How to use version annotated by Exports International USA, LLC (EIL annotations updated as of Jan 6, 2014) Export Administration Regulations Bureau of Industry and Security October 15, 2013 **Table of Contents i Table of Contents Index to the Export Administration Regulations Legal Authority for the Export Administration Regulations Part 730 General Information 730.1 What these regulations cover 730.2 Statutory authority 730.3 Dual use exports 730.4 Other control agencies and departments 730.5 Coverage of more than exports 730.6 Control purposes 730.7 License requirements and exceptions 730.8 How to proceed and where to get help 730.9 Organization of the Bureau of Industry and Security 730.10 Advisory information Supplement No. 1 to Part 730; Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers Supplement No. 2 to Part 730; Technical Advisory Committees Supplement No. 3 to Part 730; Other U.S. Government Departments and Agencies with Export Control Responsibilities Part 732 Steps For Using the EAR 732.1 Steps overview 732.2 Steps regarding scope of the EAR 732.3 Steps regarding the ten general prohibitions 732.4 Steps regarding License Exceptions 732.5 Steps regarding Shipper’s Export Declaration or Automated Export System Record, Destination Control Statements, and Recordkeeping 732.6 Steps for other requirements Supplement No. 1 to Part 732; Decision Tree Supplement No. 2 to Part 732; Subject to the EAR? Supplement No. 3 to Part 732; BIS’s “Know Your Customer” Guidance and Red Flags Part 734 Scope of the Export Administration Regulations 734.1 Introduction 734.2 Important EAR terms and principles 734.3 Items subject to the EAR 734.4 De minimis U.S. content 734.5 Activities of U.S. and foreign persons subject to the EAR 734.6 Assistance available from BIS for determining licensing and other requirements 734.7 Published information and software 734.8 Information resulting from fundamental research 734.9 Educational information 734.10 Patent applications 734.11 Government-sponsored research covered by contract controls 734.12 Effect on foreign laws and regulations Supplement No. 1 to Part 734; Questions and Answers - Technology and Software Subject to the EAR Supplement No. 2 to Part 734; Guidelines for De Minimis Rules Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents ii Part 736 General Prohibitions 736.1 Introduction 736.2 General prohibitions and determination of applicability Supplement No. 1 to Part 736; General Orders Supplement No. 2 to Part 736; Administrative Orders Part 738 Commerce Control List Overview and the Country Chart 738.1 Introduction 738.2 Commerce Control List (CCL) structure 738.3 Commerce Country Chart structure 738.4 Determining whether a license is required Supplement No. 1 to Part 738; Commerce Country Chart Part 740 License Exceptions 740.1 Introduction 740.2 Restrictions on all License Exceptions 740.3 Shipments of limited value (LVS) 740.4 Shipments to Country Group B countries (GBS) 740.5 Civil end-users (CIV) 740.6 Technology and software under restriction (TSR) 740.7 Computers (APP) 740.8 [RESERVED] 740.9 Temporary imports, exports, reexports, and transfers (in-country) (TMP) 740.10 Servicing and replacement of parts and equipment (RPL) 740.11 Governments, international organizations, and international inspections under the Chemical Weapons Convention (GOV) 740.12 Gift parcels and humanitarian donations (GFT) 740.13 Technology and software - unrestricted (TSU) 740.14 Baggage (BAG) 740.15 Aircraft and vessels (AVS) 740.16 Additional permissive reexports (APR) 740.17 Encryption commodities, software, and technology (ENC) 740.18 Agricultural commodities (AGR) 740.19 Consumer Communications Devices (CCD) 740.20 License Exception Strategic Trade Authorization (STA). Supplement No. 1 to Part 740; Country Groups Supplement No. 2 to Part 740; Items that may be Donated to Meet Basic Human Needs Under the Humanitarian License Exception Supplement No. 3 to Part 740; License Exception ENC Favorable Treatment Countries Part 742 Control Policy – CCL Based Controls 742.1 Introduction 742.2 Proliferation of chemical and biological weapons 742.3 Nuclear nonproliferation 742.4 National security 742.5 Missile technology 742.6 Regional stability 742.7 Crime control 742.8 Anti-Terrorism: Iran 742.9 Anti-Terrorism: Syria 742.10 Anti-Terrorism: Sudan Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents iii 742.11 Specially designed implements of torture, thumbscrews, and thumbcuffs; and parts and accessories, n.e.s. 742.12 [RESERVED] 742.13 Communications intercepting devices 742.14 Significant items: Hot section technology for the development, production or overhaul of commercial aircraft engines, components, and systems 742.15 Encryption items 742.16 [RESERVED] 742.17 Exports of firearms to OAS member countries 742.18 Chemical Weapons Convention (CWC or Convention) 742.19 Anti-terrorism: North Korea Supplement No. 1 to Part 742; Nonproliferation of Chemical and Biological Weapons Supplement No. 2 to Part 742; Anti-terrorism Controls: North Korea, Syria and Sudan Contract Sanctity Dates and Related Policies Supplement No. 3 to Part 742; [RESERVED] Supplement No. 4 to Part 742; [RESERVED] Supplement No. 5 to Part 742; Encryption Registration Supplement No. 6 to Part 742; Technical Questionnaire for Encryption Items Supplement No. 7 to Part 742; Description of Major Weapons Systems Supplement No. 8 to Part 742; Self-classification Report for Encryption Items Part 743 Special Reporting and Notification 743.1 Wassenaar Arrangement 743.2 High performance computers: post shipment verification reporting 743.3 Thermal imaging camera reporting 743.4 Conventional arms reporting 743.5 Prior notifications to Congress of Exports of “600 Series Major Defense Equipment” Supplement No. 1 to Part 743; Wassenaar Arrangement Participating States Part 744 Control Policy: End-user and End-use Based 744.1 General provisions 744.2 Restrictions on certain nuclear end-uses 744.3 Restrictions on certain rocket systems (including ballistic missile systems and space launch vehicles and sounding rockets) and unmanned air vehicles (including cruise missile systems, target drones and reconnaissance drones) end-uses 744.4 Restrictions on certain chemical and biological weapons end-uses 744.5 Restrictions on certain maritime nuclear propulsion end-uses 744.6 Restrictions on certain activities of U.S. persons 744.7 Restrictions on certain exports to and for the use of certain foreign vessels or aircraft 744.8 Restrictions on exports and reexports to persons designated pursuant to Executive Order 13382 – Blocking Property of Weapons of Mass Destruction Proliferators and Their Supporters 744.9 Restrictions on certain exports and reexports of cameras controlled by ECCNs 6A003.b.3, 6A003.b.4.b, or 6A003.b.4.c 744.10 Restrictions on certain entities in Russia 744.11 License requirements that apply to entities acting contrary to national security or foreign policy interests of the United States 744.12 Restrictions on exports and reexports to persons designated in or pursuant to Executive Order 13224 (Specially Designated Global Terrorist) (SDGT) 744.13 Restrictions on exports and reexports to persons designated pursuant to Executive Order 12947 (Specially Designated Terrorists) (SDT) 744.14 Restrictions on exports and reexports to designated Foreign Terrorist Organizations (FTOs) Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents iv 744.15 [RESERVED] 744.16 Procedures for requesting removal or modification of an Entity List Entity 744.17 Restrictions on certain exports and reexports of general purpose microprocessors for ‘military end uses’ and to ‘military end users’ 744.18 Restrictions on exports, reexports, and transfers to persons designated in or pursuant to Executive Order 13315 744.19 Licensing policy regarding persons sanctioned pursuant to specified statutes 744.20 License requirements that apply to certain sanctioned entities 744.21 Restrictions on certain military end-uses in the People's Republic of China (PRC). 744.22 Restrictions on exports, reexports and transfers to persons whose property and interests in property are blocked pursuant to Executive Orders 13310, 13448 or 13464 Supplement No. 1 to Part 744; Military End-use Examples for §744.17 Supplement No. 2 to Part 744; List of Items Subject to the Military End-use License Requirement of §744.21 Supplement No. 3 to Part 744; Countries Not Subject to Certain Nuclear End-use Restrictions in §744.2(a) Supplement No. 4 to Part 744; Entity List Supplement No. 5 to Part 744; Procedures for End-User Review Committee Entity List Decisions Part 745 Chemical Weapons Convention Requirements 745.1 Advance notification and annual report of all exports of Schedule 1 chemicals to other States Parties 745.2 End-Use Certificate reporting requirements under the Chemical Weapons Convention Supplement No. 1 to Part 745; Schedules of Chemicals Supplement No. 2 to Part 745; States Parties to the Convention on the Prohibition of the Development, Production, Stockpiling, and Use of Chemical Weapons and on Their Destruction Supplement No. 3 to Part 745; Foreign Authorized Agencies Responsible for Issuing End-Use Certificates Pursuant to §745.2 Part 746 Embargoes and Other Special Controls 746.1 Introduction 746.2 Cuba 746.3 Iraq 746.4 North Korea 746.5 [RESERVED] 746.6 [RESERVED] 746.7 Iran 746.8 [RESERVED] 746.9 Syria Supplement No. 1 to Part 746; Examples of luxury goods Supplement No. 2 to Part 746; [RESERVED] Supplement No. 3 to Part 746; [RESERVED] Part 747 Special Iraq Reconstruction License 747.1 Scope 747.2 Eligibility requirements 747.3 Eligible Items 747.4 Steps you must follow to apply for a SIRL 747.5 SIRL application review process Part 748 Applications (Classification, Advisory, and License) and Documentation 748.1 General provisions Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents v 748.2 Obtaining forms; mailing addresses 748.3 Classification Requests, Advisory Opinions, and Encryption Registrations 748.4 Basic guidance related to applying for a license 748.5 Parties to the transaction 748.6 General instructions for license applications 748.7 Registering for electronic submission of license applications and related documents 748.8 Unique license application and submission requirements 748.9 Support documents for license applications 748.10 Import Certificates and End-user Statements 748.11 Statement by Ultimate Consignee and Purchaser 748.12 Special provisions for support documents 748.13 Delivery Verification (DV) 748.14 Import Certificate for firearms destined for Organization of American States member countries 748.15 Authorization Validated End-user (VEU) Supplement No. 1 to Part 748; BIS-748P; BIS-748P-A: Item Appendix, and BIS-748P-B: End-User Appendix; Multipurpose Application Instructions Supplement No. 2 to Part 748; Unique Application and Submission Requirements Supplement No. 3 to Part 748; BIS-711, Statement by Ultimate Consignee and Purchaser Instructions Supplement No. 4 to Part 748; Authorities Administering Import Certificate/ Delivery Verification (IC/DV) and End-User Statement Systems in Foreign Countries Supplement No. 5 to Part 748; U.S. Import Certificate and Delivery Verification Procedure Supplement No. 6 to Part 748; Authorities issuing Import Certificates under the Firearms Convention [RESERVED] Supplement No. 7 to Part 748; Authorization Validated End-user (VEU): List of Validated End-Users, Respective Eligible Items for export, reexport and transfer, and Eligible Destinations Supplement No. 8 to Part 748; Information Required in Requests for Validated End-User (VEU) Authorization Supplement No. 9 to Part 748; End-User Review Committee Procedures Part 750 Application Processing, Issuance, and/or Denial 750.1 Scope 750.2 Processing of Classification Requests and Advisory Opinions 750.3 Review of license applications by BIS and other government agencies and departments 750.4 Procedures for processing license applications 750.5 [RESERVED] 750.6 Denial of license applications 750.7 Issuance of licenses 750.8 Revocation or suspension of licenses 750.9 Duplicate licenses 750.10 Transfer of licenses for exports 750.11 Shipping tolerances Part 752 Special Comprehensive License 752.1 Scope 752.2 Eligible activities 752.3 Eligible items 752.4 Eligible countries 752.5 Steps you must follow to apply for an SCL 752.6 Reexports 752.7 Direct shipment to customers 752.8 SCL application review process Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents vi 752.9 Action on SCL applications 752.10 Changes to the SCL 752.11 Internal Control Programs 752.12 Recordkeeping requirements 752.13 Inspection of records 752.14 System reviews 752.15 Export clearance 752.16 Administrative actions 752.17 BIS address Supplement No. 1 to Part 752; Instructions for Completing Form BIS-748P, “Multipurpose Application”, for Requests for Special Comprehensive Licenses Supplement No. 2 to Part 752; Instructions for Completing Form BIS-748P-A, “Item Annex” Supplement No. 3 to Part 752; Instructions for Completing Form BIS-752, “Statement by Consignee in Support of Special Comprehensive License” Supplement No. 4 to Part 752; Instructions for Completing Form BIS-752-A, “Reexport Territories” Supplement No. 5 to Part 752; Instructions for Completing Form BIS-748P-B, “End-User Appendix” Part 754 Short Supply Controls 754.1 Introduction 754.2 Crude oil 754.3 Petroleum products not including crude oil 754.4 Unprocessed western red cedar 754.5 Horses for export by sea 754.6 Registration of U.S. agricultural commodities for exemption from short supply limitations on export 754.7 Petitions for the imposition of monitoring or controls on recyclable metallic materials; Public hearings Supplement No. 1 to Part 754; Petroleum and Petroleum Products Supplement No. 2 to Part 754; Unprocessed Western Red Cedar Supplement No. 3 to Part 754; Statutory Provisions Dealing with Exports of Crude Oil Part 756 Appeals 756.1 Introduction 756.2 Appeal from an administrative action Part 758 Export Clearance Requirements 758.1 The Automated Export System (AES) record 758.2 Automated Export System (AES) 758.3 Responsibilities of parties to the transaction 758.4 Use of export license 758.5 Conformity of documents and unloading of items 758.6 Destination control statement and other information furnished to consignees 758.7 Authority of the Office of Export Enforcement, the Bureau of Industry and Security, Customs offices and Postmasters in clearing shipments 758.8 Return or unloading of cargo at direction of BIS, the Office of Export Enforcement or Customs Service 758.9 Other applicable laws and regulations Part 760 Restrictive Trade Practices or Boycotts 760.1 Definitions 760.2 Prohibitions Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents vii 760.3 Exception to prohibitions 760.4 Evasion 760.5 Reporting requirements Supplement Nos. 1-16; Interpretations Part 762 Recordkeeping 762.1 Scope 762.2 Records to be retained 762.3 Records exempt from recordkeeping requirements 762.4 Original records required 762.5 Reproduction of original records 762.6 Period of retention 762.7 Producing and inspecting records Part 764 Enforcement and Protective Measures 764.1 Introduction 764.2 Violations 764.3 Sanctions 764.4 Reporting of violations 764.5 Voluntary self-disclosure 764.6 Protective administrative measures 764.7 Activities involving items that may have been illegally exported or reexported to Libya 764.8 Voluntary self-disclosures for boycott provisions Supplement No. 1 to Part 764; Standard Terms of Orders Denying Export Privileges Part 766 Administrative Enforcement Proceedings 766.1 Scope 766.2 Definitions 766.3 Institution of administrative enforcement proceedings 766.4 Representation 766.5 Filing and service of papers other than charging letter 766.6 Answer and demand for hearing 766.7 Default 766.8 Summary decision 766.9 Discovery 766.10 Subpoenas 766.11 Matter protected against disclosure 766.12 Prehearing conference 766.13 Hearings 766.14 Interlocutory review of rulings 766.15 Proceeding without a hearing 766.16 Procedural stipulations; extension of time 766.17 Decision of the administrative law judge 766.18 Settlement 766.19 Reopening 766.20 Record for decision and availability of documents 766.21 Appeals 766.22 Review by Under Secretary 766.23 Related persons 766.24 Temporary denials 766.25 Administrative action denying export privileges Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov Table of Contents viii Supplement No. 1 to part 766; Guidance on Charging and Penalty Determinations in Settlement of Administrative Enforcement Cases Supplement No. 2 to part 766; Guidance on Charging and Penalty Determinations in Settlement of Administrative Enforcement Cases Involving Antiboycott Matters Part 768 Foreign Availability Determination Procedures and Criteria 768.1 Introduction 768.2 Foreign availability described 768.3 Foreign availability assessment 768.4 Initiation of an assessment 768.5 Contents of foreign availability submissions and Technical Advisory Committee certifications 768.6 Criteria 768.7 Procedures 768.8 Eligibility of expedited licensing procedures for non-controlled countries 768.9 Appeals of negative foreign availability determinations 768.10 Removal of controls on less sophisticated items Supplement No. 1 to Part 768; Evidence of Foreign Availability Supplement No. 2 to Part 768; Items Eligible for Expedited Licensing Procedures [RESERVED] Part 770 Interpretations 770.1 Introduction 770.2 Item interpretations 770.3 Interpretations related to exports of technology and software to destinations in Country Group D:1 Part 772 Definitions of Terms 772.1 Definitions of terms as used in the Export Administration Regulations (EAR) Part 774 The Commerce Control List 774.1 Introduction 774.2 [RESERVED] Supplement No. 1 to Part 774; The Commerce Control List Category 0 - Nuclear Materials, Facilities & Equipment (and Miscellaneous Items) Category 1 - Materials, Chemicals, “Microorganisms”, and Toxins Category 2 - Materials Processing Category 3 - Electronics Category 4 - Computers Category 5 (Part 1) - Telecommunications Category 5 (Part 2) - Information Security Category 6 - Sensors and Lasers Category 7 - Navigation and Avionics Category 8 - Marine Category 9 - Aerospace and Propulsion Supplement No. 2 to Part 774; General Technology and Software Notes Supplement No. 3 to Part 774; Statements of Understanding Supplement No. 4 to Part 774; Commerce Control List Order of Review Supplement No. 5 to Part 774; Items Classified under ECCNs 0A521, 0B521, 0C521, 0D521 and 0E521 Supplement No. 6 to Part 774; Sensitive List Supplement No. 7 to Part 774; Very Sensitive List Export Administration Regulations Bureau of Industry and Security October 15, 2013 www.bis.doc.gov