices. If you are required to
submit a license application under Sec. 742.13 of this part, you
must enter the words ``Communications Intercepting Device(s)'' in
Block 9. The item you are requesting to export or reexport must be
specified by name in Block 22(j).
(c) Digital computers, telecommunications, and related
equipment. If your license application involves items controlled by
both Category 4 and Category 5, your license application must be
submitted according to the principal function of the equipment.
License applications involving computers controlled by Category 4
must identify a Composite Theoretical Performance (CTP) in Block
22(b). If the principal function is telecommunications, a CTP is not
required. Computers, related equipment, or software performing
telecommunication or local area network functions will be evaluated
against the telecommunications performance characteristics of
Category 5, while cryptographic, cryptoanalytic, certifiable multi-
level security or certifiable user isolation functions, or systems
that limit electromagnetic compatibility (EMC) will be evaluated
against the information security performance characteristics of
Category 5.
(1) Requirements for license applications involving digital
computers. If you are submitting a license application to export or
reexport ``digital computers'' or equipment containing digital
computers to destinations in Country Group D:1 (See Supplement No. 1
to part 740 of the EAR), or to upgrade existing ``digital computer''
installations in those countries, you must include in addition to
the CTP in Block 22(b) the following information:
(i) A configuration diagram of the entire system must be
submitted if the equipment exceeds the limits of the Advisory Notes
that indicate a likelihood of approval for Country Group D:1 for the
appropriate ECCN in the Commerce Control List (CCL); and
(ii) Technical specifications and product brochures to
corroborate the data supplied in your license application.
(2) Additional requirements. License applications to export or
reexport computers or related equipment that are described in
Advisory Note 4 to Category 4, or that exceed any of the limits
specified in Advisory Notes 3 or 4 to Category 4, must include:
(i) A signed statement by a responsible representative of the
end-user or the importing agency describing the end-use and
certifying that the ``digital'' computers or related equipment:
(A) Will be used only for civil applications; and
(B) Will not be reexported or otherwise disposed of without
prior written authorization from BXA;
(ii) A full description of the equipment and its intended
application and workload; and
(iii) A complete identification of all end-users and their
activities.
(d) Gift parcels; consolidated in a single shipment. If you are
submitting a license application to export multiple gift parcels for
delivery to individuals residing in a foreign country, you must
include the following information in your license application. Note:
Each gift parcel must meet the terms and conditions described in
License Exception GFT (See Sec. 740.16 of the EAR).
(1) In Block 16, enter the word ``None'';
(2) In Block 18, enter the word ``Various'' instead of the name
and address of a single ultimate consignee;
(3) In Block 21, enter the phrase ``For personal use by
recipients''.
(4) In Block 22(e), indicate a reasonable estimate of the number
of parcels to be shipped during the validity of the license;
(5) In Block 22(j), enter the phrase ``Gift Parcels'';
(6) In Block 23, indicate a reasonable value approximation
proportionate to the quantity of gift parcels identified in Block
22(e); and
(e) Intransit through the United States. If you are submitting a
license application for items moving intransit through the United
States that do not qualify for License Exception TUS (See Sec. 740.9
of the EAR), you must provide the following information with your
license application:
(1) In Block 9, enter the phrase ``Intransit Shipment'';
(2) In Block 24, enter the name and address of the foreign
consignor who shipped the items to the United States and state the
origin of the shipment;
(3) Any available evidence showing the approval or acquiescence
of the exporting country (or the country of which the exporter is a
resident) for shipments to the proposed ultimate destination. Such
evidence may be in the form of a Transit Authorization Certificate;
and
(4) Any support documentation required by Sec. 748.9 of this
part for the country of ultimate destination.
(f) Intransit outside of the United States. If you are
submitting a license application based on General Prohibition No. 8
stated in Sec. 734.2(b)(8) of the EAR and identification of the
intermediate consignee in the country of unlading or transit is
unknown at the time the license application is submitted, the
country of unlading or transit must be shown in Block 17.
(g) Nuclear Nonproliferation items and end-uses.--(1) Statement
requirement. If a license is required to export or reexport items
under Sec. 744.2 of the EAR, prior to submitting a license
application you must obtain a signed written statement from the
foreign importer certifying the following:
(i) The items to be exported or replicas thereof (``replicas''
refers to items produced abroad based on physical examination of the
item originally exported, matching it in all critical design and
performance parameters), will not be used in any of the activities
described in Sec. 744.2(a) of the EAR; and
(ii) Written authorization will be obtained from the BXA prior
to reexporting the items, unless they are destined to Canada or
would be eligible for export from the United States to the new
country of destination under NLR based on Country Chart NP Column 1.
(2) License application requirements. Along with the required
certification, you must include the following information in your
license application:
(i) In Block 6, place an (X) in the box titled ``Nuclear
Certification'';
(ii) In Block 9, enter the phrase ``NUCLEAR CONTROLS'';
(iii) In Block 21, provide, if known, the specific geographic
locations of any installations, establishments, or sites at which
the items will be used;
(iv) In Block 22(j), if applicable, include a description of any
specific features of design or specific modifications that make the
item capable of nuclear explosive activities, or of safeguarded or
unsafeguarded nuclear activities as described in Sec. 744.2(a)(3) of
the EAR; and
(v) In Block 24, if your license application is being submitted
because you know that your transaction involves a nuclear end-use
described in Sec. 744.2 of the EAR, you must fully explain the basis
for your knowledge that the items are intended for the purpose(s)
described Sec. 744.2 of the EAR. Indicate, if possible, the specific
end-use(s) the items will have in designing, developing,
[[Page 12824]]
fabricating, or testing nuclear weapons or nuclear explosive devices
or in designing, constructing, fabricating, or operating the
facilities described in Sec. 744.2(a)(3) of the EAR.
(h) Numerical control devices, motion control boards,
numerically controlled machine tools, dimensional inspection
machines, direct numerical control systems, specially designed
assemblies and specially designed software. (1) If you are
submitting a license application to export, reexport, or request BXA
to classify numerical control devices, motion control boards,
numerically controlled machine tools, dimensional inspection
machines, and specially designed software you must include the
following information in your license application:
(i) For numerical control devices and motion control boards:
(A) Make and model number of the control unit;
(B) Description and internal configuration of numerical control
device. If the device is a computer with motion control board(s),
then include the make and model number of the computer;
(C) Description of the manner in which a computer will be
connected to the CNC unit for on-line processing of CAD data.
Specify the make and model of the computer;
(D) Number of axes the control unit is capable of simultaneously
controlling in a coordinated contouring mode, and type of
interpolation (linear, circular, and other);
(E) Minimum programmable increment;
(F) A description and an itemized list of all software/firmware
to be supplied with the control device or motion control board,
including software/firmware for axis interpolation function and for
any programmable control unit or device to be supplied with the
control unit;
(G) Description of capabilities related to ``real time
processing'' and receiving computer aided-design as described in
ECCN 2B001.a.2.a and a.2.b and ECCN 2B001.b.2 and b.3;
(H) A description of capability to accept additional boards or
software that would permit an upgrade of the electronic device or
motion control board above the control levels specified in ECCN
2B001; and
(I) Specify if the electronic device has been downgraded, and if
so can it be upgraded in future.
(ii) For numerically controlled machine tools and dimensional
inspection machines:
(A) Name and model number of machine tool or dimensional
inspection machine;
(B) Type of equipment, e.g., horizontal boring machine,
machining center, dimensional inspection machine, turning center,
water jet, etc.;
(C) Description of the linear and rotary axes capable of being
simultaneously controlled in a coordinated contouring mode,
regardless of the fact that the coordinated movement of the machine
axis may be limited by the numerical control unit supplied by the
machine tool;
(D) Maximum workpiece diameter for cylindrical grinding
machines;
(E) Motion (camming) of the spindle axis measured in the axial
direction in one revolution of the spindle, and a description of the
method of measurement for turning machine tools only;
(F) Motion (run out) of the spindle axis measured in the radial
direction in one revolution of the spindle, and a description of the
method of measurement;
(G) Overall positioning accuracy in each axis, and a description
of the method for measurement; and
(H) Slide motion test results if required as described in ECCN
2B001.c.1.b.6.
(i) Parts, components, and materials incorporated abroad into
foreign-made products. BXA will consider license applications to
export or reexport to multiple consignees or multiple countries when
an application is required for foreign produced direct product
containing parts and components subject to the EAR in Sec. 732.4(b)
of the EAR and to General Prohibition Two stated in Sec. 734.2(b)(2)
of the EAR. Such requests will not be approved for countries listed
in Country Group E:2 (See Supplement No. 1 to part 740 of the EAR),
and may be approved only in limited circumstances for countries
listed in Country Group D:1.
(1) License applications for the export of parts and components.
If you are submitting a license application for the export of parts,
components, or materials to be incorporated abroad into products
that will then be sent to designated third countries, you must enter
in Block 21, a description of end-use including a general
description of the commodities to be manufactured, their typical
end-use, and the countries where those commodities will be marketed.
The countries may be listed specifically or may be identified by
Country Groups, geographic areas, etc.
(2) License applications for the reexport of incorporated parts
and components. If you are submitting a license application for the
reexport of parts, components, or materials incorporated abroad into
products that will be sent to designated third countries you must
include the following information in your license application:
(i) In Block 9, enter the phrase ``Parts and Components'';
(ii) In Block 18, enter the name, street address, city and
country of the foreign party who will be receiving the foreign-made
product. If you are requesting approval for multiple countries or
consignees enter ``Various'' in Block 18, and list the specific
countries, Country Groups, or geographic areas in Block 24;
(iii) In Block 20, enter the name, street address, city, and
country of the foreign party who will be exporting the foreign-made
product incorporating U.S. origin parts, components or materials;
(iv) In Block 21, describe the activity of the ultimate
consignee identified in Block 18 and the end-use of the foreign-made
product. Indicate the final configuration if the product is intended
to be incorporated in a larger system. If the end-use is unknown,
state ``unknown'' and describe the general activities of the end-
user;
(v) In Block 22(e), specify the quantity for each foreign-made
product. If this information is unknown, enter ``Unknown'' in Block
22(e);
(vi) In Block 22(h), enter the digit ``0'' for each foreign-made
product;
(vii) In Block 22(j), describe the foreign-made product that
will be exported, specifying type and model or part number. Attach
brochures or specifications, if available. Show as part of the
description the unit value, in U.S. dollars, of the foreign-made
product (if more than one foreign-made product is listed on the
license application, specify the unit value for each type/model/part
number). Also include a description of the U.S. content (including
the applicable Export Control Classification Number(s)) and its
value in U.S. dollars. If more than one foreign-made product is
identified on the license application, describe the U.S. content and
specify the U.S. content value for each foreign-made product. Also,
provide sufficient supporting information to explain the basis for
the stated values. To the extent possible, explain how much of the
value of the foreign-made product represents foreign origin parts,
components, or materials, as opposed to labor, overhead, etc. When
the U.S. content varies and cannot be specified in advance, provide
a range of percentage and value that would indicate the minimum and
maximum U.S. content;
(viii) Include separately in Block 22(j) a description of any
U.S. origin spare parts to be reexported with the foreign-made
product, if they exceed the amount allowed by Sec. 740.10 of the
EAR. Enter the quantity, if appropriate, in Block 22(e). Enter the
ECCN for the spare parts in Block 22(a) and enter the value of the
spare parts in Block 22(h);
(ix) In Block 23, enter the digit ``0'';
(x) If the foreign-made product is the direct product of U.S.
origin technology that was exported or reexported subject to written
assurance, a request for waiver of that assurance, if necessary, may
be made in Block 24. If U.S. origin technology will accompany a
shipment to a country listed in Country Group D:1 or E:2 (see
Supplement No. 1 to part 740 of the EAR) describe in Block 24 the
type of technology and how it will be used.
(j) Ship stores, plane stores, supplies, and equipment.--(1)
Vessels under construction. If you are submitting a license
application for the export or reexport of items, including ship
stores, supplies, and equipment, to a vessel under construction you
must include the following information in your license application:
(i) In Block 18, enter the name, street address, city, and
country of the shipyard where vessel is being constructed;
(ii) In Block 22(j), state the length of the vessel for a vessel
under 12 m (40 ft) in length. For a vessel 12 m (40 ft) in length or
over, provide the following information (if this information is
unknown, enter ``Unknown'' in this Block):
(A) Hull number and name of vessel;
(B) Type of vessel;
(C) Name and business address of prospective owner, and the
prospective owner's nationality; and
(D) Country of registry or intended country of registry.
(2) Aircraft under construction. If you are submitting a license
application for the export or reexport of items, including plane
stores, supplies, and equipment, to an aircraft under construction
you must include the
[[Page 12825]]
following information in your license application:
(i) In Block 18, enter the name and address of the plant where
the aircraft is being constructed;
(ii) In Block 22(j), enter the following information (if this
information is unknown, enter ``Unknown'' in this Block):
(A) Type of aircraft and model number;
(B) Name and business address of prospective owner and his
nationality; and
(C) Country of registry or intended country of registry.
(3) Operating vessels and aircraft. If you are submitting a
license application for the export or reexport of items, including
ship or plane stores, supplies, and equipment to an operating vessel
or aircraft, whether in operation or being repaired, you must
include the following information in your license application:
(i) In Block 18, enter the name of the owner, the name of the
vessel, if applicable, and port or point where the items will be
taken aboard;
(ii) In Block 18, enter the following statement if, at the time
of filing the license application, it is uncertain where the vessel
or aircraft will take on the items, but it is known that the items
will not be shipped to a country listed in Country Group D:1 or E:2
(see Supplement No. 1 to part 740 of the EAR):
Uncertain; however, shipment(s) will not be made to Country
Groups D:1 or E:2.
(iii) Provide information as described in paragraph (j)(1)(ii)
of this supplement for vessels or information contained in paragraph
(j)(2)(ii) of this supplement for aircraft.
(k) Regional stability controlled items. If you are submitting a
license application for the export or reexport of items controlled
for regional stability reasons and subject to licensing under RS
Column 1 on the Country Chart, your license application must be
accompanied by full technical specifications.
(l) Reexports. If you know that an item that requires a license
to be exported from the United States to a certain foreign
destination will be reexported to a third destination also requiring
approval, such a request must be included on the license
application. The license application must specify the country to
which the reexport will be made in Block 24. If the export does not
require a license but the reexport does, you may apply for a license
for the reexport, or you may export without a license and notify the
consignee of the requirement to seek a license to reexport.
(m) Robots. If you are submitting a license application for the
export or reexport of items controlled by ECCNs 2B007 or 2D001
(including robots, robot controllers, end-effectors, or related
software) the following information must be provided in Block 24:
(1) Specify if the robot is equipped with a vision system and
its make, type, and model number;
(2) Specify if the robot is specially designed to comply with
national safety standards for explosive munitions environments;
(3) Specify if the robot is specially designed for outdoor
applications and if it meets military specifications for those
applications;
(4) Specify if the robot is specially designed for operating in
an electro-magnetic pulse (EMP) environment;
(5) Specify if the robot is specially designed or rated as
radiation-hardened beyond that necessary to withstand normal
industrial (i.e., non-nuclear industry) ionizing radiation, and its
rating in grays (Silicon);
(6) Describe the robot's capability of using sensors, image
processing or scene analysis to generate or to modify robot program
instructions or data;
(7) Describe the manner in which the robot may be used in
nuclear industry/manufacturing; and
(8) Specify if the robot controllers, end-effectors, or software
are specially designed for robots controlled by ECCN 2B007, and why.
(n) Short Supply controlled items. If you are submitting a
license application for the export of items controlled for short
supply reasons, you must consult part 754 of the EAR for
instructions on preparing your license application.
(o) Technology--(1) License application instructions. If you are
submitting a license application for the export or reexport of
technology you must check the box labeled ``Letter of Explanation''
in Block 6, enter the word ``Technology'' in Block 9, leave Blocks
22(e) and (i) blank, and include a general statement that specifies
the technology (e.g., blueprints, manuals, etc.) in Block 22(j).
(2) Letter of explanation. Each license application to export or
reexport technology must be supported by a comprehensive letter of
explanation. This letter must describe all the facts for a complete
disclosure of the transaction including, if applicable, the
following information:
(i) The identities of all parties to the transaction;
(ii) The exact project location where the technology will be
used;
(iii) The type of technology to be exported or reexported;
(iv) The form in which the export or reexport will be made;
(v) The uses for which the data will be employed;
(vi) An explanation of the process, product, size, and output
capacity of all items to be produced with the technology, if
applicable, or other description that delineates, defines, and
limits the data to be transmitted (the ``technical scope''); and
(vii) The availability abroad of comparable foreign technology.
(3) Special provisions.
(i) Technology controlled for national security reasons. If you
are submitting a license application to export technology controlled
for national security reasons to a country not listed in Country
Group D:1 or E:2 (see Supplement No. 1 to part 740 of the EAR), you
must obtain a written letter from the ultimate consignee assuring
that, unless prior authorization is obtained from BXA, the consignee
will not knowingly reexport the technology to any destination, or
export the direct product of the technology to a country listed in
Country Group D:1 or E:2 (See Supplement No. 1 to part 740 of the
EAR). If you are unable to obtain this letter of assurance from your
consignee, you must state in your license application why the
assurances could not be obtained.
(ii) Maritime nuclear propulsion plants and related items. If
you are submitting a license application to export or reexport
technology relating to maritime nuclear propulsion plants and
related items including maritime (civil) nuclear propulsion plants,
their land prototypes, and special facilities for their
construction, support, or maintenance, including any machinery,
device, component, or equipment specifically developed or designed
for use in such plants or facilities you must include the following
information in your license application:
(A) A description of the foreign project for which the
technology will be furnished;
(B) A description of the scope of the proposed services to be
offered by the applicant, his consultant(s), and his
subcontractor(s), including all the design data that will be
disclosed;
(C) The names, addresses and titles of all personnel of the
applicant, the applicant's consultant(s) and subcontractor(s) who
will discuss or disclose the technology or be involved in the design
or development of the technology;
(D) The beginning and termination dates of the period of time
during which the technology will be discussed or disclosed and a
proposed time schedule of the reports the applicant will submit to
BXA, detailing the technology discussed or disclosed during the
period of the license;
(E) The following certification:
I (We) certify that if this license application is approved, I
(we) and any consultants, subcontractors, or other persons employed
or retained by us in connection with the project licensed will not
discuss with or disclose to others, directly or indirectly, any
technology relating to U.S. naval nuclear propulsion plants. I (We)
further certify that I (we) will furnish to the Bureau of Export
Administration all reports and information it may require concerning
specific transmittals or disclosures of technology under any license
granted as a result of this license application.
(F) A statement of the steps that you will take to assure that
personnel of the applicant, the applicant's consultant(s) and
subcontractor(s) will not discuss or disclose to others technology
relating to U.S. naval nuclear propulsion plants; and
(G) A written statement of assurance from the foreign importer
as described in paragraph (o)(3)(i) of this Supplement.
(p) Temporary exports or reexports. If you are submitting a
license application for the temporary export or reexport of an item
(not eligible for License Exception TMP (See Sec. 740.8 of the EAR))
you must include the following certification in Block 24:
The items described on this license application are to be
temporarily exported (or reexported) for (state the purpose e.g.,
demonstration, testing, exhibition, etc.), used solely for the
purpose authorized, and returned to the United States (or
originating country) as soon as the temporary purpose has ended, but
in no case later than one year of the date of export (or reexport),
unless other disposition has been authorized in
[[Page 12826]]
writing by the Bureau of Export Administration.
Supplement No. 3 to Part 748--BXA-711, Statement by Ultimate Consignee
and Purchaser Instructions
All information must be typed or legibly printed in each
appropriate Block or Box.
Block 1: Ultimate Consignee. The Ultimate Consignee must be the
person abroad who is actually to receive the material for the
disposition stated in Block 2. A bank, freight forwarder, forwarding
agent, or other intermediary is not acceptable as the Ultimate
Consignee.
Block 2: Disposition or Use of Items by Ultimate Consignee named
in Block 1. Place an (X) in ``A.,'' ``B.,'' ``C.,'' ``D.,'' and
``E.,'' as appropriate, and fill in the required information.
Block 3: Nature of Business of Ultimate Consignee named in Block
1. Complete both ``A'' and ``B''.
Possible choices for ``A'' include: broker, distributor,
fabricator, manufacturer, wholesaler, retailer, value added
reseller, original equipment manufacturer, etc.
Possible choices for ``B'' include: contractual, franchise,
distributor, wholesaler, continuing and regular individual business,
etc.
Block 4: Additional Information. Provide any other information
not appearing elsewhere on the form such as other parties to the
transaction, and any other material facts that may be of value in
considering license applications supported by this statement.
Block 5: Assistance in Preparing Statement. Name all persons,
other than employees of the ultimate consignee or purchaser, who
assisted in the preparation of this form.
Block 6: Ultimate Consignee. Enter the requested information and
sign the statement in ink. (For a definition of ultimate consignee,
see Sec. 748.5(e) of this part.)
Block 7: Purchaser. This form must be signed in ink by the
Purchaser, if the Purchaser is not the same as the Ultimate
Consignee identified in Block 1. (For a definition of purchaser, see
Sec. 748.5(c) of this part.)
Block 8: Certification for U.S. Exporter. This Block must be
completed to certify that no correction, addition, or alteration on
this form was made subsequent to the signing by the Ultimate
Consignee in Block 6 and Purchaser in Block 7.
Supplement No. 4 To Part 748--Authorities Administering Import
Certificate/Delivery Verification (IC/DV) and End Use Certificate
Systems in Foreign Countries
----------------------------------------------------------------------------------------------------------------
Country IC/DV Authorities System administered
----------------------------------------------------------------------------------------------------------------
Argentina........................... Secretaria Ejecutiva de la Comision Nacional de IC/DV.
Control de Exportaciones Sensitivas y Material
Belico Balcarce 362--ler. piso Capital
Federal--CP 1064 Buenos Aires Tel. 334-0738,
Fax 331-1618.
Australia........................... Director, Technology Transfer and Analysis, IC/DV.
Industry Policy and Operations Division,
Department of Defense, Russell Office,
Canberra, A.C.T. 2600.
Austria............................. Bundesministerium fur Handel Gewerbe und IC/DV.
Industrie Landstr. Haupstr. 55-57, Vienna 1031.
Belgium............................. Ministere Des Affaires Economiques Office IC/DV.
Central des Contingents et Licences 24-26 Rue
De Mot, Bruxelles-1040.
Bulgaria............................ Ministry of Trade 12 Al. Batenberg 1000 Sofia.. IC/DV.
China, People's Republic of......... Technology Import and Export Department MOFTEC PRC End-User
No. 2 Dong Chang An Street Beijing, Telephone: Certificate.
553031, Telex: 22478 MFERTCN.
Czech Republic...................... Federal Ministry of Foreign Trade Head of IC/DV.
Licensing Politickych Veznu 20 112 49 Praha 1.
Denmark............................. Handelsministeriets Licenskontor Kampmannsgade IC/DV.
1, DK 1604, Copenhagen V.
IC's also issued by Danmarks Nationalbank DV.
Holmens Kanal 17, Copenhagen K Custom-houses.
Finland............................. Hensingin Piiritullikamari, Kanavakatu 6 (or IC/DV.
P.O. Box 168) 00161 Helsinki.
France.............................. Ministere de l'Economie et des Finances IC/DV.
Direction Generale des Douanes et Droita
Indirects Division des Affaires Juridiques et
Contentieuses 8, Rue de la Tour des Dames,
Bureau D/3, 75436, Paris Codex 09.
Germany............................. Bundesamt fur gewerbliche Wirtschaft IC/DV.
Frankfurter Strasse 29-31 65760 Eschborn.
Greece.............................. Banque de Greece, Direction des Transactions IC/DV.
Commerciales avec l'Etranger Athens.
Hong Kong........................... Trade Department, Ocean Centre, Canton Road, IC/DV.
Tsimshatsui, Kowloon,.
Hungary............................. Ministry of International Economic Relations IC/DV.
Export Control Office 1054 Budapest P.O. Box
728 H-1365, Hold Str. 17.
India............................... Deputy Director General of Foreign Trade Udyog Indian IC.
Bhawan, Maulana Azad Road New Delhi 11011.
For small scale industries and entities, and those not elsewhere specified.
Directorate General of Technical Development, Indian IC
Udyog Bhawan, Maulana Azad Road, New Delhi
11011.
For the ``organized'' sector, except for computers and related equipment.
Defense Research and Development Organization Indian IC.
Room No. 224, ``B'' Wing Sena Bhawan, New
Delhi 110011.
For Defense organizations.
Department of Electronics, Lok Nayak Bhawan, Indian IC.
New Delhi 110003.
For computers and related electronic items.
Assistant Director, Embassy of India, Commerce Indian IC.
Wing, 2536 Massachusetts Ave. NW, Washington
D.C. 20008--.
For any of the above.
Ireland, Republic of................ Department of Industry, Trade, Commerce and IC/DV.
Tourism, Frederick House, South Frederick
Street, Dublin 2.
Italy............................... Ministero del Commercio con l'Estero Direzione IC/DV.
Generale delle Importazioni e delle
Esportazioni, Div. III, Rome Dogana Italiana
(of the town import where takes place).
[[Page 12827]]
Japan............................... Ministered of International Trade and Industry IC/DV.
in: Fukuoka, Hiroshima, Kanmon (Kitakyushu-
shi), Kobe, Nagoya, Osaka, Sapporo, Sendai,
Shikoku (Takamatsu-shi), Shimizu, Tokyo, and
Yokohama Japanese Customs Offices.
Korea, Republic of.................. Trade Administration Division Trade Bureau IC.
Ministry of Trade and Industry Jungang-Dong,
Kyonggi-Do, Building 3 Kwachon.
Republic of Korea Customs House................ DV.
Liechtenstein....................... Swiss Federal Office for Foreign Economic IC/DV.
Affairs, Import and Export Division
Zieglerstrasse 30, CH-3003 Bern.
Luxembourg.......................... Office des Licences Avenue de la Liberte, 10... IC/DV.
Netherlands......................... Centrale Dienst voor In-en Uitvoer Engelse Kamp IC/DV.
2, Groningen.
New Zealand......................... Comptroller for Customs P.O. Box 2218, IC/DV.
Wellington.
Norway.............................. Handelsdepartmentet Direktoratet for Eksport-og- IC/DV.
Importregulering Fr. Nansens plass 5, Oslo.
Pakistan............................ Chief Controller of Imports and Exports 5, IC.
Civic Center Islamabad.
Joint Science Advisor, Ministry of Science and DV.
Technology, Secretariat Block `S', Islamabad.
Poland.............................. Ministry of Foreign Economic Relations IC/DV.
Department of Commodities and Services Plac
Trzech Krzyzy 5, Room 358 00-507 Warsaw.
Portugal............................ Reparticao do Comercio Externo Direccao-Geral IC/DV.
do Comercio Secretaria de Estado do Comercio
Ministerio da Economia, Lisbon.
Romania............................. National Agency for Control of Strategic IC/DV.
Exports and Prohibition of Chemical Weapons,
13, Calea 13 Septembrie Casa (or P.O. Box 5-
10) Republicii, Gate A 1, Bucharest, Sector 5,
Phone: 401-311-2083, Fax: 401-311-1265.
Singapore........................... Controller of Imports and Exports, Trade IC/DV.
Development Board World Trade Centre, 1
Maritime Square, Telok Blangah Road,.
Slovakia............................ Ministry of Foreign Affairs Licensing- IC.
Registration Department Spitalska 8, 813 15
Bratislava.
Spain............................... Secretary of State for Commerce Paseo la IC/DV.
Cistellana 162, Madrid 28046.
Sweden.............................. The Association of Swedish Chambers of Commerce IC/DV.
& Industry P.O. Box 16050, S-103 22 Stockholm
Office: Vastra Tradgardsgatan 9.
Switzerland......................... Swiss Federal Office for Foreign Economic IC/DV.
Affairs, Import and Export Division,
Zieglerstrasse 30 CH-3003 Bern.
Taiwan.............................. Board of Foreign Trade Ministry of Economic IC/DV.
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, Department of Foreign IC.
Commerce, Ankara.
Head Customs Office at the point of entry...... DV.
United Kingdom...................... Department of Trade and Industry Export IC.
Licensing Branch Millbank Tower Millbank
London, SW1P 4QU.
H.M. Customs and Excise, King's Beam House, DV
Mark Lane London, E.C. 3.
----------------------------------------------------------------------------------------------------------------
Supplement No. 5 to Part 748--U.S. Import Certificate and Delivery
Verification Procedure
The United States participates in an Import Certificate/Delivery
Verification procedure. Under this procedure, U.S. importers are
sometimes required to provide their foreign suppliers with an U.S.
International Import Certificate that is validated by the U.S.
Government. This certificate tells the government of the exporter's
country that the items covered by the certificate will be imported
into the U.S. Economy and will not be reexported except as
authorized by U.S. export control regulations. In addition, in some
cases, the exporter's government may require a delivery
verification. Under this procedure, the U.S. Customs Service
validates a certificate confirming that the items have entered the
U.S. economy. The U.S. importer must return this certificate to the
foreign exporter.
This supplement establishes the procedures and requirements of
BXA with respect to both of these programs. Paragraph (a) of this
Supplement contains the requirements and procedures of the U.S.
International Import Certificate procedure. Paragraph (b) of this
Supplement contains the requirements and procedures of the Delivery
Verification procedure.
(a) U.S. International Import Certificates. If you are a U.S.
importer, a foreign supplier may request you to obtain a U.S. import
certificate. The reason for this request is that the exporter's
government requires a U.S. import certificate as a condition to
issuing an export license. To obtain such a certificate you will
have to fill in and execute the U.S. International Import
Certificate form (Form BXA-645P/ATF-4522/DSP-53) and submit it to
the U.S. government agency that has jurisdiction over the items you
are importing. In doing so, you will be making a representation to
the United States Government that you will import the items
described in the certificate into the United States or if not so
imported, you will not divert, transship or reexport them to another
destination with the explicit approval of the U.S. government agency
that has jurisdiction over those items. (Representations that items
will be entered into the U.S. do not preclude the temporary
unloading of items in a foreign trade zone for subsequent entry into
the economy of the U.S.) If the items described in the certificate
are subject to U.S. Department of Commerce jurisdiction, the
Department will validate the certificate and return it to you. You
may then send the certificate to your foreign supplier. In this way
the government of the exporting country is assured that the items
will become subject to the export control laws of the United States.
(1) Items for which the U.S. Department of Commerce issues U.S.
International Import Certificates and forms to use. The Department
of Commerce issues U.S. International Import Certificates for the
following types of items.
(i) Items controlled for National Security reasons. Items under
the export licensing jurisdiction of BXA that are identified as
controlled for national security reasons on the Commerce Control
List (Supplement No. 1 to part 774 of the EAR). You will need to
submit in triplicate a completed Form BXA-645P/ATF-4522/DSP-53;
(ii) Nuclear equipment and materials. Items subject to the
export licensing jurisdiction of the Nuclear Regulatory Commission
for nuclear equipment and materials. (see 10 CFR part 110). You will
need to submit in quadruplicate a completed Form BXA-645P/ATF-4522/
DSP-53; and
(iii) Munitions Items. Items listed on the U.S. Munitions List
(see 22 CFR part 121) that do not appear on the more limited U.S.
[[Page 12828]]
Munitions Import List (27 CFR 47.21). You will need to submit in
triplicate a completed Form BXA-645P. For triangular transactions
(See paragraph (a)(5) of this Supplement) involving items on the
U.S. Munitions List, you must contact the Department of State,
Office of Defense Trade Controls and use Form BXA-645P/ATF-4522/DSP-
53. You should contact the Treasury Department, Bureau of Alcohol,
Tobacco and Firearms for items appearing on the U.S. Munitions
Import List. You will need to use Form ATF-4522.
(2) Where to submit forms. U.S. International Import
Certificates and requests to amend certificates may be presented for
validation either in person or by mail at the following locations.
(i) By mail to the Bureau of Export Administration, P.O. Box
273, Washington D.C. 20044, Attn: Import Certificate Request; or
(ii) In person or by mail at one of the following Department of
Commerce U.S. and Foreign Commercial Service District Offices:
Boston, 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 Certificate validity periods. The
U.S. International Import Certificate must be submitted to the
foreign government within six months from the date of certification
by the U.S. Department of Commerce. The expiration of this six-month
period in no way affects the responsibility of the importer to
fulfill the commitments made in obtaining the certificate. If the
certificate is not presented to the government of the exporting
country before the expiration of its validity period, the exporter
must apply for a new certificate. The original unused U.S.
International Import Certificate must be returned to BXA at the
address specified in paragraph (a)(2)(i) of this supplement.
(4) Statements on the certificate or amendments are
representations to the U.S. Government which continue in effect.
(i) All statements and representations made in a U.S.
International Import Certificate or an amendment thereto, will be
deemed to be continuing in nature until the transaction described in
the certificate is completed and the items are delivered into the
economy of the importing country.
(ii) Any change of fact or intention in regard to the
transaction described in the certificate shall be promptly disclosed
to BXA by the U.S. importer by presentation of an amended
certificate. The amended certificate must describe all of the
changes and be accompanied by the original certificate bearing the
certification of BXA. If the original certificate has been
transferred to the foreign exporter, you must, where possible,
attempt to obtain the original certificate prior to applying for an
amendment. If the original certificate is unobtainable because the
foreign exporter has submitted it to the appropriate foreign
government, or for any other reason, then you must submit a written
statement with your amendment giving the reasons for your failure to
submit the original certificate.
(5) Certificates for Triangular transaction (items will not
enter the U.S. or applicant is not sure that they will enter the
United States).
(i) In accordance with international practice, BXA will, upon
request, stamp the certificate with a triangular symbol as
notification to the government of the exporting country that the
U.S. importer is uncertain whether the items will be imported into
the U. S. or knows that the items will not be imported into the
U.S., but that, in any case, the items will not be delivered to any
other destination except in accordance with the EAR.
(ii) The triangular symbol on a certificate U.S. International
Import Certificate is not, in and of itself, an approval by BXA to
transfer or sell items to a foreign consignee. Note that a
triangular Certificate will not be issued covering foreign excess
property sold abroad by the U.S. Department of Defense.
(6) Approval to export items to a foreign consignee prior to
delivery under a U.S. International Import Certificate. The written
approval of BXA is required before items covered by a U.S.
International Import Certificate (whether or not bearing a
triangular symbol) may be shipped to a destination other than the
U.S. or Canada or sold to a foreign purchaser, and before title to
or possession of such items may be transferred to a foreign
transferee. This requirement does not apply after the items have
been delivered in accordance with the undertaking set forth in the
Certificate or if at the time of such shipment, sale, passage of
possession or passage of title, a License Exception or a NLR
provision of the EAR would authorize the transaction.
(i) If prior approval is required, a letter requesting
authorization to release the shipment shall be submitted to BXA at
the address listed in paragraph (a)(2)(i) of this supplement.
(ii) The letter must contain the certificate number; date
issued; location of the issuing office; names, addresses, and
identities of all parties to the complete transaction; and the
quantity, dollar value, and description of the items. The letter
must be accompanied by the U.S. International Import Certificate,
and all other documentation required by the EAR for the item and
country of ultimate destination, as identified in part 748 of the
EAR. If requirements stated in part 748 of the EAR do not apply to
your transaction, you must identify the intended end-use of the
items in your letter.
(iii) Where the letter request is approved and is supported by a
foreign import certificate, no further approval from BXA is required
for the purchaser or transferee to resell or again transfer the
items. However, where BXA approves a request that was not supported
by a foreign import certificate, the person to whom approval is
granted is required to inform the purchaser or transferee, in
writing, that the items are to be shipped to the approved
destination only and that no other disposition of the items is
permitted without the approval of BXA.
(iv) If the transaction is approved, a validated letter of
approval will be sent to the U.S. purchaser for retention in his
records. Where a DV or other official government confirmation of
delivery is required, the letter will so indicate.
(v) If the items covered by a certificate have been imported
into a destination other than the U.S. and the foreign exporter of
the items requests a Delivery Verification, the person who obtained
the certificate must obtain a DV from the person to whom the items
were delivered in the actual importing country. (If a DV is
unobtainable, other official government confirmation of delivery
must be obtained.) The DV or other official government confirmation
of delivery must be submitted to BXA together with an explanatory
letter giving the U.S. International Import Certificate number, date
issued, and location of issuing office. BXA will then issue Form
ITA-6008, Delivery Compliance Notice, in two copies, the original of
which must be forwarded to the country of origin in order to serve
as evidence to the exporting country that the requirements of the
U.S. Government have been satisfied with respect to delivery of the
items.
(vi) Delivery, sale, or transfer of items to another U.S.
purchaser.
(A) Items covered by a U.S. International Import Certificate may
not be sold, and title to or possession of such items may not be
transferred, to another U.S. purchaser or transferee before the
items are delivered to the U.S. (or to an approved foreign
destination, as provided by paragraph (a)(5) of this Supplement),
except in accordance with the provisions described in paragraph
(a)(6) of this Supplement. The provisions of this paragraph do not
apply after the items have been delivered in accordance with the
undertaking set forth in the certificate.
(B) Resale or transfer to another U.S. purchaser or transferee
requires the prior approval of BXA only in cases where the buyer or
transferee is listed in Supplement No. 1 to part 766 of the EAR.
However, you, as the person who obtained the certificate are
required to notify BXA of any change in facts or intentions relating
to the transaction, and in all cases you will be held responsible
for the delivery of the items in accordance with the EAR. You are
required in all cases to secure, prior to sale or transfer, and to
retain in your files in accordance with the recordkeeping provisions
contained in part 762 of the EAR, written acceptance by the
purchaser or transferee of:
(1) All obligations undertaken by, and imposed under the EAR,
upon the holder of the certificate; and
[[Page 12829]]
(2) An undertaking that all subsequent sales or transfers will
be made subject to the same conditions.
(iii) The responsibility of the certificate holder for obtaining